Homeland Security Assessment Manual PDF

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Homeland Security
Assessment Manual
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Homeland Security
Assessment Manual
A Comprehensive Organizational Assessment
Based on Baldrige Criteria
Donald C. Fisher, Ph.D.
ASQ Quality Press

Milwaukee, Wisconsin
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American Society for Quality, Quality Press, Milwaukee 53203

2005 by American Society for Quality
All rights reserved. Published 2004
Printed in the United States of America
12 11 10 09 08 07 06 05 04 5 4 3 2 1
Library of Congress Cataloging-in-Publication Data
Fisher, Donald C.
Homeland security assessment manual : a comprehensive organizational assessment
based on Baldrige criteria / Donald C. Fisher.
p. cm.
Includes bibliographical references and index.
ISBN 0-87389-640-8 (alk. paper)
1. Emergency managementUnited StatesHandbooks, manuals, etc. 2. Civil defense
United StatesHandbooks, manuals, etc. 3. National securityUnited States
Handbooks, manuals, etc. 4. TerrorismPreventionGovernment policyUnited
StatesHandbooks, manuals, etc. I. Title.
HV551.3.F57 2005
658.4'73dc22 2004016879
ISBN 0-87389-640-8
No part of this book may be reproduced in any form or by any means, electronic, mechanical,
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Printed on acid-free paper

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This book is dedicated to the memories of my father, Alvin G. Fisher,

a World War II veteran, watchmaker, and jeweler, and my father-in-law, Ernest M. Madrey,
a farmer, carpenter, and youth advisor to
4-H programs for over 30 years. Both men were exemplary in
providing homeland security to their families and communities
over their entire lifetimes.
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Contents
Foreword. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Preface. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Homeland Security Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
National Strategy for Homeland Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Baldrige Criteria for Performance Excellence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Baldrige Core Values and Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
The Baldrige Award. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
The Baldrige Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Homeland Security Advisory System (HSAS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Chapter 1 How to Use the Baldrige Criteria and HSAS to Assess

Your Organization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Process Evaluation Dimension (Baldrige Categories 16). . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Results Evaluation Dimension (Baldrige Category 7) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Importance as a Scoring Consideration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Baldrige Scoring Guidelines. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Scoring Profiles Based on Risk of Attack Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Presidential Directives for Homeland Security. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Homeland Security Advisory System (HSAS) Risk of Attack Levels . . . . . . . . . . . . . . . . . 10
Assessment Scores Based on Risk of Attack Levels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Homeland Security Scoring Profiles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Chapter 2 How to Use the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

How to Use the Homeland Security Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
How to Begin and Prepare for an Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Assessing the Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Organizational Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Eight Steps for Successful Assessment Implementation
and Manual Use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Chapter 3 Category 1: Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

1.1 Organizational Leadership. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
1.2 Social Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
vii
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viii Contents
Chapter 4 Category 2: Strategic Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

2.1 Strategy Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
2.2 Strategy Deployment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55
Chapter 5 Category 3: Customer and Market Focus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

3.1 Customer and Market Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
3.2 Customer Relationships and Satisfaction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Chapter 6 Category 4: Measurement, Analysis, and Knowledge

Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
4.1 Measurement and Analysis of Organizational Performance . . . . . . . . . . . . . . . . . . . . . 80
4.2 Information and Knowledge Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Chapter 7 Category 5: Human Resource Focus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

5.1 Work Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
5.2 Employee Learning and Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
5.3 Employee Well-Being and Satisfaction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
Chapter 8 Category 6: Process Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

6.1 Value Creation Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
6.2 Support Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Chapter 9 Category 7: Business Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

7.1 Customer-Focused Results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
7.2 Product and Service Results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
7.3 Financial and Market Results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141
7.4 Human Resource Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 144
7.5 Organizational Effectiveness Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 148
7.6 Governance and Social Responsibility Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Summary of Assessment Items for Homeland Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . 158
Chapter 10 Transforming Assessment Findings into Actionable

Strategies for a Homeland Security Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Appendix A: Quick and Easy Supplier/Customer Assessment

for Homeland Security (Based on Baldrige Criteria) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171
Appendix B: Homeland Security Benchmarking Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191
Appendix C: Council on Competitiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
Appendix D: Interviewing Hints and Tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
Appendix E: Homeland Security Documentation List . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 203
Reference List for Added Reading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
About the Author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
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CD-ROM Contents
Organizational Overview
Category 1: Leadership
Category 2: Strategic Planning
Category 3: Customer and Market Focus
Category 4: Measurement, Analysis, and Knowledge Management
Category 5: Human Resource Focus
Category 6: Process Management
Category 7: Business Results
Summary of Assessment Items for Homeland Security (Score sheet)
Hierarchy of Homeland Assessment Needs
Transformation of Assessment Findings
Strategic Planning Worksheet
Quick and Easy Supplier/Customer Assessment for Homeland Security
(Based on Baldrige Criteria)
Homeland Security Benchmarking Process
Homeland Security Documentation List
Homeland Security Plan and Budget
ix
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Foreword
F
or the first time in Americas history, the private sector is on the front lines of the battle-
field in global terrorisma target, perhaps even a pathway, for attack on our economic
infrastructure. Increasingly terrorists seek mass disruption, along with mass destruction.
The nations critical infrastructure, facilities and companies are at riskand vulnerable.
Although federal and state governments have the principal responsibility to protect
American citizens from attack, they face one central dilemma: Critical infrastructures and eco-
nomic assets are largely privately owned. As a result, public safety increasingly depends on pri-
vate sector initiatives.
The Council on Competitiveness, a nonprofit, bipartisan organization whose members are
chief executive officers, university presidents, and labor leaders, believes that a new private sec-
tor paradigm for security is needed. Traditionally, security has been a matter of guards, gates,
and guns, seen as a sunk cost for business that drains profits from the bottom line. But new
management vision, technologies, risk management tools, and workforce training opportunities
offer the potential to achieve higher security and positive economic benefits: new market oppor-
tunities, productivity gains, customer confidence, and competitive advantage.
For example, information technologybased identification, tracking, and verification sys-
tems in container cargo, for example, should not only increase security of shipments, but also
enable just-in-time logistics. Mobile intruder detection technologies could serve a dual purpose
of security and inventory management. Sophisticated electronic access control systems that also
provide time and attendance and payroll data will reduce security labor costs, increase securi-
ty effectiveness, and provide a more accurate and efficient method of managing a workforce.
Improvements in security against agroterrorism have the potential to halt the growing threat of
naturally occurring foodborne and animal-related illnesses as well.
This book makes clear that there is no intrinsic reason why security need be fundamental-
ly different from quality or safety, which have demonstrated economic returns. It is instructive
to remember that, in the 1980s, quality was viewed as an expensive luxury rather than a core
business process with the potential to reduce cycle time and costs. After the disaster in Bhopal,
leaders in the chemical industry demonstrated that improved safety precautions could increase
efficiency and drive costs down.
Government cannot lead this effort; it must be driven by the private sector. Although a well-
placed terrorist attack has the potential to cripple the country economically, any attempt by gov-
ernment to impose a security regime on the private sector, ironically, could have exactly the
same result. Only the private sector is able to design an integrated security approach that pro-
tects productivity and competitiveness. This book creates a framework for organizations to
begin the critical process of reassessing (and discarding) old views about security in favor of
integrating security into their business model.
xi
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xii Foreword
Creating the right balance between competitiveness and security is the critical challenge.
There can be no security without economic vitality, just as there can be no economic vitality
without a secure environment in which to live and work.
Debra Van Opstal

