OE21 1.1 Senior Leadership

Strategic Objective:

Strategic Objective:

Documents how senior leaders lead the organization

Quality Objective:

Quality Objective:

Defines vision, values, ethics, communication, mission,  success environment

Approved: 20-Dec-17

Approved: DD-MM-YY

Approved by: (Name) Chair, Leadership Focus Team (LFT)

Responsibility:

Responsibility:

Lead: Leadership Focus Team (LFT-IT)  Support: All focus teams, FAC

VALUE ADDED                  

  • Sets and deploys organization mission, vision and values to the workforce and to customers

  • Ensures that senior leaders personal actions reflect a commitment to organization values 

  • Promotes and demonstrates legal and ethical behavior

  • Gets employees and managers engaged and focused on key outcomes and results

  • Creates an organizational environment for success

 

POLICY               1.1 COMMENTARY                

              

The organization has adopted the Baldrige Framework Item 1.1 Senior Leadership, and 7.4a Leadership Results as an internal policy, including the following sub-items:

1.1a. Vision and Values - Senior leadership leads the organization by:

  • Setting vision and values

  • Deploying vision and values to the workforce, suppliers, customers, and other stakeholders

  • Ensuring that senior leaders actions reflect a commitment to our values

 

1.1 b. Communication - Senior leadership communicates with and engages the workforce and key customers, by:

  • Encouraging frank, two-way communications (social media and other means)

  • Communicating key decisions and needs for organizational change

  • Taking a direct role in motivating the workforce toward high performance

  • Motivating the workforce toward a customer and business focus

  • Participating in reward and recognition programs

 

1.1c(1) Mission and Organizational Performance - Senior leadership creates an environment for success by:

  • Setting mission and organizational performance goals

  • Ensuring organizational agility

  • Cultivating organizational learning, innovation, and intelligent risk-taking

  • Establishing a workforce culture that fosters customer engagement

  • Participating in succession planning and development of future leaders

1.1c(2) Creating a Focus on Action - by:

  • Creating a focus on action to improve the organization’s performance

  • Identify needed actions in setting expectations for organizational performance

  • Ensuring a focus on creating and balancing value for customers, workforce and other stakeholders

  • Demonstrating personal accountability for the organization’s actions

 

7.4a(1) Leadership Results - This includes results for senior leaders communication and engagement with the workforce and customers (deployment of vision, values, two-way communication, a focus on action, differences by organization units and customer groups, as appropriate).

PROCESS                  

 Figure 1.1-1 Senior Leadership Flow Diagram)

Figure 1.1-2 Senior Leadership

Figure 1.1-3 Strategic Themes (KIOs) to Strategy Action Plans 

Inputs to 1.1 Senior Leadership

  • Focus Team Assignments and Commitment
     

  • Mission, Vision, Values and Ethics Statements from LFT P.1 Organizational Profile
     

  • Communications Policy Guidelines
     

  • Key Intended Outcome Goals (KIOs) strategic themes

Measurement and Analysis Tools and Techniques

Outputs from 1.1 Senior Leadership

  • Team Charter

 

  • Mission, Vision, Values and Ethical Behavior statements published on Intranet

 

Case Study

  • Read the 1.1 Case Study

1.1 Implementation Instructions

1.1 IMPLEMENTATION INSTRUCTIONS

Key Decision: The OE21 focus team responsible for this standard should begin by deciding whether or not the OE21 standard adds value (on is non-value added) when compared to any existing standard, SOP, or process the organization uses now. The decision process is:

 

1. The focus team studies all Tasks and tools used in the OE21 standard.

2. The focus team answers the questions:

  • NON-VALUE ADDED? Does the organization currently use a standard, SOP process that is deemed as better or essentially as good as the OE21 standard? If YES, then the focus team should document that this standard is deemed as NVA, and then the focus team should proceed ahead to the next OE21 standard.

  • VALUE-ADDED? Does the organization currently use a standard, SOP process that is deemed as better or essentially as good as the OE21 standard? If NO, then the focus team should proceed ahead to complete the following OE21 Implementation instructions.

 

Note: The NVA finding will be used later in the OE21 Certification Audit process. 

 

START IMPLEMENTATION

 

Note: Implementation of 11 is led by the LFT-IT and approved by the Leadership Focus Team (LFT). Other focus teams (CFT, OFT, and WFT) participate in leadership surveys. When complete, the 1.1 document is reviewed and approved by the LFT (CEO, CFO, etc.)

Task 1.1.1 Focus Team Commitment - The Leadership Focus Team (LFT) contacts each Focus Team member established in LFT 1.1 and confirms their commitment and availability for this initiative. As necessary, the LFT makes changes to the Focus Teams to ensure that sufficient capability and capacity of the team members are in place.

 

Task 1.1.2 Mission, Vision, Values, and Ethics Statements - The Leadership Focus Team (LFT), with assistance from the other Focus Teams, review the draft Mission, Vision, Values, and Ethics statements created in OE21 standard LFT P.1 Organizational Description. As necessary, the LFT makes changes to these key statements and creates the final version. The final version is published to the INTRANET.

