U SIN G TH E EFQM EXCEL L EN CE MOD EL

Entries for the year 2001 M idlands Excellence Aw ards w ill be judged against the fram ew ork of the
EFQ M Excellence M odel

.
The EFQ M Excellence M odel

consists of nine criteria and these are grouped into tw o

broad areas:
E n a b le rs - h o w we d o th in g s.
R e su lts - o u tc o m e s wh ic h we ta rg e t, m e a su re a n d a c h ie ve .
The arrow s show n in the follow ing diagram em phasise the dynam ic nature of business and
illustrate that innovation and learning helps leaders to im prove the enablers w hich produce
better results.
The EFQ M Excellence M odel

reflects the the w ay in w hich successful organisations can develop

a w inning form ula to achieve com petitive advantage. Each of the nine boxes show n above has a
high level definition and the EFQ M Excellence M odel

includes thirty tw o sub-criterion elem ents

w hich pose questions to be considered w hen assessing the perform ance of applicant
organisations. The EFQ M Excellence M odel

and the sub-criterion elem ents are described in

m ore detail below.
Self assessm ent using the EFQ M Excellence M odel

helps m anagem ent identify strengths and

opportunities for im provem ent w hich everyone in the organisation can address to achieve realistic
goals. All businesses including com panies, public bodies and voluntary organisations can use the
EFQ M Excellence M odel

to achieve im proved perform ance.

Wei ghti ng
The percentages show n in the diagram are the w eightings used by M idlands Excellence w hen
scoring applications.
At the heart of the EFQ M Excellence M odel

and the process of self assessm ent lies the logic

know n as RAD AR w hich has four elem ents - Results, Approach, D eploym ent, Assessm ent
& Review.
RAD AR L OGIC
RAD AR logic says that an organisation needs to:
D eterm ine the Results it is aim ing for as part of its policy and strategy m aking process.
These results cover the financial and operational perform ance of the organisation together w ith
perceptions of its stakeholders.
Plan and develop an integrated set of sound Approaches to deliver the required results both
now and in the future.
Deploy the approaches in a system atic w ay to ensure full im plem entation.
Assess & Review the approaches by m onitoring and analysing the results achieved through
ongoing learning activities.
The application of RAD AR logic helps organisations identify, prioritise, plan and im plem ent
im provem ents w here needed:
RAD AR L OGIC CYCL E
SEL F ASSESSMEN T
The EFQ M Excellence M odel

is applied through a process of self-assessm ent w hich is now

w idely recognised as an essential m anagem ent tool and a proven m ethod of securing continuous
im provem ent for any organisation w ishing to achieve challenging goals. Self assessm ent allow s
an organisation to identify strengths and opportunities for im provem ent by focusing on the
relationships betw een people, processes and results. There are m any m ethods of self
assessm ent and these broadly fall into three groups:
Sim ple perception based approaches (e.g. m atrices or questionnaires) w hich use the nine
m ain criteria only of the EFQ M Excellence M odel

.
Facilitated w orkshop approaches w hich apply the nine criteria and in m any cases the thirty tw o
sub-criterion elem ents of the EFQ M Excellence M odel

.
Aw ards subm ission or sim ulation m ethods w hich use the full EFQ M Excellence M odel

to sub-
criterion elem ents level.
By entering the 2001 M idlands Excellence Aw ards you are using the best form of self-assessm ent
w hich w ill result in a feedback report prepared by our assessors identifying your strengths and
areas for im provem ent classified under the headings of each of the sub-criterion elem ents of the
EFQ M Excellence M odel

