H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page i Homeland Security Assessment Manual H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page ii Also Available from ASQ Quality Press: Insights to Performance Excellence 2004: An Inside Look at the 2004 Baldrige Award Criteria Mark L. Blazey From Baldrige to the Bottom Line: ARoad Map for Organizational Change and Improvement David W. Hutton Quality into the 21st Century: Perspectives on Quality and Competitiveness for Sustained Performance International Academy for Quality Principles and Practices of Organizational Performance Excellence Thomas J. Cartin Quality's Greatest Hits: Classic Wisdom from the Leaders of Quality Zigmund Bluvband Certified Quality Manager Handbook,Second Edition Duke Okes and Russell T. Westcott, editors From Quality to Business Excellence: ASystems Approach to Management Charles G. Cobb The Executive Guide to Improvement and Change G. Dennis Beecroft, Grace L. Duffy, John W. Moran Customer Centered Six Sigma: Linking Customers, Process improvement, and Financial Results Earl Naumann and Steven H. Hoisington To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http://qualitypress.asq.org. 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 H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page iv 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. H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page vi H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page vii 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 H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page viii 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 H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page ix 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 H1237 Fisher00-02.qxd 8/28/04 12:39 PM Page x