 

Task 1.1.3 Mission, Vision, Values, and Ethics Statements Deployed - The Leadership Focus Team (LFT), notifies all employees that the Mission, Vision, Values, and Ethics statements are available on the INTRANET.

  • PROGRESS: You have reached Milestone 1 (good work). Input the status [19%] on the organization's OE21 Intranet Main page alongside the title of this standard.

 

Task 1.1.4 Communications Policy - The Leadership Focus Team (LFT), establishes the policy for communication between senior leaders, the workforce and the customers, including:

  • Use of the INTRANET content for communications of useful content, including: 

    • Announcements

    • Calendars

    • Current Initiatives

    • Employee Directory

    • Employee On-boarding

    • Employee Recognition & Rewards

    • FAQ

    • Forms

    • Ideas and suggestions

    • News 

    • Recognition and Rewards

    • SOP (standard operating procedures)

    • Surveys (special)

    • OE21 Guidelines (27 web pages with tools/survey links

 

  • Use of Social Media for communications

  • Communications of key decisions and needs for organizational change 

  • How senior leaders motivate the workforce toward high performance, a customer and business focus, and by participating in reward and recognition programs (WFT 5.2)

 

Task 1.1.5 Deploy the Communications Policy. When ready, the final version is published to the INTRANET. 

 

Task 1.1.6 Mission and Organization Performance - The Leadership Focus Team (LFT), establishes the policy that links Mission and Organization Performance, including creating an environment for success today and in the future.

PROGRESS: The status (Milestone 2 = 38%) is input on the organization's OE21 Intranet Main page alongside the title of this standard.

  • PROGRESS: You have reached Milestone 2 (good work). Input the status [38%] on the organization's OE21 Intranet Main page alongside the title of this standard.

 

Task 1.1.7 Set Key Intended Outcome Goals (KIOs) - The Key Intended Outcome Goals (KIOs) - also referred to as "Strategic Themes" - are the ultimate measure of Senior Leadership and Organizational success. The five KIOs serve as the highest level strategic goal for each Focus Team. The five suggested KIOs are as follows:

 

  • KIO 1 - Leadership Excellence: This strategic theme is the achievement of high-level leadership results, including the accomplishment of organizational strategy and strategic action plans (the strategic plan). Leadership excellence includes ethical behavior and stakeholder trust in senior leaders, governance, fiscal accountability, regulatory and legal compliance, and organizational citizenship in support of key communities.

 

  • KIO 2 - Customer Excellence: This strategic theme is the achievement of high-level customer results, including customer satisfaction, customer-perceived value, customer satisfaction and dissatisfaction, customer loyalty, retention, positive referral, and overall customer relationships. Each major customer group has its own KPIs

 

  • KIO 3 - Operations Excellence: This strategic theme is the achievement of high-level operations results, including product or service performance (as delivered to customers and critical to customers and target markets). Each major product or service has its own KPIs. The Operations Focus Team (OFT) adds KPIs for process management, project management, administrative/facilities management, and quality & risk management, as appropriate.

 

  • KIO 4 -Workforce Excellence: This strategic theme is the achievement of high-level workforce results, including workforce satisfaction, capability, capacity (including staffing levels and skills), and workforce climate (health, safety, security, services, and benefits). Each major workforce group, work unit, department, etc. has its own KPIs.

 

  • KIO 5 -Community Excellence: This strategic theme is the achievement of high-level community results, including community leadership, strategy, the satisfaction of residents and other customers, community engagement, and community results.

 

Task 1.1.8 Set Hierarchy of Results under KIOs - The LFT ensures adherence to the following hierarchy (structure) from KIO down to Sub-KPI:

 

  1. KIO (Key Intended Outcome - Strategic Theme)

  2. Strategic Objectives (one or more per Strategic Goal)

  3. Key Performance Indicators (KPIs) - one or more for each Strategic Objective

  4. Sub-KPIs - (Optional) - selected KPIs that require lower-level measures

 

  • PROGRESS: You have reached Milestone 3 (good work). Input the status [51%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Task 1.1.9 Deploy Team Charter -  After completing all previous Tasks, the LFT-IT uses the Team Chart format presented in the OFT_6.2a_Process_Improvement_Workbook (.xlsx) 1_Charter tab, to create and print the Team Charter, then presents it to each Focus Team member and asks for their signature (commitment) to execute the Team Charter. The LFT maintains a copy of the signed Team Charter and deploys it to all focus team members.

 

Task 1.1.10 Deploy Mission Statement - The LFT-IT publishes the Mission Statement to the INTRANET.

Task 1.1.11 Deploy Vision Statement - The LFT-IT publishes the Vision Statement to the INTRANET.

 

Task 1.1.12 Deploy Values Statement - The LFT-IT publishes the Values Statement to the INTRANET.

