1、2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译1Subject主题 5Self-Assessment and ImprovementBased on Baldrige Criteria基于波多里奇标准的自我评估和改进2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译25.1 Introduction to Self-Assessment5.1自我评估导论2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译3Reas
2、ons for Self-Assessment（1）自评的原因Customers and competitors are driving a need to change(Response to threats).顾客和竞争者驱动变化的需求（响应威胁）。Your industry is changing rapidly(Looking for flexibility).行业正在快速变化（寻找灵活性）。Life beyond ISO(Continual improvement).ISO保证后的下一步（持续改进）。Your leadership team has committed to enha
3、nce organizational learning.你的领导里队伍承诺加强组织的学习。Your organizations values are aligned with the Core Values of the Criteria.组织的价值与标准的核心价值协调一致。2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译4Reasons for Self-Assessment（2）自评原因You could capitalize on one or more of the following benefits of conduct
4、ing a self-assessment and implementing action plans for improvement:你可以从执行自评和实施改进措施中得出下列好处：jump-starting change initiatives 启动变化 energizing improvement initiatives 加强改进 focusing your organization on common goals 组织目标的一贯化Provides:-current strengths and opportunities,-a baseline to measure future prog
5、ress.提供：-目前的优势和机会；测量未来进展的基准Self-assessment can provide an impetus for learning,a stimulus for growth,and a trigger for action.自评能为学习提供动力，为发展提供刺激因素，为行动提供驱动器。2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译5pCase Study 案例研究案例研究9In accordance to the Baldrige program:依据波多里奇方案：The Criteria are des
6、igned to help organizations use an integrated approach to organizational performance management that results in(3 goals):设计本标准是为了帮助组织使用完整的方法进行组织业绩管理，以完成下列目标：Goal 1:delivery of ever-improving value to customers,contributing to marketplace success 向顾客不断提供改 进价值，以及贡献于市场成功。Goal 2:improvement of overall o
7、rganizational effectiveness and capabilities 整个组织有效性和能力的改进。Goal 3:organizational and personal learning 组织和个人的学习。2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译6pCase Study 案例研究案例研究9Please review the definitions of management and process approaches on the next 4 pages and 请在下面4页回顾管理和过程方法的定义，并
8、：1.Decide which approach is applicable to your operation哪一种方法适用于你的经营：-Reacting to Problems;-Early Systematic Approach 问题反应式 早期的系统性方法-Aligned Approach;-Integrated Approach 协调方法 综合的方法2.Based on your operation and understanding of the Baldrige Criteria,do you agree Baldrige Criteria is an effective too
9、l to achieve the 3 goals?Answer the questions by giving scores.基于你对波多里奇标准的经营和理解，你是否认同波多里奇标准是完成3大目标的有效工具？(1=strongly disagree非常不赞同,3=can not decide不能确定是否赞同,5=strongly agree非常赞同)Goal 1:_ Goal 2:_ Goal 3:_3.Give explanations if you have given score(s)in the 1 to 3 band.清对你给的分数加以解释。2022-8-4Prepared by S
10、trategy,Risk and Rating(SRR)科飞咨询翻译7(1)Reaching to Problems问题反应式问题反应式 Operations are characterized by activities rather than by processes,and they are largely responsive to immediate needs or problems.经营基于个别行动而不是由过程管理，他们在很大程度上对需求或问题进行立即响应。Strategic and Operational GoalsCase Study 92022-8-4Prepared by
11、 Strategy,Risk and Rating(SRR)科飞咨询翻译8 (2)Early Systematic Approach早期的系统方法早期的系统方法 The organization is at the beginning stages of conducting operations by processes with repeatability,evaluation and improvement,and coordination among organizational units.组织通过可重复的过程、评价和改进以及组织单元间的协调开始执行经营。Strategic and
12、Operational GoalsCase Study 92022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译9(3)Aligned Approach协调方法协调方法 Operations are characterized by processes that are repeatable and regularly evaluated for improvement,with learnings shared and with coordination among organizational units.组织通过在内部各单元分享、学
13、习，实施可重复的、定期的更改评价进行经营。Strategic and Operational GoalsCase Study 92022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译10(4)Integrated Approach综合的方法综合的方法 Operations are characterized by processes that are repeatable and regularly evaluated for change and improvement in collaboration with other affec
14、ted units.Efficiencies across units are sought and achieved.组织通过对与其他有影响的单元的合作带来的变化和改进的可重复的、定期的评价过程进行经营。可以获得跨单元的有效结果。Case Study 9Strategic and Operational Goals2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译11What Is Assessment?什么是评估？The assessment is an examination of methods,processes,imple
15、mentation and results not of individuals competence or performance.评估是对方法、执行和结果而不是对个人能力或业绩的检查。There are no right or wrong answers.Everyones perception of the situation is accurate in the sense that it reflects their personal experience.没有正确或错误的回答。每个人对情况的感知是准确的。The purpose is to find opportunities to
16、 improve,not to check up on people.目标是发现改进机会，而不是检查个人。For an assessment to be effective,an environment must be created in which people feel free to discuss opportunities for improvement.It is not a compliance audit.为了有效的评估，必须为人们创建一个自由言论的环境，以讨论改进机会。这并不是一种符合性审核。2022-8-4Prepared by Strategy,Risk and Rat
17、ing(SRR)科飞咨询翻译12Audit vs.Assessment Warning Signals审核：评估-警告信号（1）Here are some of the warning signals that will tell you when people are still thinking of the assessment as a compliance audit:下面是当人们仍然认为评估是符合性审核的时候的警告信号：People refer to the criteria as a“standard”and talk about“compliance”or“conformanc