Senior vice president, policy and programs
Council on Competitiveness
Washington, D.C.
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Preface
T
his manual has been written as a result of the authors involvement in conducting more
than 100 organizational assessments based on the Malcolm Baldrige Criteria for
Performance Excellence since 1992. Many organizations have embraced the concept of
improving overall performance by using the Baldrige Criteria as a benchmark to gauge their
strengths and opportunities for improvement and as a measurement of their overall alignment
and integration of key processes.
Since the shocking attack on our country on September 11, 2001, our nation has made great
strides in improving homeland security. Individual citizens, industry, and government leaders
from all spectrums of American society have become involved in this national obsession to
ensure our national security. Many steps have been taken to ensure that our nation is secure
from terrorist attempts to unravel our nation as a whole and the public and private institutions
and organizations that support this nations infrastructure.
Terrorists are strategic in selecting targets based on organizational weaknesses and vulner-
abilities within our nations infrastructure. Our nation consists of an infinite array of potential
targets that can be attacked through a variety of methods. Actions such as inducement of com-
puter viruses, destruction of computer operating systems, exposure of citizens to biological and
chemical agents, massive disruption of high-profile events, manipulation of financial systems,
mass-casualty incidents, and interference with major transportation systems are only a few of
the horrific activities that terrorists might use to cause major upsets within our society.
The Department of Homeland Security has been established to ensure greater accountabil-
ity for the nations critical homeland security mission and to provide a unified approach among
agencies responsible for safeguarding the nation. However, at the present time no consistent
holistic approach has been defined for public and private organizations. Public and private
organizations do not currently have a consistent process to assess their own overall homeland
security readiness and vulnerability in the event of a major terrorist attack upon their organiza-
tional infrastructure. This author has developed a manual that an organization can use to con-
duct an internal self-assessment to gauge its overall readiness and vulnerability regarding
homeland security. This homeland security manual based on Baldrige Criteria is written as an
assessment tool for public and private organizations to measure their overall vulnerability to
corporate sabotage and terrorist attacks.
Using the Baldrige Criteria to help address overall homeland security issues within an
organization aligns the highly respected Baldrige national criteria for performance excellence
with very critical homeland security issues. Public and private organizations must address
these issues to ensure a safe work environment for both their employees and those who use
their products and services. The Council on Competitiveness in Washington, D.C., has estab-
lished a homeland security model for private organizations. The Council on Competitiveness
noted that the balance between competitiveness and security is a critical national challenge
(see Appendix C).
xiii
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xiv Preface
The first line of defense for homeland security is this nations public and private organiza-
tions. These organizations comprise the infrastructure that supports our nations security. This
nation cannot be safe until organizations assess their overall homeland security vulnerability
and develop a comprehensive homeland security plan based on their assessment findings.
This comprehensive manual will aid an organizations quest to create and maintain a safe
work environment for its employees, suppliers, partners, and customers. The stability of this
nation rests on the strength and trust of our public and private organizations.
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Introduction
T
he terrorist threat to Americas infrastructure takes many forms, has many places to hide,
and is often invisible. The need for homeland security is not tied to any specific threat. The
need for homeland security is tied to the underlying vulnerability of American infrastruc-
ture in general, and specifically to various public and private organizations that comprise that
infrastructure.
The unprecedented national response to homeland security began literally minutes after the
first plane struck the World Trade Center in New York City on September 11, 2001. Since
September 11, the highest levels within U.S. government and their various agencies have gone
to enormous lengths to identify the most vulnerable potential targets and critical infrastructure
in the United States. Potential targets identified include airports, sea and water ports, nuclear
facilities, dams, water and sewer plants, electric power plants, gas pipelines, dams and bridges,
and biological and chemical facilities. In addition, high profile events, holidays, and landmarks,
such as the Olympics, Super Bowl, New Years Eve celebration at Times Square in New York
City, Christmas, July 4, and numerous other national events and historical landmarks that
involve thousands of American citizens and public and private organizations, remain ongoing
targets for terrorists.
The National Governors Association has estimated that states have spent at least $650 mil-
lion to protect their infrastructure since September 11, 2001.1
The United States had never had a national strategy for homeland security until President
George W. Bush issued Executive Order 13228, Section 2, on October 8, 2001, establishing the
Office of Homeland Security and former Pennsylvania Governor Tom Ridge as director. On
January 24, 2003, Ridge became the first Secretary of the Department of Homeland Security. The
national strategy took more than eight months to complete and involved thousands of public
and private stakeholders.
This manual, with its incorporation of Baldrige criteria, will aid an organizations self-
assessment process by keeping it simple and involving a number of various levels of employ-
ees in the process. The manual is designed to encourage participation throughout the organiza-
tions workforce through assessment teams who ask questions and from those who answer
questions regarding homeland security. Total workforce involvement can include up to 200
employees. This assessment process helps an organization determine how holistically integrat-
ed the organization is in securing a safe work environment for its employees, suppliers, part-
ners, and customers regarding homeland security.
Homeland Security Resources

Presently, there exist several resources for homeland security planning for cities and towns. The
Kentucky League of Cities and the NewCities Foundation have developed an exemplary four-
step process for hometown security planning. The process promotes cities and towns:
Establishing a planning team
Analyzing capabilities and hazards
1
2 Introduction
Developing the plan

Implementing the plan2
Other state agencies have provided similar information for elected officials within their
states. An example presented to local governments as a practical tool for first steps in homeland
security preparation by the National League of Cities includes:
First Steps for Preparedness

Systematically evaluate current capabilities and deficiencies.
Perform a risk assessment and vulnerability analysis of the community.
Ensure that local hospitals are prepared to treat victims of a terrorist attack.
Meet with those responsible for emergency medical services to assess their current scope of
practice as it pertains to terrorist events.
Provide frequent, brief training programs to medical personnel to ensure their participation
in the preparedness process.
Evaluate the current capabilities of the fire departments response to HAZMAT incidents.
Cross-train the appropriate responders to avoid having to create and fund additional
response teams.
Develop mutual aid agreements with surrounding communities to ensure better use of exist-
ing resources during any type of disaster.
Incorporate the business community into the planning process.3
Homeland security is presently being addressed extensively throughout the nation among
state and local levels of government. They have the responsibility for funding, preparing, and
operating emergency services that will respond in the event of a terrorist attack.
Public and private sector organizations, the nations principal provider of goods and serv-
ices, provide 85 percent of the nations infrastructure, according to the National Strategy for
Homeland Security Report issued during July 2002. Public and private sector organizations are
key homeland security partners to state and local governments and deliver information sys-
tems, ship packages, provide transportation, produce vaccines, manufacture detection devices,
and supply utilities and other critical services and technologies and innovations that help
secure the homeland.4
National Strategy for Homeland Security

The national strategy for homeland security aligns homeland security functions into six critical
mission areas: (1) intelligence and warning, (2) border and transportation security, (3) domestic
counterterrorism, (4) protecting critical infrastructure, (5) defending against catastrophic terror-
ism, and (6) emergency preparedness and response. The first three critical mission areas focus on
prevention of terrorist attacks, the next two on reducing vulnerabilities, and the final one on a
minimization of damage and recovery from the attack.5
Protecting Americas public/private sector organizational infrastructure presents a formi-
dable challenge. This nations critical public/private sector infrastructure changes as rapidly as
the marketplace. Not all terrorist attacks can be prevented, but they can be significantly reduced
by public/private sector organizations who conduct holistic assessments of their infrastructure
and work in partnership with federal, state, and local homeland security initiatives.
This manual has been developed for public and private sector organizations to use as a tem-
plate to assess their overall internal homeland security readiness and vulnerability in the case
of a major security threat to their organizational infrastructure.
Baldrige Criteria for Performance Excellence

Many public and private organizations have been using the Malcolm Baldrige Criteria for
Performance Excellence since its founding in 1987 for internal self-assessment to measure their orga-
nizations performance excellence against this national quality standard of performance criteria.
Introduction 3
The Malcolm Baldrige National Quality Improvement Act of 1987 was signed by President
Ronald Reagan on August 20, 1987. The act established the Malcolm Baldrige National Quality
Award named in honor of the former Secretary of Commerce. The Baldrige Award Criteria are
considered the national standard for performance excellence. The Baldrige Award Criteria are
directed toward maximizing the overall effectiveness and productivity of an organization. They
are built around seven major examination categories:
Leadership. Examines how the organizations senior leaders address values, directions, and
performance expectations, as well as a focus on customers and other stakeholders, empow-
erment, innovation, and learning.
Strategic Planning. Examines how the organization develops strategic objectives and action
plans and how strategic objectives and action plans are deployed.
Customer and Market Focus. Examines how the organization determines requirements,
expectations, and customer preferences.
Measurement, Analysis, and Knowledge Management. Examines how the organization
selects, gathers, analyzes, manages, and improves its data, information, and knowledge assets.
Human Resource Focus. Examines how the organizations work systems and employee
learning and motivation enable employees to develop and use their full potential in align-
ment with the organizations overall objectives and action plans.
Process Management. Examines the key aspects of the organizations process management,
including key product, service, and business processes and key support processes.
Business Results. Examines the organizations performance and improvement in key business
areas, which include customer satisfaction, product/service performance, financial/market-
place performance, human resource results, operational performance, and governance/social
responsibility.6
Baldrige Core Values and Concepts

The Baldrige core values and concepts are interrelated and run through all 88 areas in the crite-
ria. They include:
Visionary leadership
Customer-driven excellence
Organizational and personal learning
Valuing employees and partners
Agility
Focus on the future
Managing for innovation
Management by fact
Social responsibility
Focus on results and creating value
Systems perspective7
The Baldrige Award

The Baldrige awards are traditionally presented by the President of the United States and the
Secretary of Commerce in special ceremonies in Washington, D.C. These annual awards recog-
nize U.S. organizations that excel in performance excellence. As many as two awards may be
given in each of five eligibility categories:
1. Manufacturing businesses
2. Service businesses
3. Small businesses
4. Educational organizations
5. Health care organizations8
A not-for-profit category will be added as a sixth eligibility category when approved by Congress.
4 Introduction
The Baldrige Criteria

The Baldrige Criteria establish guidelines and criteria that can be used by public and private
organizations to evaluate their homeland security efforts. The Baldrige Criteria can provide
guidance to public and private organizations by helping them disseminate the various home-
land security initiatives that are being undertaken within their organization and to identify
various opportunities for improvement throughout their organization regarding homeland
security issues.
The use of this manual to conduct a comprehensive organizational assessment based on
Baldrige Criteria for homeland security preparedness provides an organizational perspective of
their readiness and vulnerabilities that exist within their overall infrastructure.
Homeland Security Advisory System (HSAS)