.
EFQM EXCEL L EN CE MOD EL

SU B -CRITERION D EFIN ITION S

Each of the nine criteria of the EFQ M Excellence M odel

has a high level definition and is

supported by a num ber of sub-criterion elem ents that are outlined below. The sub-criterion
elem ents pose questions to be considered w hen assessing the progress of an organisation
tow ards the goal of business excellence.
1 . L EAD ERSH IP
D e fin itio n
H ow leaders develop and facilitate the achievem ent of the m ission and vision, create values
required for long term success and im plem ent these via appropriate actions and behaviours
and are personally involved in ensuring that the organisations m anagem ent system is developed
and im plem ented.
1a -H ow leaders develop the m ission, vision and values and are role m odels for a culture of
excellence in the organisation
1b -H ow leaders are personally involved in ensuring the organisations m anagem ent system
is developed, im plem ented and continuously im proved
1c -H ow leaders are involved w ith custom ers, partners and representatives of society
1d -H ow leaders m otivate, support and recognise the organisations people
2 . POL ICY & STRATEGY
D e fin itio n
H ow the organisation im plem ents its m ission and vision via a clear stakeholder focused strategy
supported by relevant policies, plans, objectives, targets and processes.
2a -H ow policy and strategy are based on the present and future needs and expectations of
stakeholders
2b -H ow policy and strategy are based on inform ation from perform ance m easurem ent,
research, learning and creativity related activities.
2c -H ow policy and strategy are developed, review ed and updated
2d -H ow policy and strategy are deployed through a fram ew ork of key processes
2e -H ow policy and strategy are com m unicated and im plem ented
3 . PEOPL E
D e fin itio n
H ow the organisation m anages, develops and releases the know ledge and full potential of its
people at an individual, team -based and organisation-w ide level and how these activities are
planned in order to support its policy and strategy and the effective operation of its processes.
3a -H ow people resources are planned, m anaged and im proved
3b -H ow peoples know ledge and com petencies are identified, developed and sustained.
3c -H ow people are involved and em pow ered
3d -H ow people and the organisation have a dialogue
3e -H ow people are rew arded, recognised and cared for
4 . PARTN ERSH IPS AN D RESOU RCES
D e fin itio n
H ow the organisation plans and m anages its external partnerships and internal resources in order
to support its policy and strategy and the effective operation of its processes.
4a -H ow external partnerships are m anaged
4b -H ow finances are m anaged
4c -H ow buildings, equipm ent and m aterials are m anaged
4d -H ow technology is m anaged
4e -H ow inform ation and know ledge are m anaged
5 . PROCESSES
D e fin itio n
H ow the organisation designs, m anages and im proves its processes to support the
policy and strategy and fully satisfies and generates increasing value for its custom ers and other
stakeholders.
5a -H ow processes are system atically designed and m anaged
5b -H ow processes are im proved, as needed, using innovation to fully satisfy and generate
increasing value for custom ers and other stakeholders
5c -H ow products and services are designed and developed based on custom er needs and
expectations
5d -H ow products and services are produced, delivered and serviced
5e -H ow custom er relationships are m anaged and enhanced
6 . CU STOMER RESU LTS
D e fin itio n
W hat the organisation is achieving in relation to its external custom ers
6a -Perception M easures
6b -Perform ance Indicators
7 . PEOPL E RESU LTS
D e fin itio n
W hat the organisation is achieving in relation to its people
7a -Perception M easures
7b -Perform ance Indicators
8 . SOCIETY RESU LTS
D e fin itio n
W hat the organisation is achieving in relation to local, national and international society as
appropriate
8a -Perception M easures
8b -Perform ance Indicators
9 . KEY PERFORMAN CE RESU LTS
D e fin itio n
W hat the organisation is achieving in relation to its planned perform ance
9a -Key Perform ance O utcom es
9b -Key Perform ance Indicators
PREPARIN G YOU R SU B MISSION FOR TH E
EN AB L ER CRITERIA
Inform ation is required about how the organisation approaches each sub-criterion elem ent of the
EFQ M Excellence M odel

and this requires consideration of:

(i) the approach taken - details of the m ethods or processes used to address the sub-criterion
elem ents should be provided together w ith the rationale for the approach and how linkages
are m ade w ith policy and strategy and other criteria w ithin the M odel;
(ii) the extent to w hich the approach has been deployed - vertically through all levels of the
organisation and horizontally through all areas and activities. Ideally, num erical evidence
should be provided and proof that the deploym ent has been system atic;
(iii) the steps in place to assess and review the approach and deploym ent. Em phasis here
should be placed on m easurem ents taken, w ays in w hich learning is acquired and steps
taken to im plem ent im provem ents.
PREPARIN G YOU R SU B MISSION S FOR
TH E RESU LTS CRITERIA
Inform ation is required on w hat the organisation is achieving w ith respect to each of the custom er,
people, society and key perform ance results sub-criterion elem ents of the EFQ M Excellence
M odel

. You should provide concise and factual inform ation w hich includes:
(i) the key param eters your organisation uses to m easure results and achievem ents.
For each param eter trends of data are required and this can cover up to five years
perform ance to highlight:
- your organisations actual perform ance
- your organisations ow n targets and w herever possible
the perform ance of com petitors together w ith
the results of best in classorganisations.
(ii) the rationale behind each of the param eters presented and how they cover the range of your
organisations activities. The scope of the results is an im portant consideration for the
assessors.
(iii) evidence is required of the relative im portance of each of the results criteria and in the case of
any financial results (sub-criterion elem ents 9a or 9b) data m ay be presented in the form of
an index rather than in absolute term s to avoid disclosing sensitive inform ation.
(iv) to allow com parisons to be m ade it w ould be helpful if you can please provide a single chart
for each key param eter show ing trends of perform ance together w ith a brief com m entary
w hich dem onstrates your understanding of significant features of the presented data.
PRESEN TATION OF IN FORMATION
The application process for the Aw ard requires that you present your ow n organisations
achievem ents across a range of specific areas relating to each sub-criterion elem ent of the EFQ M
Excellence M odel

