Homeland Security Assessment Manual: A Comprehensive Organizational Assessment Based On Baldridge Criteria

238 Pages·2005·1.105 MB·English

by  Fisher, Donald C., Hytinen, Annemieke, O'Mara, Paul

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Homeland Security
Assessment Manual
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H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page iii
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 management—United States—Handbooks, manuals, etc. 2. Civil defense—
United States—Handbooks, manuals, etc. 3. National security—United States—
Handbooks, manuals, etc. 4. Terrorism—Prevention—Government policy—United
States—Handbooks, manuals, etc. I. Title.
HV551.3.F57 2005
658.4'73—dc22 2004016879
ISBN 0-87389-640-8
No part of this book may be reproduced in any form or by any means, electronic, mechanical,
photocopying, recording, or otherwise, without the prior written permission of the publisher.
Publisher: William A. Tony
Acquisitions Editor: Annemieke Hytinen
Project Editor: Paul O’Mara
Production Administrator: Randall Benson
Special Marketing Representative: David Luth
ASQ Mission: The American Society for Quality advances individual, organizational, and community
excellence worldwide through learning, quality improvement, and knowledge exchange.
Attention Bookstores, Wholesalers, Schools, and Corporations: ASQ Quality Press books, videotapes,
audiotapes, and software are available at quantity discounts with bulk purchases for business, educational,
or instructional use. For information, please contact ASQ Quality Press at 800-248-1946, or write to ASQ
Quality Press, P.O. Box 3005, Milwaukee, WI 53201-3005.
To place orders or to request a free copy of the ASQ Quality Press Publications Catalog, including ASQ
membership information, call 800-248-1946. Visit our Web site at www.asq.org or
http://qualitypress.asq.org.
Printed on acid-free paper
H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page v
This book is dedicated to the memories of my father, AlvinG.Fisher,
a World War II veteran, watchmaker, andjeweler, and my father-in-law, Ernest M. Madrey,
afarmer, carpenter, and youth advisor to
4-H programs forover 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 1–6). . . . . . . . . . . . . . . . . . . . . . . . . . . 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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