A presidential directive 3 (PD-3) signed into law by President George W. Bush in March 2002
created the color-coded Homeland Security Advisory System (HSAS). The implementation of
the color-coded system provides a common language and understanding for all levels of gov-
ernment and the general public to follow regarding critical threats to homeland security. This
color-coded Advisory System ensures that homeland security warning information reaches the
appropriate federal, state, local authorities, public and private organizations, including the
American public, in a timely manner.9
1 How to Use the Baldrige

Criteria and HSAS to Assess
Your Organization
T
he alignment of the Baldrige Criteria with the color-coded Homeland Security Advisory
System (HSAS) provides a unique assessment methodology for an organization to gauge
its homeland security vulnerabilities and readiness in case of a major terrorist attack. Both
the Baldrige Criteria and HSAS have been recognized as best practice initiatives for organi-
zations to use to assess and to ensure that their performance excellence and security is compet-
itive in the global marketplace.
An organization would want to assess itself using the Baldrige Criteria because thousands of
U.S. organiations stay abreast of ever-increasing competition and improve performance excellence
using this internationally recognized quality standard. The criteria help an organization align
resources and approaches and improve corporate-wide communications, productivity, and effec-
tiveness.
The Baldrige assessment scoring system is based on two evaluation dimensions: (1) process
and (2) results. Each dimension should be considered before assigning a percentage score. All
process evaluation dimension categories are linked to results, as well as being linked to each
other. In addition, each of the categories assessed will have Homeland Security Scoring Profiles
based on the Homeland Security Advisory System to help facilitate the scoring process.
Process Evaluation Dimension (Baldrige Categories 16)

Process refers to the methods your organization uses and improves to address the item
requirements in Categories 16. The four factors used to evaluate process are approach, deploy-
ment, learning, and integration (A-D-L-I).
Approach (A) refers to:
The methods used to accomplish the process.
The appropriateness of the methods to the item requirements.
The effectiveness of use of the methods.
The degree to which the approach is repeatable and based on reliable data and informa-
tion (i.e., systematic).
Deployment (D) refers to the extent to which:
Your approach is applied in addressing item requirements relevant and important to
your organization.
Your approach is applied consistently.
Your approach is used by all appropriate work units.
5
6 Chapter One
Learning (L) refers to:

Refining your approach through cycles of evaluation and improvement.
Encouraging breakthrough change to your approach through innovation.
Sharing of refinements and innovation with other relevant work units and processes in
your organization.
Integration (I) refers to the extent to which:
Your approach is aligned with your organizational needs identified in other criteria item
requirements.
Your measures, information, and improvement systems are complementary across
processes and work units.
Your plans, processes, results, analysis, learning, and actions are harmonized across
processes and work units to support organization-wide goals.
Results Evaluation Dimension (Baldrige Category 7)

Results refers to your organizations outputs and outcomes in achieving the requirements in
items 7.17.6. The five factors used to evaluate results are performance levels, trends, compar-
isons, linkage, and gap (Le-T-C-Li-G).
Performance Levels (Le) refers to:
Performance position of data
Rank of data performance
Current data performance
Numerical information that places or positions the organizations results and perform-
ance on a meaningful measurement scale
Trends (T) refers to:
Ratio (i.e., slope of trend data)
Breadth (i.e., how widely deployed and shared)
Comparisons (C) refers to:
Performance relative to appropriate comparisons
Comparisons against exemplary results
Linkage (Li) refers to:
Alignment of data to important customer product and service, process, and action plan
performance requirements
Complementary measures and results that are aligned throughout many parts of the
organization
Connective measures throughout the organization that drive key organizational strate-
gies and goals
Gap (G) refers to:
An interval in results data
Missing segments of data
Importance as a Scoring Consideration

The two evaluation dimensions, described in the previous section, are critical to evaluation and
feedback. However, another critical consideration in evaluation and feedback is the importance
of your reported process and results to your organizations key business factors (i.e., key cus-
tomer requirements, competitive environment, key strategic objectives, and action plans).
How to Use the Baldrige Criteria and HSAS to Assess Your Organization 7
The percent scores range from a low of 0% for zero-based preparation to a high of 100% for
world-class preparation. An organization can be 0% (zero-based) in some areas and 100%
(world-class) in others. The anchor point is 50%, which is middle range. Many organizations fall
below the 50% anchor point regarding homeland security preparation. The 50% anchor point is
considered to be good, but certainly below what an organization that is striving to be the best-
in-class in homeland security preparation among leading organizations would score.
Zero-Based Preparation World-Class Preparation
0 10 20 30 40 50 60 70 80 90 100
Green Blue Yellow Orange Red

(Low) (Guarded) (Elevated) (High) (Severe)
(Circle Appropriate Percentile)
Organizations that score 0% have an anecdotal approach, lack deployment, and have no
meaningful results. Organizations that score 100% reflect a refined, very mature approach that
is deployed and well adapted with sustainable results in all relevant areas of the organization.
8 Chapter One
BALDRIGE SCORING GUIDELINES

For use with Categories 16
Score Process
05% No systematic approach is evident; information is anecdotal. (A)
Little or no deployment of an approach is evident. (D)
No evidence of an improvement orientation; improvement is achieved through reacting to
problems.(L)
No organizational alignment is evident; individual areas or work units operate independently. (I)
1025% The beginning of a systematic approach to the basic requirements of the Item is evident. (A)
The approach is in the early stages of deployment in most areas or work units, inhibiting
progress in achieving the basic requirements of the item. (D)
Early stages of a transition from reacting to problems to a general improvement orientation are
evident. (L)
The approach is aligned with other areas or work units largely through joint problem solving. (I)
3045% An effective, systematic approach, responsive to the basic requirements of the item, is evident.
(A)
The approach is deployed, although some areas or work units are in early stages of deployment.
(D)
The beginning of a systematic approach to evaluation and improvement of key processes is
evident. (L)
The approach is in early stages of alignment with your basic organizational needs identified
inresponse to the other criteria categories. (I)
5065% An effective, systematic approach, responsive to the overall requirements of the item, is
evident. (A)
The approach is well deployed, although deployment may vary in some areas or work units. (D)
A fact-based, systematic evaluation and improvement process and some organizational learning
are in place for improving the efficiency and effectiveness of key processes. (L)
The approach is aligned with your organizational needs identified in response to the other
criteria categories. (I)
7085% An effective, systematic approach, responsive to the multiple requirements of the item, is
evident. (A)
The approach is well deployed, with no significant gaps. (D)
Fact-based, systematic evaluation and improvement and organizational learning are key
management tools; there is clear evidence of refinement and innovation as a result of
organizational-level analysis and sharing. (L)
The approach is integrated with your organizational needs identified in response to the other
criteria items. (I)
90100% An effective, systematic approach, fully responsive to the multiple requirements of the item, is
evident. (A)
The approach is fully deployed without significant weaknesses or gaps in any areas or work
units. (D)
Fact-based, systematic evaluation and improvement and organizational learning are key
organization-wide tools; refinement and innovation, backed by analysis and sharing, are evident
throughout the organization. (L)
The approach is well integrated with your organizational needs identified in response to the
other criteria items. (I)
Process Evaluation Factors
A = Approach D = Deployment L = Learning I = Integration
BALDRIGE SCORING GUIDELINES

For use with Category 7
Score Process
05% There are no business results or poor results in areas reported. (Le)
Trend data are either not reported or show mainly adverse trends. (T)
Comparative information is not reported. (C)
Results are not reported for any areas of importance to your organizations key business
requirements. (Li)
No results are reported for most key organizational initiatives. (G)
1025% A few business results are reported; there are some improvements and/or early good
performance levels in a few areas. (Le)
Little or no trend data are reported. (T)
Little or no comparative information is reported. (C)
Results are reported for a few areas of importance to your organizations key business
requirements. (Li)
Limited results are reported for many organizational initiatives. (G)
3045% Improvements and/or good performance levels are reported in many areas addressed in the
item requirements. (Le)
Early stages of developing trends are evident. (T)
Early stages of obtaining comparative information are evident. (C)
Results are reported for many areas of importance to your organizations key business
requirements. (Li)
Several results are reported with some missing segments. (G)
5065% Improvement trends and/or good performance levels are reported for most areas addressed in
the item requirements. (Le)
No pattern of adverse trends and no poor performance levels are evident in areas of importance
to your organizations key business requirements. (T)
Some trends and/or current performance levelsevaluated against relevant comparisons and/or
benchmarksshow areas of good to very good relative performance. (C)
Business results address most key customer, market, and process requirements. (Li)
Some results are missing in key areas. (G)
7085% Current performance is good to excellent in most areas of importance to the Item requirements. (Le)
Most improvement trends and/or current performance levels are sustained. (T)
Many to most reported trends and/or current performance levelsevaluated against relevant
comparisons and/or benchmarksshow areas of leadership and very good relative
performance. (C)
Business results address most key customer, market, process, and action plan requirements. (Li)
A few results have missing segments. (G)
90100% Current performance is excellent in most areas of importance to the item requirements. (Le)
Excellent improvement trends and/or sustained excellent performance levels are reported in
most areas. (T)
Evidence of industry and benchmark leadership is demonstrated in many areas. (C)
Business results fully address key customer, market, process, and action plan requirements. (Li)
Most results are in place with few missing segments. (G)
Results Evaluation Factors
Le = Performance Levels T = Trends C = Comparisons Li =Linkage G = Gap
10 Chapter One
Scoring Profiles Based on Risk of Attack Levels