18、e”.人们喜欢将标准看作“标准standard”并讨论“符合”获“一致”。The scores seem unduly important to people,and the idea keeps recurring that there is a“pass mark”.分数对人们非常重要，并且人们的思想仍然停留在是否“及格”。People feel their own performance is being scrutinized,rather than the system within which they work for example,they may show concern
19、that any“problems identified will be seen as being their fault.人们认为正在被考察的是他们自己的业绩，而不是他们所工作的体系的业绩正在被考察例如，他们认为任何被发现的问题都会被看作是他们的错误。2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译13Audit vs.Assessment Warning Signals审核：评估-警告信号（2）People become concerned about the number of opportunities for impro
20、vement being identified,perhaps saying things like,“how are we going to deal with all of these?”In a compliance situation,usually every significant shortcoming must be corrected,which in assessment the aim is to find many opportunities in order to identify a few that have the greatest leverage.人们担心被
21、发现的改进机会的数量，可能会说“我们怎有可能处理所有这些改进机会”。在符合性审核的情况下，通常必须纠正每一个重大的缺陷，评估的目的就是发现许多改进机会，然后识别最关键的机会。2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译14There is a recurring tendency to talk up the strengths,and to downplay,minimize,or even conceal problems perhaps because of the above concerns。可能由于上述原因产生一些倾
22、向 只说优点，同时淡化、最小化，甚至隐瞒问题。The process is perceived as being“owned”by a third party and the“auditors”,not the organization,determine how the assessment is conducted.评估的活动被认为属于第三方审核员，而不是组织。Audit vs.Assessment Warning Signals审核：评估-警告信号（3）2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译15People seem
23、 to be concerned that there will be few choices available at the end regarding what action to take the report will indicate what must be done,rather than providing a framework for deciding what issues to address.人们似乎担心他们在最后关于采取何种措施时有很少的选择余地报告会指出必须做什么，而不是仅提供解决问题的框架。If you see many of these warning si
24、gnals,then you have more work to do in getting the message across.如果你看到很多这样的警告信号，那么你就得改进评估的方法。Audit vs.Assessment Warning Signals审核：评估-警告信号（4）2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译16Designing An AssessmentCriteriaPeopleProcessNeed to engage capable people:this should not be difficul
25、tNo problem:ready-made,well proven criteria availableMany options exist,and choices may determine success or failure2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译17Matching Depth to MaturityThorough AssessmentBasic Assessment“Just Right”Zone“Overkill”Zone“Limited Learning”ZoneMaturity of Im
26、provement EffortsDepth of Assessment2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译18Types of Assessment Workshop format Internal nonspecialist evaluators with minimal training Simplified criteria minimal data gathering Real-time feedbackAdvanced TechniquesDepth of Assessment RequirementExte
27、rnal AssessmentJoint AssessmentFacilitated AssessmentMini-Assessment Project format Trained internal assessors+external assessor/facilitator Flexible use of criteria minimal data gathering Planned data gathering Formal assessment report Dual team,two-pass format Trained internal data-gathering team
28、Full criteria used Formal“application report”Independent assessment team,with experienced external assessors Formal assessment report2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译192022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译20Contrasts Between Awards and Assessment Best Practice
29、sTypical Good practice for a National-Level Award Examination(3rd.Party)Typical Good practice for an AssessmentThe process must scrupulously avoid becoming prescriptive:the examiners report will set out in detail the areas for improvement,but it must not suggest courses of action.And the examination
30、 process cannot go further than providing a report.The award applicants themselves have to decide what to do with this information,if anything.The assessment has to arrive at a prescription thats the whole point!So the assessment process needs to include some kind of prioritization and planning step
31、s that will lead to a sound,well though-out improvement plan.And it is valuable to have the assessors provide some guidance and ideas,as input to the planning step.The process goes to great lengths to avoid any bias or conflict of interest real or perceived.This demands an arms length relationship b
32、etween the examiners and applicants for example there is little or no contact allowed before or after the site visit,and examiners are not allowed to become consults for companies that they have site-visited.In order to maximize the learning opportunities for people within the organization,it is des
33、irable to have lots of contact between the outside experts and internal people perhaps to develop a long-term working relationship.This need not compromise the objectivity of the assessors if conflicts of interest are avoided.In order to be through and transparent,the examination process typically r
