Baldrige Criteria: Item Requirements

Item Format

                                        Item number↓     ↓             Item title             ↓           ↓ Item point value                                                             Types of information users are expected to provide in response to this Item

Basic requirements   →
expressed in Item title
Overall requirements

are specific topics users
need to address

Area to Address (a.)  →



Area to Address (b.)   →






Notes have the            →
 following purposes:

 -clarify key terms and

 -give instructions

  important linkages

Location of        
Item description          →

1.1 Senior Leadership (70 pts.)                                                                                                                    Process 

Describe HOW SENIOR LEADERS guide and SUSTAIN your organization.

Describe HOW SENIOR LEADERS communicate with employees and encourage HIGH PERFORMANCE.

Within your response, include answers to the following questions:

1.1a. Vision and Values

(1) HOW do SENIOR LEADERS set organizational VISION and VALUES?

HOW do SENIOR LEADERS DEPLOY your organizationís VISION and VALUES through your LEADERSHIP SYSTEM, to all employees, to KEY suppliers and PARTNERS, and to CUSTOMERS, as appropriate?

HOW do their personal actions reflect a commitment to the organizationís VALUES?

(2) HOW do SENIOR LEADERS promote an environment that fosters and requires legal and ETHICAL BEHAVIOR?

(3) HOW do SENIOR LEADERS create a SUSTAINABLE organization?

HOW do SENIOR LEADERS create an environment for PERFORMANCE improvement, accomplishment of STRATEGIC OBJECTIVES, INNOVATION, and organizational agility?

HOW do they create an environment for organizational and employee LEARNING?

HOW do they personally participate in succession planning and the development of future organizational leaders?

1.1b. Communication and Organizational Performance

(1) HOW do SENIOR LEADERS communicate with, EMPOWER, and motivate all EMPLOYEES throughout the organization?

HOW do SENIOR LEADERS encourage frank, two-way communication throughout the organization?

HOW do SENIOR LEADERS take an active role in employee reward and recognition to reinforce HIGH PERFORMANCE and a CUSTOMER and business focus?

(2) HOW do SENIOR LEADERS create a focus on action to accomplish the organizationís objectives, improve PERFORMANCE, and attain your VISION?

HOW do SENIOR LEADERS include a focus on creating and balancing VALUE for CUSTOMERS and other STAKEHOLDERS in their organizational PERFORMANCE expectations?




Multiple requirements expressed as individual Criteria questions


N1. Organizational VISION (1.1a[1]) should set the context for STRATEGIC OBJECTIVES and ACTION PLANS, which are described in Item 2.1 and Item 2.2.

N2. A SUSTAINABLE organization (1.1a[3]) is capable of addressing current business needs and possesses the AGILITY and strategic management to prepare successfully for its future business and market environment. In this context, the concept of INNOVATION includes both technological and organizational INNOVATION to succeed in the future.

N3. A focus on action (1.1b[2]) considers both the people and the hard assets of the organization. It includes ongoing improvements in PRODUCTIVITY that may be achieved through eliminating waste or reducing CYCLE TIME, and it might use techniques such as Six Sigma and Lean Production. It also includes the actions to accomplish the organizationís STRATEGIC OBJECTIVES.

N4. Your organizational PERFORMANCE RESULTS should be reported in Item 7.1, Item 7.2, Item 7.3, Item 7.4, Item 7.5, and Item 7.6.

Item responses are assessed by considering the Criteria Item requirements; your KEY business factors presented in your ORGANIZATIONAL PROFILE; and the maturity of your APPROACHES, breadth of DEPLOYMENT, and strength of your improvement PROCESS and RESULTS relative to the SCORING SYSTEM. Refer to the SCORING SYSTEM.

For additional description of this Item, see 1.1 Senior Leadership Item Description.

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