Scoring of the 19 Baldrige items can be difficult for an assessment team to complete. Scoring profiles
based on the Homeland Security Advisory System are provided in the manual to aid the teams
scoring process. The teams should first consider the two dimensions (Process and Results) and
review the Baldrige Scoring Guidelines before using the Homeland Security Advisory System Risk
of Attack Levels Scoring Profiles section. The scoring profiles will aid the team in further profiling
and fine-tuning the percentile range in which the scores should fall.
Presidential Directives for Homeland Security

A presidential directive established the Homeland Security Advisory System to provide a com-
prehensive and effective means to disseminate information regarding the risk of terrorist acts to
federal, state, and local authorities, to the American public, and to both public and private
organizations.
The system creates a common vocabulary, context, and structure for organizations to gauge
various levels of protection that are either in place or need to be installed to reduce an organi-
zations vulnerability to various terrorist attacks.
The following threat conditions each represent an increasing risk of terrorist attacks. The
Department of Homeland Security has suggested various protective measures for organizations
to follow and has provided the following risk of attack level color codes:
Homeland Security Advisory System (HSAS) Risk of Attack Levels

1. Low Condition (Green). This condition is declared when there is a low risk of terrorist attacks.
Organizations should consider the following general measures in addition to the specific protec-
tive measures they develop and implement:
Refining and exercising as appropriate preplanned protective measures
Ensuring personnel receive proper training on the Homeland Security Advisory System
and specific preplanned protective measures
Institutionalizing a process to ensure that all facilities are regularly assessed for vulner-
abilities to terrorist attacks and all reasonable measures are taken to mitigate these
vulnerabilities
2. Guarded Condition (Blue). This condition is declared when there is a general risk of ter-
rorist attacks. In addition to the protective measures taken in the low threat condition,
organizations should consider the following general measures in addition to specific protec-
tive measures that they will develop and implement:
Checking communications with designated emergency response or command locations
Reviewing and updating emergency response procedures
Providing the stakeholders with any information that would strengthen their ability to
act appropriately
3. Elevated Condition (Yellow). An elevated condition is declared when there is a significant
risk of terrorist attacks. In addition to the protective measures taken in previous threat con-
ditions, organizations should consider the following general measures in addition to the pro-
tective measures that they will develop and implement:
Increasing surveillance of critical locations
Coordinating emergency plans as appropriate
Assessing whether the precise characteristics of the threat require the further refinement
of preplanned protective measures
Implementing, as appropriate, contingency and emergency response plans
4. High Condition (Orange). A high condition is declared when there is a high risk of terrorist
attacks. In addition to the protective measures taken in the previous three conditions, organ-
izations should consider the following general measures in addition to protective measures
that they will develop and implement:
Coordinating necessary security efforts with federal, state, and local law enforcement
agencies or any National Guard or other appropriate armed forces organizations
Taking additional precautions at public events and possibly considering alternative ven-
ues or even cancellation
Preparing to execute contingence procedures, such as moving to an alternate site or dis-
persing the workforce
Restricting threatened facility access to essential personnel only
5. Severe Condition (Red). A Severe Condition reflects a severe risk of terrorist attacks. Under
most circumstances, the protective measures for a severe condition are not intended to be
sustained for substantial periods of time. In addition to the protective measures in the previ-
ous threat conditions, organizations should consider the following general measures in addi-
tion to specific protective measures that they will develop and implement:
Increasing or redirecting personnel to address critical emergency needs
Assigning emergency response personnel and prepositioning and mobilizing specially
trained teams or resources
Monitoring, redirecting, or constraining transportation systems
Closing public facilities
Assessment Scores Based on Risk of Attack Levels

Homeland Security Scoring Profiles based on the Homeland Security Advisory System have
been developed for the assessment team to use to better gauge their organizations level of pre-
paredness for a major terrorist attack. The higher the score for each question reflects the
organizations level of preparation for homeland security.
An organization may score in lower percentile color levels within some areas of the assess-
ment. All scores should be aligned with the organizations strategic and business needs that are
related to homeland security.
Based on the organizations homeland security needs, it may not be appropriate or cost
effective for an organization to consistently score in the upper levels for each question within
the assessment. The assessment teams should always refer to their organizational overview
before assigning a percentile score. After referring to the organizational overview, the assess-
ment team(s) should first review the Baldrige Scoring Guidelines before reviewing the
Homeland Security Scoring Profiles listed in this chapter.
The Baldrige Scoring Guidelines should always be considered first by the teams when scor-
ing and then the team(s) should validate their score against the Homeland Security Scoring
Profiles to ensure that together both the Baldrige Scoring Guidelines and the Homeland
Security Scoring Profiles adequately describe the organizations homeland security prepared-
ness level that each question addresses throughout the assessment.
HOMELAND SECURITY SCORING PROFILES

(Based on Homeland Security Advisory System. Baldrige Categories are profiled into five percentile ranges.)
World-Class
Preparation 1. Leadership
Senior leadership is visibly involved in promoting homeland security.
Senior leaders promote the formation of employee teams throughout the organization to
SEVERE focus on homeland security.
(Red) Senior leadership reflects the organizations commitment to public health, safety, and
80100% environmental protection.
Homeland security planning is promoted by senior leaders and integrated throughout the
organization.
Most senior leaders promote homeland security initiatives among employees.

Senior leadership meets with employee teams, key suppliers, partners, and customers
HIGH on homeland security issues.
(Orange) Leadership at all levels promotes homeland security as a major priority for the
6080% organization.
Homeland security plan is integral to all senior leaders and managers performance review.
Risk of Attack Levels
Senior leadership shares corporate values regarding homeland security priorities with
employees, customers, partners, and suppliers.
ELEVATED Senior leadership is committed to public responsibility and corporate leadership
regarding homeland security.
(Yellow)
4060% Senior leaders support short- and long-term strategic planning for homeland security.
Homeland security plan is integrated into all senior leaders performance reviews.
Homeland security plan is integrated into all senior leaders performance reviews.
A few senior leaders and managers support and are involved in the organizations
GUARDED homeland security efforts.
(Blue) Homeland security initiatives exist in some parts of the organization.
2040% Organizations corporate policies and procedures reflect some commitment to homeland
security
Homeland security plan is promoted by some senior leaders.
Homeland security plan is promoted by some senior leaders.

Some leaders are beginning to support organizational involvement in homeland security
LOW initiatives.
(Green) Senior leadership does not get involved with employees, suppliers, partners, and
020% customers regarding homeland security issues and concerns.
Senior leadership does not have a homeland security plan in place.
Homeland security plan is promoted only by senior leaders.
Zero-Based Preparation
Process Dimension (Categories 16)
Evaluation Factors
Approach (methods used to accomplish the process)
Deployment (application of the approach throughout the organization)
Learning (refinement of the approach through cycles of evaluation)
Integration (alignment of the approach throughout the organization)

World-Class
Preparation 2. Strategic Planning
Organizations strategic planning process includes homeland security initiatives.
Organization seeks and receives homeland security input from employees, suppliers,
SEVERE partners, and customers before developing a strategic plan.
(Red) The strategic planning process for homeland security includes short- and longer-term plans
80100% based on key security data, customer, supplier, partner, and employee survey data, and
benchmark data deployed throughout the organization.
Homeland security is a critical component of the organizations strategic plans and goals.
Senior management provides homeland security input and approves the strategic plan.
Operational homeland security plans linked to the master strategic plan are developed
HIGH throughout the organization.
(Orange) Managers are held accountable for meeting strategic homeland security goals and
6080% objectives.
Homeland security initiatives are aligned throughout the strategic planning process.
Operational homeland security plans developed at departmental levels link with master
plan.
ELEVATED Organization involves employees, suppliers, partners, and customers in homeland
security planning process.
(Yellow)
4060% Managers at all levels are held accountable for meeting homeland security goals and
objectives.
Homeland security strategic goals and plans initiatives are beginning to be better aligned
throughout the organization.
Strategic homeland security goals are established for key functional areas of the
organization.
GUARDED Some employees, suppliers, partners, and customers are involved in the homeland
security strategic planning.
(Blue)
2040% Some senior managers are involved in homeland security planning.
Some strategic alignment of homeland security initiatives within the organization is
evident.
None to very few employees, suppliers, partners, and customers are involved in planning
for homeland security.
LOW Homeland security planning is not included in the organizations strategic planning
process.
(Green)
020% Employees beyond senior managers are not involved in planning for homeland security.
No organizational alignment is evident for homeland security strategic initiatives.
Evaluation Factors

World-Class
Preparation 3. Customer and Market Focus
Organization conducts surveys, focus groups, and exit interviews to determine customer
requirements for homeland security.
SEVERE Organization promotes trust and confidence in its products/services to customers
(Red)
80100% Organization is continuously gauging customer and market requirements and
expectations regarding homeland security issues.
Homeland security is totally integrated with customer service initiatives.
Effective feedback systems are in place to obtain critical customer and market data
HIGH Customer-contact employees are given homeland security training.
(Orange) Logistical support is in place for customers to provide homeland security support.
6080% Homeland security issues are aligned with customer service initiatives.
Effective customer support regarding homeland security is in place.