34、elies upon a very detailed and comprehensive“application report”which takes considerable effort to produce.The examiners use this document in two ways:to prepare for site visits,and to screen out lower-performing applicants thus avoiding many expensive and perhaps pointless site visits.If you aim is
35、 to plan for improvement,the application report can often be greatly simplified or even eliminated,thus saving considerable time and effort.An application report is not necessary if the assessment team is made up mostly of internal people,or if the organization is in the early stages of its improvem
36、ent journey.2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译21Assessment Process StepsMiniFacilitated or JointExternalSelf-Assessment WorkshopPlanningWorkshopLeadership BriefingWorkshopTeam Preparation,Data Gathering,Assessment ReportReport PresentationPlanning WorkshopPlanning WorkshopReport
37、 PresentationExternal Validation,Assessment ReportTeam Preparation,Data Gathering,Assessment ReportLeadership Briefing Workshop2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译22Comparison Between Types of AssessmentTypeAssessor CapabilityIndependence of EvaluationExtent of Data GatheringExten
38、t of Intermediate DocumentationUse of Criteria(Depth)MiniInternal people with minimal trainingSelf-evaluation only,with facilitator guiding the process but not contributing to the contentLittle or non-perhaps some prework prior to workshopA bullet-point evaluation report produced in real timeMinimal
39、 depth:high-level criteria headings onlyFacilitatedInternal people with basic training and some external supportEvaluation by internal team with external guidance on the process and the evaluation logicPlanned interview process conducted by assessment teamA formal feedback report,developed in two st
40、eps:drafted during internal team training,then finalized after data gathering is completeFlexible depth:the full criteria are used,“drilling down”more in those areas where there is more substanceJointInternal team members with basic training,plus one or more experiences external assessorsEvaluation
41、by complete team,capturing internal and external perspectivesExternalExperienced external assessors with some internal supportExternal assessment team separate from internal data-gathering teamTwo-pass process:first pass by internal team to create“application report”,second pass by external teamA de
42、tailed formal“application report”created by the internal teamA formal feedback report created by the external assessment teamFull depth:the full criteria are used,including all elements2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译23The Pros and Cons of Different ApproachesTypeProsConsMini
43、quick and inexpensive simple,accessible provides good experiential learning can be a starter for more limited depth limited use of data limited involvement no external perspective risk of superficiality,lack of impactFacilitated more depth more use of data less risk modest cost more effort required
44、limited objectivity,external perspective limited comparisons or insight into best practices used elsewhereJoint greater objectivity and credibility of the report external comparisons and insights into best practices used elsewhere greatest learning experience for insiders flexibility regarding depth
45、 more effort required additional time/cost for external assessor(s)External greater objectivity,perspective external comparisons and insights into best practices used elsewhere learning experience for insiders,mainly in creating application report most in-depth reliable,comparable scores credibility
46、 of an external report greater internal effort required more steps,more documentation more elapsed time required cost of external assessors potential loss of ownership and buy-in2022-8-4Prepared by Strategy,Risk and Rating(SRR)科飞咨询翻译24Tailoring the Approach to your SituationSituationPossible Approac
47、hesThe organization is very small.Consider including a sample of people from all levels of the organization in a workshop-style mini-assessment-or even include all employees.The initial goal is education and awareness-raising only,or the leadership team wants to keep its options open about how to pr
48、oceed.Conduct a mini-assessment without scheduling the planning session.When this is complete,the leaders can decide:(a)to do nothing more(b)to create improvement plans based only on the mini-assessment findings,or to proceed with a more in-depth assessment.Winning the support of the leadership team
49、 presents a challenge.Take the time to build support up front,before starting the formal process.Explain that the demands on the leaders personal time should not be excessive with any of the common approaches.Lean toward a more streamlined and less in-depth assessment,but dont render the process ine
50、ffective through efforts to compensate for a lack of leadership motivation.Use external resources at key points,to facilitate and to build the credibility of the process.There is a climate of fear or mistrust.Use only external assessors for data gathering.Use the leadership briefing not only to put