 

Task 1.1.13 Deploy Ethical Behaviors Statement - The LFT-IT publishes the Ethical Behaviors Statement to the INTRANET. The LFT authors or approves useful ethical behavior requirements in the ethical behaviors statement; for example:

 

  • A high percentage of independent board members are assembled and maintained;

  • A very low percentage of ethical conduct or compliance breaches are tolerated;

  • An immediate/effective response to ethical conduct/compliance breaches is required;

  • An organization "ethics hotline" is provided for reporting without a threat of retaliation;

  • Conflicts of interest are not tolerated anywhere in the organization or governance system;

  • Sensitive data and information are protected from the distribution or unauthorized public release

  • Proper use of funds is maintained, according to legal and regulatory requirements; and

  • Measures of ethical behavior violations or instances are reviewed, along with all other performance measures and indicators

 

Task 1.1.14 Notify Employees - The LFT-IT notifies all employees that the Mission, Vision, Values, and Ethical Behavior Statements are available on the organization's INTRANET.

  • PROGRESS: You have reached Milestone 4 (good work). Input the status [60%] on the organization's OE21 Intranet Main page alongside the title of this standard.

 

Task 1.1.15 Preview Senior Leadership Assessment - The LFT and other Focus Teams review the questions and rating methods in the Senior Leadership Assessment to make sure that it is complete and ready to deploy. The LFT-IT also ensures that the contact information for all survey responders is ready to use. Normally the survey responders will include all managers, supervisors, and higher-level managers and executives.

 

Task 1.1.16 Conduct Senior Leadership Assessment - The LFT-IT and Facilitator launch the LFT 1.1 Senior Leadership Assessment (survey) and send the survey link to all survey responders, with the requirement to complete the survey no later than one business day after receipt.

 

Note: As needed, use the Survey Methods Guide procedure.

 

Task 1.1.17 Export Senior Leadership Assessment Results - When all survey responses are complete, the OE21 Facilitator uses the survey method system to export a copy of the LFT 1.1 Senior Leadership Assessment (as a spreadsheet file), and notifies the Focus Team members that the survey results are available.

 

Task 1.1.18 Study Senior Leadership Assessment Results - The Focus Team members access the LFT 1.1 Senior Leadership Assessment results, study (analyze) the results and create a “candidate” list of recommended actions based on the survey results.

  • PROGRESS: You have reached Milestone 5 (good work). Input the status [79%] on the organization's OE21 Intranet Main page alongside the title of this standard.

 

Task 1.1.19 Integrate Assessment Results into Leadership Excellence Action Plan - The LFT-IT, with assistance from the Facilitator and other Focus Teams, integrates the “candidate” list of recommended actions (along with references to the Mission, Vision, Values and Ethical Behavior Statements) into the LFT_1.1_Leadership_Excellence_Action_Plan (.xlsx). This Action Plan is a project aimed at creating an environment for success, including:

 

  • Setting mission and organizational performance goals

  • Ensuring organizational agility

  • Cultivating organizational learning, innovation, and intelligent risk-taking

  • Establishing a workforce culture that fosters customer engagement

  • Participating in succession planning and development of future leaders

  • Creating a focus on action to improve the organization’s performance

  • Identify needed actions in setting expectations for organizational performance

  • Ensuring a focus on creating and balancing value for customers, workforce and other stakeholders

  • Demonstrating personal accountability for the organization’s actions

 

Task 1.1.20 Select Item 1.1 Measures for PMS. If the organization has a Performance Measurement System (PMS), then the internal process is followed to select measures of Baldrige Item 1.1 Senior Leadership. If the OE21 PMS tools are used, then go to the INTRANET,  and open the LFT_7.4_7.5_PMS_Leadership_Excellence_Metrics (.xlsx) and use the tab named "Metrics List" to help select measures and goals (targets) applicable to Item 1.1 Senior Leadership.

 

The PMS workbook includes a tab named "Guidelines" that serve as a guide for selecting appropriate types and numbers of measures.

 

Task 1.1.21 Input 1.1 Senior Leadership Measures into PMS.  The LFT-IT inputs measures into the PMS. The LFT approves the measures and sets the targets. The PMS workbook contains tabs for the input of dates, measures, targets, and two benchmarks (alpha and bravo competitor or comparative organizations). The result of data entry creates a Trend Chart for each of the measures selected. Note that the PMS Workbook has a limit of 20 measures for each of the Focus Teams. In cases where the organization desires additional measures, the PMS Workbook may be duplicated (with a different filename).

Task 1.1.22 Use PMS to Review 1.1 Senior Leadership Metrics - Conduct regular (at least monthly) reviews of Standard 1.2 Measures. See OE21 4.1 Task 4.1.5 for guidance.

 

Figure 1.1-4 below provides an example Trend Chart for Item 1.1.

  • PROGRESS: You have reached Milestone 6 (congratulations). Input the status [100%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Figure 1.1-4 Example Trend Chart for OE 1.1 Results

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