A complaint management process for customer concerns regarding homeland security is
ELEVATED in place.
(Yellow) Customer-contact employees are trained on homeland security issues.
4060% Homeland security issues are partially aligned with customer service initiatives.
Most customer groups and markets are segmented regarding homeland security
requirements.
GUARDED Customer follow-up system is in place to address homeland security issues.
(Blue) Future homeland security expectations and requirements are determined and
2040% considered for future implementation among many customers.
Homeland security is beginning to be aligned with customer initiatives.
Organization does not consistently promote trust and confidence with customers
regarding homeland security issues.
LOW Organization does not survey its customers/markets regarding homeland security issues.
(Green) Organization does not consider homeland security a customer service issue.
020% Homeland security is not integrated into customer service initiatives.
Evaluation Factors

World-Class
Preparation 4. Measurement, Analysis, and Knowledge Management
Processes and technology to ensure timely, accurate, valid, and useful homeland security
data for employees, suppliers, partners, and customers are in place.
Competitive comparisons and benchmarking information and data are used to improve
SEVERE
and maintain homeland security.
(Red)
Homeland security data are analyzed organization-wide by employee teams that
80100%
translate it into useful information to help secure the workplace environment.
Homeland security knowledge and data are measured and deployed throughout the
organization.
Employees have rapid access to homeland security data throughout the organization.
Comparative homeland security data are collected, analyzed, and translated into useful
information to support a secure workplace.
HIGH
(Orange) Processes and technologies are used across most of the organization to ensure that
homeland security data are complete, timely, accurate, valid, and useful.
6080%
Homeland security data are integrated with daily operations.
Employees have access to homeland security data in many parts of the organization.
Most critical processes have homeland security data that are complete, accurate, and
ELEVATED timely.
(Yellow) Measures exist that gauge homeland security effectiveness throughout the organization.
4060% Homeland security data are measured, analyzed, and distributed throughout most of the
organization.
Homeland security data exist for some critical products/services and processes.
Organization ensures that hardware and software are reliable, secure, and user-friendly
GUARDED regarding homeland security.
(Blue) Homeland security data and knowledge are transferred to key customers, suppliers, and
2040% partners.
Homeland security data and knowledge are beginning to be aligned throughout the
organization.
Homeland security data received for comparison appear anecdotal.

Limited homeland security data are used to ensure a secure workplace for employees.
LOW Collection of homeland security data is in the beginning stages within the organization
(Green) and not consistently shared with customers, suppliers,and partners.
020% Homeland security data and knowledge are not integrated throughout the organization.
Evaluation Factors

World-Class
Preparation 5. Human Resource Focus
Organization is highly sensitive to employee well-being and satisfaction regarding home-
land security.
SEVERE Organization supports homeland security plans and goals through employee education,
training, and development initiatives.
(Red)
80100% Organization supports workplace preparedness for emergencies and homeland security
by promoting cross-functional teams to address and to be recognized for innovative
problem-solving approaches in identifying and resolving homeland security issues.
Homeland security issues are totally integrated within the organizations workforce
initiatives.
Senior and middle management support and recognize employee involvement, contribu-
tions, and teamwork in resolving homeland security issues.
HIGH Employee idea sharing and innovation is encouraged regarding homeland security.
(Orange) Employees are empowered and rewarded when they identify and address homeland
6080% security issues.
Homeland security is integrated with most of the organizations workforce initiatives.
Homeland security awareness is promoted within many parts of the organization.

Employees are given homeland security training on an annual basis.
ELEVATED Management supports cross-functional teams to identify homeland security opportuni-
(Yellow) ties for the organization.
4060% Homeland security issues are partially integrated with the organizations workforce initia-
tives.
Managers in some parts of the organization support employee involvement in homeland

security.
Organization does not consistently keep employees informed regarding homeland secu-
GUARDED
rity issues.
(Blue)
2040% Employee training initiatives do not consistently address homeland security issues.
Homeland security is integrated with some workforce training and safety issues.
Few employees within the organization are empowered to work on homeland security
issues.
LOW Workforce is rarely surveyed regarding its well-being and satisfaction with the organiza-
tions homeland security initiatives.
(Green)
020% Employees involved with improving homeland security are seldom recognized by the
organization.
Homeland security is not aligned with workforce issues and a safework environment.
Evaluation Factors

World-Class
Preparation 6. Process Management
Key homeland security processes have been identified and documented across the
organization.
Systematic approaches are used to document key homeland security processes to
SEVERE
ensure shortened cycle time and consistent procedures.
(Red)
Critical homeland security processes are reviewed on an ongoing basis to reduce vari-
80100%
ability and to keep the processes current with homeland security needs and directions.
Homeland security initiatives are aligned with key customer, supplier, and partner
process initiatives.
Key homeland security processes are documented and controlled across the organiza-
tion.
Comprehensive homeland security assessments are conducted throughout the organi-
HIGH
zation on an annual basis.
(Orange)
Analytic problem-solving tools are used within the organization to identify and solve
6080%
homeland security problems.
Homeland security issues are aligned with the organizations key business processes.
Process assessments are conducted in many parts of the organization to ensure a safe
work environment.
Customer, supplier, partner, and employee survey results are used to gauge homeland
ELEVATED security readiness.
(Yellow)
Organization identifies and documents key processes that support homeland security.
4060%
Homeland security issues are mostly aligned with the organizations key business
processes.
Homeland security assessments are conducted only when a breach of security has
occurred.
Not all critical homeland security issues have been identified and addressed.
GUARDED
(Blue) Limited customer, supplier, and partner input is incorporated into documentation of
homeland security process designs.
2040%
Homeland security issues are partially integrated with the organizations operations and
key business and support processes.
Organization is in an appraisal mode rather than a prevention mode regarding its

assessment of homeland security issues.
LOW Limited homeland security assessments are conducted.
(Green) Homeland security issues to ensure a safe work environment are seldom addressed
020% and documented.
Homeland security issues are not integrated with the organizations operations and key
processes.
Evaluation Factors

World-Class
Preparation 7. Business Results
Customer satisfaction results regarding homeland security initiatives have shown posi-
tive results over the past three years.
SEVERE Homeland security performance results have experienced a steady improvement over
the past five years.
(Red)
80100% Employee suggestions for homeland security improvement and innovative safe work
practices show positive trends over the past several years.
Homeland security results are trended and used to align overall corporate security.
Organizations homeland security improvement results reflect improvement in cycle time

and operational performance.
Key measures of the organizations homeland security processes reflect cycle time
HIGH
reductions, and cost results have improved over the past two to three years in most
(Orange) parts of the organization.
6080%
Comparative homeland security benchmark results reveal that the organization is lead-
ing its industry.
Homeland security results are used to gauge vulnerability issues throughout the organization.
Key measures of homeland security within operations, shipping, and customer contact
reflect a three-year trend of positive results.

ELEVATED Supplier partnership with organizations homeland security efforts show positive trends
(Yellow) over the past two years.
4060% Customer involvement with homeland security issues reflects positive results over the
past two years.
Homeland security results are mostly collected and used to gauge vulnerability issues.
Customer satisfaction with homeland security shows positive results and trends.
Employee involvement in homeland security projects has shown positive results over the
GUARDED past two years.
(Blue) Employee satisfaction with organizations homeland security effort shows positive trends
2040% over the past three years.
Homeland security results are partially collected and deployed.
Limited homeland security benchmark results are collected by the organization.

Employee satisfaction with homeland security within the organization has limited results
and appears to be decreasing.
LOW
(Green) Organizations improvement in homeland security efforts appears anecdotal and has
020% limited results.
Homeland security results are not reported or aligned with other organizational initiatives.
Results Dimension (Category 7)
Evaluation Factors
Performance Levels (position of data performance)
Trends (rate and breadth of data)
Comparisons (results relative to appropriate benchmarks)
Linkage (alignment of data with key organizational initiatives)
Gap (missing segments of data)
H1237 Fisher20_IDX.qxd 8/28/04 12:40 PM Page 217
Index
A pre-assessment meeting, 21 valuing employees and

sample compositions of, 2021 partners, 3
absenteeism, 110 small organization, 21 visionary leadership, 3
acceptable risk, 205 team interview of participants, 21 customer and market focus, 3, 14,
access, 205 assurance, 206 31
access control, 205 attack, 206 Homeland Security Advisory
accountability, 3738, 153, 205 audit, 37, 137, 206 System (HSAS) and, 518
accuracy, 86, 91 audit trail, 206 homeland security efforts and, 4
"Achieving Competitiveness and authentication, 206 human resources focus, 3, 17, 31,
Security: Creating a Business availability, 206 119, 122
Case for Security," 197198 leadership, 3, 12, 31
action plan, 5556, 148 measurement, analysis, and
development/deployment of, 56 B knowledge management, 3, 15,
employee education/training, Baldrige assessment, 203 31
102103 glossary terms for, 203205 process management, 3, 17, 31
human resource plan, 55, 58 Baldrige assessment scoring system, strategic planning, 3, 13, 31
key performance measures, 55, 5, 11 Baldrige National Quality Award, 3,
5960 hierarchy of assessment needs, 160 19
short/long term, 55, 57 importance as scoring Baldrige National Quality
strategic objectives, 57 consideration, 67 Improvement Act of 1987, 3
actionable strategies, 161 process evaluation dimension, 56, benchmarking, 19, 72, 75, 89, 131,
administrative processes and 8, 1217 133, 203. See also homeland
support services, 203 results evaluation dimension, 56, security benchmarking process
agency, 205 9, 18 benchmarking site visit, 191192
aggregated data, 205 risk of attack levels, 10 benchmarking survey, 193194
agility, 3, 36, 9495 scoring guidelines, 89, 11 results graph, 194
alert, 205 summary of assessment, benchmarking team formation, 191
anchor point (preparedness), 7 158159 best practices, 5, 19, 72, 82, 86, 89,
application, 205 Baldrige Criteria for Performance 133, 191, 198
approach (A), 5, 8, 1217 Excellence, 24 blue level, 10
areas of control, 205 assessment teams and, 2829 border security, 2
areas of potential compromise, 206 business results, 3, 18, 31 Bush, George W., 1, 4
assessment. See homeland security core values and concepts, 3 Business Case for Security
assessment agility, 3 (framework), 198
assessment implementation, eight customer-driven excellence, 3 business community, 2
steps for, 2832 focus on the future, 3 business continuity, 110, 198
assessment teams, 161 focus on results and creating business ethics, 203
Baldrige Criteria and, 2829 value, 3 business growth, 141
consensus and scoring, 22 management by fact, 3 business plan, 203
coordination of schedules, 21 managing for innovation, 3 business results, 3, 18, 31, 135
delivery of report, 22 organizational and personal assessment team, 21
large organization, 2021 learning, 3 customer-focused results, 136137
organizational overview (sample), social responsibility, 3 financial and market results,
2328 system perspective, 3 141143
217
218 Index
governance and social cost control, 120 customer requirements, 64, 66

responsibility results, 152155 Council on Competitiveness, 197 customer satisfaction determination,
human resource results, 144147 counseling, 111 68, 7275, 136137
organizational assessment bar counterterrorism, 2 actionable feedback, 74
graph, 165 crisis management, 206 annual surveys, 73
organizational effectiveness critical infrastructures, 206 benchmark data comparisons, 75
results, 148151 cross-functional teams, 9598, 123, customer follow-up, 68
product and service results, 125, 203 customer panels, 73
139140 curriculum development, 104 follow-up action, 74
supplier/customer assessment, customer, 123, 128129, 203 keeping initiatives current, 68, 76
189 customer complaints, 68, 70 supplier/customer assessment,
world-class organization, 136160 customer contact employee, 203 181
zero-based organization, 136160 customer-driven excellence, 3 customer website, 70
business and support services, 203 customer-focused results, 136138 customer/market needs, 50
customer-perceived value, 136, 138 cyberattack, 206
customer cycle time, 120, 123, 133, 140, 148, 203
C satisfaction/dissatisfaction,
capability, 206 136137
career development, 101, 102, 109 world-class organization, 137138 D
career progression, 94, 99101 zero-based organization, 137138 data, 203
chief information officer, 206 customer groups, 6465, 68 data analysis, 203
citizen corps, 35 customer loyalty and retention, 64, data and information availability,
civil liberties, 206 68, 136 8687
code, 206 customer and market focus, 3, 14, 31, hardware/software reliability,
code amber, 206 6376. See also security, and user-friendliness,
code of conduct, 45 supplier/customer assessment 88
code green, 206 assessment team, 20 keeping systems current, 89
code red, 206 customer groups, 6465 data integrity, 207
cold site, 206 customer loyalty and retention, 64 data selection, collection, and
color-coded Homeland Security customer relationships and integration, 8081
Advisory System (HSAS), 5, satisfaction, 6876 debilitated, 207
1011, 81. See also Homeland customer requirements, 64, 66 defects, 120
Security Advisory System knowledge process for, 6467 defense, 207
communication, 5, 10 listening and learning, 64, 67 delete access, 207
homeland security analysis, 85 market segments, 6465 denial of service, 207
work systems and, 94 organizational assessment bar Department of Homeland Security,
work units and, 96 graph, 163 10
communities support, 4243, 46, 156 target customers, 6465 deployment (D), 5, 8, 1217
community partnership forum, 69 world-class organization, 6576 destruction, 207
comparative data and information, zero-based organization, 6576 digital signature, 207
80, 82 customer panels, 73 disaster plans, 112
comparisons (C), 6, 9, 18 customer-perceived value, 136, 138 disaster recovery, 207
compensation, 94 customer relationship building, distance learning, 106
competitive comparisons, 203 6872, 136 diversity in workplace, 96, 102, 110
competitive environment, 50 complaint-management process, documented improvement, 204
competitors, 64, 75 71 domestic counterterrorism, 2
complaint-management process, 70 complaints, 68, 70
computer emergency response team, homeland security needs and
206 directions, 69, 72 E
computer network, 206 key access mechanisms, 70 economic security, 50, 207
computer security, 206 customer relationship management, economic value, 141
confidentiality, 87, 92, 206 203 effectiveness, 5, 123, 148
consequence management, 206 customer relationships and efficiency, 123, 148
contingency procedures, 11 satisfaction, 6876 elevated condition (yellow), 10
continuous/breakthrough customer relationship building, emergency and disaster plans, 112
improvement, 40 6872 emergency medical services, 2
control chart, 203 customer satisfaction emergency preparedness, 2, 10. See
cooperation, 9495 determination, 68, 7475, also preparedness
coordination of schedules, 21 136137 emergency response, 2, 1011
Index 219
emergency services, 207 evaluation, 6 high condition (orange), 1011

employee(s). See also work event, 207 hijacking, 207
environment execute access, 207 hiring and career progression, 94,
environment for empowerment, Executive Order 13228 (Office of 199101
36 Homeland Security), 1 homeland security
feedback and, 98 expert review team, 207 assessment implementation steps,
potential employees, 99 extranet, 207 2832
recruiting, hiring, and retaining of, assessment items (summary),
100 158159
study circles, 36 F critical mission areas of, 2
succession planning for, 101 facilities, 207 border and transportation
employee benefits, 110 feedback, 6 security, 2
employee climate survey, 113 actionable feedback, 74 catastrophic terrorism
employee education, training, and employees and, 94, 98 defense, 2
development, 100105, 139 financial impact assessment, 198 domestic counterterrorism, 2
curriculum development team, financial and market results, 141143 emergency preparedness and
104 current levels/trends in, 142143 response, 2
delivery methods of, 106 world-class organization, 142143 intelligence and warning, 2
evaluating effectiveness of, 108 zero-based organization, 142143 protecting critical infrastructure,
homeland security action plans financial return, 141 2
and, 102103 fire department, 2 hierarchy of homeland security
reinforcing knowledge/skills, 107 firewall, 207 assessment needs, 160
senior leaders input and, 105 firmware, 207 national strategy for, 2
employee involvement, 204 fiscal accountability, 37, 153 need for, 1
employee learning and motivation, flowchart, 121122, 204 performance measures for, 39
102109 focus on the future, 3 preparedness first steps, 2, 19
employee education, training, and focus groups, 72, 105, 115 presidential directives for, 10
development, 102109 focus on results and creating value, 3 resources for, 12
motivation and career follow-up action, 74 societal impacts of, 43
development, 102, 109 spending on, 1
world-class organization, 103109 Homeland Security Advisory System
zero-based organization, 103109 G (HSAS), 4, 1011, 81
employee morale, 204 gap (G), 6, 9, 18 assessment scores based on, 11
employee orientation, 100, 102 gateway, 207 Baldrige Criteria and, 518
employee performance management goals and strategies, 204 risk of attack levels, 10
system, 94, 98 governance and social responsibility elevated condition (yellow), 10
employee recognition, 94 results, 152156 guarded condition (blue), 10
employee retention, 110 accountability measures, 152153 high condition (orange), 1011
employee support and satisfaction, ethical behavior, 152, 154 low condition (green), 10
110, 114117 organizational citizenship, 152, severe condition (red), 11
benefits and services for, 112 156 homeland security assessment
formal/informal assessment regulatory/legal compliance, 152, actionable strategies from,
methods, 115 155 161169
implementation of findings, 116 world-class organization, Baldrige Criteria, 2831
employee surveys, 88, 113, 115 153156 beginning process of, 1920
employee well-being and zero-based organization, 153156 eight steps for implementation of,
satisfaction, 110116, 147 government services, 207 2832
employee support and green level, 10 glossary terms, 205210
satisfaction, 110, 113116 grievances, 110 how to use manual, 19, 2832
work environment, 110112 guarded condition (blue), 10 initial briefing on, 1920
world-class organization, 111116 organization assessment, 2022,
zero-based organization, 111116 162166
empowerment, 9495, 204 H organizational overview (sample),
entity-wide security, 207 hacker, 207 2328
environment, 207 hardware, 86, 88, 207 preparation for, 1920
ergonomics, 110, 204 HAZMAT response, 2 senior leadership and, 19
ethical behavior, 42, 45, 102, 154 help desk, 70 team administrator, 1920
ethical code, 154 hierarchy of homeland security team members, 2021
ethics audit, 154 assessment needs, 160 homeland security audits, 125
220 Index
homeland security benchmarking incapacitation, 208 organizational governance, 34

process, 191196 incident, 208 organizational leadership, 3441
benchmarked process industry benchmarks, 75 organizational performance
improvement steps, 196 industry focus groups, 72 review, 34
benchmarking site visit, 191192 information assurance, 208 senior leadership direction,
benchmarking site visit information and communications, 34, 41
completed, 192 208 social responsibility and, 4245
benchmarking survey, 193194 information and knowledge succession planning, 94
benchmarking team formation, 191 management, 8691 supplier/customer assessment,
site visit benchmarking overview, data and information availability, 177
195 86 world-class organization, 3541
homeland security data support organizational knowledge, 86 zero-based organization, 3541
team, 89 world-class organization, 8691 leadership academy, 109
homeland security documentation zero-based organization, 8691 learning (L), 6, 8, 1217
list, 201 information security, 208 legal compliance, 154
homeland security orientation information sharing and analysis linkage (Li), 6, 9, 18
program, 100 center, 208 logic bomb, 208
homeland security plan, strategic information systems (IS), 208 low condition (green), 10
planning worksheet (example), information technology (IT), 208
180181 infrastructure, 208
Homeland Security Scoring Profiles, protecting critical, 2 M
5, 1118, 158159 threat to, 1 Malcolm Baldrige Criteria for
business results, 18, 159 infrastructure assurance, 208 Performance Excellence. See
customer and market focus, 14, 158 initiative, 9495 Baldrige Criteria for
human resource focus, 16, 159 innovation, 50, 9495 Performance Excellence
leadership, 12, 158 integrated security management Malcolm Baldrige National Quality
measurement, analysis, and (framework), 198 Award, 3, 19
knowledge management, 15, integration (I), 6, 8, 1217 Malcolm Baldrige National Quality
158 integrity, 86, 91, 208 Improvement Act of 1987, 3
process management, 17, 159 intelligence, 2 malicious program, 208
strategic planning, 13, 158 interdependence, 208 management accountability, 37
homeland security self-assessment for interface, 208 management by fact, 3
suppliers/customers, 171190 internal customer/supplier network, managing for innovation, 3
homeland security team, 87 204 manufacturing organization, 204
hospitals, 2 internet, 208 market focus, 3, 14
hot site, 207 interviewing, hints and tips for, 199 market segments, 6465
human resource focus, 3, 16, 31, 93 intranet, 99, 208 market share/position, 141
assessment team, 20 intrusion, 208 marketplace performance, 141
employee learning and measurement, 204
motivation, 102109 measurement, analysis, and
employee well-being and J knowledge management, 3, 15,
satisfaction, 110116 job rotation, 145 31, 79
organizational assessment bar assessment team, 20
graph, 176 information and knowledge
supplier/customer assessment, 185 K management, 8691
work systems, 94101 Kentucky League of Cities, 1 organizational assessment bar
world-class organization, 95116 key indicators, 204 graph, 163
zero-based organization, 90116 knowledge. See organizational organizational performance,
human resource plans, 55, 58 knowledge 8085
human resource results, 144147 knowledge assets, 86 supplier/customer assessment,
world-class organization, 145147 83
zero-based organization, 145147 world-class organization, 8191
hyperlink, 207 L zero-based organization, 8191
leadership, 3, 12, 31, 33. See also medical personnel, 2
organizational leadership; mentoring programs, 101
I senior leadership metric, 208
importance, as a scoring assessment team, 20 minimum level of protection, 208
consideration, 67 organizational assessment bar mission critical, 208
improvement plan, 204 graph, 162, 167 mission statement, 204
Index 221
mitigation, 208 organizational performance homeland security scoring

motivation and career development, review, 34, 3841 profiles, 1218
102, 109, 110, 113 senior leadership direction, 3436 readiness and capabilities, 38
world-class organization, 3541 strategic objectives for, 53, 55
zero-based organization, 3541 in workplace, 110, 112
N organizational learning and world-class preparation, 7
National Governor's Association, 1 listening, 3, 64, 67 zero-based preparation, 7
National Guard, 11 organizational overview, 11, 2328 probe, 209
National League of Cities, 2 organizational performance problem-solving teams, 204
national security information, 84 data and information, 8081 problem-solving tools, 204
"National Strategy for Homeland measurement and analysis of, process, 204
Security Report" (2002), 2 8085 defined, 5
network security, 208 performance analysis, 8485 process control, 204
New Cities Foundation, 1 performance measurement, 8083 process evaluation dimension
newsletters, 107 organizational performance review, 34 (Baldrige categories 1-6), 56,
continuous/breakthrough 8, 1217
improvement, 34, 40 approach, deployment, learning,
O key performance measures, 34, 39 and integration (A-D-L-I), 5,
Office of Homeland Security, 1 readiness and capabilities, 34, 38 1217
on-the-job training (OJT), 104, senior leaders review, 34, 41 customer and market focus, 6276
106108 organizational strategy, 148, 151 human resource focus, 93116
online knowledge management leadership, 3346
system, 90 measurement, analysis, and
operating system, 209 P knowledge management,
operational performance, 149150 partners, 128129, 148 7992
optical scanner, 209 partnership, 209 process management, 119134
orange level, 1011 password, 209 strategic planning, 4960
organization assessment, 2022 password cracker, 209 process management, 3, 17, 31, 119,
organization and management of patch, 209 204
work, 9497 peer coaching teams, 96 assessment team, 21
organizational assessment bar graph, performance analysis, 80 organizational assessment bar
162166 communicating results, 85 graph, 164
organizational culture, 94, 96 organizational performance, 8485 supplier/customer assessment,
organizational effectiveness results, senior leaders' organizational 199
148151 performance review, 84 support processes, 132138
world-class organization, 148151 strategic plan, 84 value creation processes, 120126
zero-based organization, 148151 performance data, 204 world-class organization,
organizational governance, 34 performance levels (Le), 6, 9, 18 120134
audits, 34, 37 performance measurement zero-based organization, 120134
fiscal accountability, 34, 37 action plan, 55, 5960 product and service results, 139140
management accountability, annual review for, 83 product/service delivery, 138, 141
34, 37 best practices comparisons, 82 world-class organization, 141
stakeholder/shareholder interests, comparative data and information, zero-based organization, 141
34, 37 82 productivity, 5, 110, 120, 148
organizational knowledge, 86, 9091. data selection, collection, and productivity improvement, 204
See also measurement, analysis, integration, 81 profitability, 120
and knowledge management homeland security advisory protocol, 209
accuracy, 86, 91 system and, 81 public confidence, 209
best practices for, 86 keeping system current, 83 public events, 1, 11
confidentiality, 86, 91 organizational performance, 8083 public key infrastructure, 209
customers, suppliers, partners, 86, risk of attack levels, 82 public-private partnerships, 198
90 performance projection, 55, 60 public responsibility, 4244, 192
employee knowledge, 86, 90 personal learning, 3 purge, 209
integrity, 86, 91 physical security, 209
reliability, 86, 91 pilot tests, 126
security, 86, 91 pre-assessment meeting, 21 Q
timeliness, 86, 91 preparedness quality assessment, 204
organizational leadership, 3441 anchor point, 7 quality plan, 204
organizational governance, 34, 37 first steps for, 2 quality results, 204
222 Index
Quick and Easy Supplier/Customer senior leadership strategic planning, 3, 13, 31, 49, 198
Assessment for Homeland assessment teams, 2122 assessment team, 20
Security, 171190 Baldrige Criteria and, 19 homeland security factors, 5152
direction of, 34 organizational assessment bar
homeland security graph, 162
R education/training and, 105 strategic objectives, 50, 5354
read access, 209 homeland security issues and, strategy development process,
Reagan, Ronald, 3 1920 5052
recognition program, 109 organizational governance, 34, 37 supplier/customer assessment,
recommended practices, 209 organizational leadership, 3436 179
reconstitution, 209 employee empowerment, and world-class organization, 5060
red condition, 11 agility, 36 zero-based organization, 5060
red team, 209 values, directions, and strategic planning worksheet
redundancy, 209 expectations, 35 (example), 168169
regulatory compliance, 154 organizational performance strategy deployment, 5560
reliability, 86, 91, 209 review, 34, 84 performance projection, 55, 60
remediation, 209 homeland security readiness strategy development and
remote access, 209 and capabilities, 38 deployment, 5559
residual risk, 209 involvement in homeland strategy development process, 5052
resources, 50 security, 41 competitive environment, 50
response, 209 key homeland security customer/market needs,
responsibilities to public, 4244 performance measures, 39 expectations, and
results, defined, 6 management accountability of, opportunities, 50
results evaluation dimension 39 national/global economy, 50
(Baldrige category 7), 6, 9, 18 priorities for opportunities to redirect resources,
business results, 135160 continuous/breakthrough 50
performance levels, trends, improvement, 40 potential risks, 50
comparisons, linkages, and succession planning of, 101 strengths and weaknesses, 50
gap (Le-T-C-Li-G), 6, 18 sensitive information, 210 technological/key innovations, 50
retention, 136 service organization, 205 unique organization factors, 50
rewards, 109 Service Quality Indicators (SQIs), study circles, 36
rewards and incentives, 94 124, 148 subject matter expert (SME), 20
Ridge, Tom, 1 severe condition (red), 11 subscriber website, 87
risk, 50, 210 site visit, 191192, 195 succession planning, 101
risk assessment, 2, 210 small business, 205 superuser, 210
risk of attack levels, 8182 sniffer, 210 supplier, 126, 133134, 158, 205
assessment scores based on, social responsibility, 3, 4245 supplier certification program, 205
1118 ethical behavior, 42, 45 supplier partnership, 205
elevated condition (yellow), 10 key communities support, 42, 46 supplier/customer assessment,
guarded condition (blue), 10 responsibilities to public, 4244 171190
high condition (orange), 1011 social responsibility results, assessment improvement plan,
low condition (green), 10 152156 176189
severe condition (red), 11 software, 86, 88, 90, 210 guidelines for, 174
risk factors, 153 spoofing, 210 organizational profile, 172173
risk management, 210 stakeholder(s), 122, 129130 scheme form, 190
roundtable discussions, 69 strategic objectives and, 54 scoring profile, 175
stakeholder interests, 37 self-assessment evaluation
stakeholder trust, 154 dimensions, 173174
S statistical process control (SPC), support processes, 127133
safe work practices, 204 205 annual assessment, 130
sector, 210 strategic objectives, 50, 5354 audits of, 132
sector coordinator, 210 action plan for, 55 best practices, 133
security, 86, 91 challenges of, 50 cost minimization, 127, 132
security scoreboard, 131 goals and, 50 design of, 127, 130
security threat, 108 stakeholder needs, 50 determination of, 127128
segregation of duties, 210 timetable for, 50 improvements to, 127, 133
self-assessment teams, 125 strategic plan, 204 key performance measures, 127,
senior executive, 204 performance analysis, 84 131
Index 223
key requirements, 127, 129 Trojan horse, 210 world-class vs. zero-based
security scoreboard, 131 24 hour customer access, 7071 organization, 7, 1218, 30, 205
world-class organization, business organization, 136160
128133 customer-focused results,
zero-based organization, U 137138
128133 user-friendly, 86, 88, 205 customer relationship building, 68,
survey(s), 73 utility, 210 7375
benchmarking survey, 193194 customer satisfaction
employee surveys, 88, 113, 115 determination, 7275
third-party survey, 205 V customers and market knowledge,
survey process, 88, 204 value creation processes, 120126, 6466
system, 205 149 employee learning and
system administrator, 210 costs and, 120, 125 motivation, 103109
system integrity, 210 design requirements, 120, 123 employee well-being and
system security officer, 210 determination of, 120122 satisfaction, 111116
system security plan, 210 efficiency/effectiveness factors, financial and market results,
systems perspective, 3 120 142143
improvement of, 120, 124, 136 governance and social
key performance measures, 120, responsibility results,
T 124 153156
target customers, 6364 key process requirements, 120 human resource results, 145147
targets, 205 organization's surveys, 121 information and knowledge
team administrator (leaders), 1922 world-class organization, 121126 management, 8691
team interview, 21 zero-based organization, 121126 leadership in, 3541
team members, 2022 values statement, 205 measurement, analysis, and
diversity of, 20 valuing employees and partners, 3 knowledge management,
large organization, 2021 virus, 210 7991
selection of, 2021 vision statement, 205 organizational effectiveness
small organization, 21 visionary leadership, 3, 210 results, 148151
subject matter expert (SME) and vulnerability, 210 organizational governance, 37
category leader, 20, 22 vulnerability assessment, 2, 210 organizational performance
teams. See also assessment teams review, 3841
benchmarking team formation, performance projection, 60
191 W process management, 120133
cross-functional teams, 9598, 123, warning, 2 product and service results, 140
125, 203 warranty costs, 120 senior leadership direction, 3536
site visits, 191192, 195 work environment, 111 social responsibility, 4246
work teams, 95 employee climate survey, 113, 115 strategic objectives, 5354
technology, 210 employee well-being, satisfaction, strategy development and
terrorism and motivation, 111113 deployment, 5659
catastrophic terrorism defense, 2 preparedness in, 110, 112 strategy development process and,
high profile events, 1, 11 work systems, 94101 5152
infrastructure threat, 1 annual review of, 95 support processes, 128133
potential targets of, 1 communication across, 96 value creation processes, 121126
third-party survey, 205 employee performance work systems, 9597
threat, 210 management system, 94, 98
time bomb, 210 hiring and career progression, 94,
time horizons, 55 99101 X-Y
timeliness, 86, 91 organization and management of yellow level, 10
toll free phone line, 70 work, 9497
total quality management (TQM), trends data in, 145
205 world-class organization, 9597 Z
transportation, 210 zero-based organization, 9597 zero-based organization, 6, 1218, 30,
transportation security, 2, 11 work teams, 95 68, 136160, 205. See also
trend data, 150 workplace health, safety, and world-class vs. zero-based
trends (T), 6, 9, 18 security, 110111 organization

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Also Available from ASQ Quality Press:

Principles and Practices of Organizational Performance Excellence

Quality's Greatest Hits: Classic Wisdom from the Leaders of Quality

Certified Quality Manager Handbook, Second Edition

From Quality to Business Excellence: A Systems Approach to Management

The Executive Guide to Improvement and Change

To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or

Donald C. Fisher, Ph.D.

ASQ Quality Press

American Society for Quality, Quality Press, Milwaukee 53203

Library of Congress Cataloging-in-Publication Data

Publisher: William A. Tony

Printed on acid-free paper

This book is dedicated to the memories of my father, Alvin G. Fisher,

Chapter 1 How to Use the Baldrige Criteria and HSAS to Assess

Chapter 2 How to Use the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

Chapter 3 Category 1: Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Chapter 4 Category 2: Strategic Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Chapter 5 Category 3: Customer and Market Focus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

Chapter 6 Category 4: Measurement, Analysis, and Knowledge

Chapter 7 Category 5: Human Resource Focus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Chapter 8 Category 6: Process Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119

Chapter 9 Category 7: Business Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

Chapter 10 Transforming Assessment Findings into Actionable

Appendix A: Quick and Easy Supplier/Customer Assessment

Debra Van Opstal

Homeland Security Resources

Developing the plan

First Steps for Preparedness

National Strategy for Homeland Security

Baldrige Criteria for Performance Excellence

Baldrige Core Values and Concepts

The Baldrige Award

The Baldrige Criteria

Homeland Security Advisory System (HSAS)

1 How to Use the Baldrige

Process Evaluation Dimension (Baldrige Categories 16)

Learning (L) refers to:

Results Evaluation Dimension (Baldrige Category 7)

Importance as a Scoring Consideration

Zero-Based Preparation World-Class Preparation

Green Blue Yellow Orange Red

BALDRIGE SCORING GUIDELINES

BALDRIGE SCORING GUIDELINES

Scoring Profiles Based on Risk of Attack Levels

Presidential Directives for Homeland Security

Homeland Security Advisory System (HSAS) Risk of Attack Levels

Assessment Scores Based on Risk of Attack Levels

HOMELAND SECURITY SCORING PROFILES

Most senior leaders promote homeland security initiatives among employees.

Homeland security plan is promoted by some senior leaders.

HOMELAND SECURITY SCORING PROFILES

HOMELAND SECURITY SCORING PROFILES

Effective customer support regarding homeland security is in place.

HOMELAND SECURITY SCORING PROFILES

Homeland security data received for comparison appear anecdotal.

HOMELAND SECURITY SCORING PROFILES

Homeland security awareness is promoted within many parts of the organization.

Managers in some parts of the organization support employee involvement in homeland

HOMELAND SECURITY SCORING PROFILES

Organization is in an appraisal mode rather than a prevention mode regarding its