. The criteria in the M odel are w ritten in non-prescriptive term s to allow you the
freedom to put into the application self assessm ent inform ation w hich is relevant to your specific
situation.
Throughout the application the Assessors w ill be looking for clear factual inform ation. Applicants
should give good descriptive detail of the approaches they have taken w ith exam ples to show
how each approach is used. C lear trends of results are required w ith relevant com parisons and
com m entary to dem onstrate the applicant's understanding of the inform ation presented.
Assessors can only m ake a judgem ent based on the inform ation in the application subm ission.
Judgem ent cannot be m ade if any of the criteria or parts are not presented in the application.
Applicants w ho have doubts as to how to present the inform ation should contact M idlands
Excellence on 01827 720833.
If any of the parts are not relevant to the applicant the w ords N ot Relevantshould be w ritten in
the appropriate section of the application docum ent w ith an accom panying explanation and
providing the Assessors are satisfied w ith the explanation the applicant w ill not be penalised.
Weights attributed to sub-criteria
Each sub-criterion elem ent attracts equal w eight to the other sub-criterion elem ents of a m ain
criteria of the EFQ M Excellence M odel

. Thus sub-criterion elem ent part 1a attracts 25% of the

points allocation to m ain criteria 1.
The exceptions are:
1 6a takes 75% of the points allocated to m ain criteria 6
6b takes 25% of the points allocated to m ain criteria 6
2 7a takes 75% of the points allocated to m ain criteria 7
7b takes 25% of the points allocated to m ain criteria 7
3 8a takes 75% of the points allocated to m ain criteria 8
8b takes 25% of the points allocated to m ain criteria 8
H OW YOU ARE ASSESSED
REL ATION SH IPS B ETWEEN TH E CRITERIA
The EFQ M Excellence M odel

provides a fram ew ork for self assessm ent and the M idlands
Excellence assessors w ill be looking for consistency in the inform ation presented across and
betw een the criteria of the M odel.
The full pow er of the M odel is derived from an understanding of the relationships betw een the
criteria and so for exam ple, if a process is highlighted in an enabler criterion, then the outcom e of
this process m ight reasonably be expected to appear in one of the Results sections of your
application.
W hilst all the nine criteria in the M odel are linked som e relationships are particularly clear
for exam ple:
People (criteria 3) and People Results (criteria 7)
C ustom er related issues (sub-criterion 5c, 5d, 5e) and C ustom er Results (criteria 6).
Linkages can be expressed betw een Policy and Strategy (criteria 2) and all other Enabler and
Results criteria. There could also be linkages betw een Policy and Strategy and som e of the
com parisons presented in the Results section of your application.
For exam ple: If the strategy is to achieve global leadership, the organisation should be seeking
global com parisons against w hich to judge perform ance and a lesser objective w ould justify the
selection of less am bitious com parisons.
U se of the M odel as a driver of im provem ent is also im portant so it is reasonable to expect a
connection betw een results achieved (and presented in the Results criteria) and actions to
im prove perform ance in the Enablers criteria. You should include com parisons of your results w ith
internal targets, com petitor or sim ilar organisation perform ances and the outcom es achieved by
best in classorganisations. The com parisons should be used to prioritise and drive
im provem ents in your organisation.
C om parisons of business results w ith internal targets and com petitors should therefore
provoke an analysis of the issues driving custom er satisfaction and loyalty and lead to
m odifications of your Policy and Strategy (criteria 2) and plans to achieve im provem ents in the
other Enablers criteria.
H OW YOU ARE SCORED
For all Aw ard categories our assessors use the scoring process described to allocate points and
to arrive at a total score out of 1000 points. For sm all businesses em ploying up to fifty people our
assessors w ill score applicants against the nine criteria of the M odel using the 32 sub-criterion
elem ents as a check list.
The assessors use the RAD AR Scoring M atrix to allocate points to each of the sub-criterion
elem ents in the M odel. This m atrix is based on the RAD AR logic w hich lies at the heart of the
EFQ M Excellence M odel

.
SCORIN G EN AB L ER CRITERIA
Each of the enablers sub-criterion elem ents is evaluated according to Approach, D eploym ent and
Assessm ent and Review.
The score given for Approach w ill take account of:
(i) the soundness of the m ethod or process being described - the extent to w hich it has a clear
rationale and is focused on stakeholder needs;
(ii) the extent to w hich the m ethod or process being described is integrated - supports policy
and strategy, is linked to other approaches w here appropriate and is part of business as
usual (fully integrated into every day activities).
The score given for D eploym ent w ill take account of:
(i) the extent to w hich the approach has been im plem ented across different areas and layers of
the organisation;
(ii) the extent to w hich deploym ent of the approach is system atic.
The score given for Assessm ent and Review w ill take account of:
(i) the m easurem ents that are recorded;
(ii) the learning activities;
(iii) the im provem ents that have been identified, prioritised, planned and im plem ented.
The Assessors use a scoring m atrix for Enablers to allocate separately a percentage score for
approach, deploym ent and assessm ent and review. An overall percentage score is then derived
for each sub-criterion elem ent.
SCORIN G RESU LTS CRITERIA
Each of the results sub-criterion elem ents are evaluated according to the excellence and scope of
the results presented. The excellence of your results takes account of:
(i) positive trends and/or sustained good perform ance;
(ii) com parisons w ith ow n targets;
(iii) com parisons w ith external organisations including as appropriate com petitors, industry
averages and best in classorganisations;
(iv) the extent to w hich the results presented are caused by the approaches described in the
Enabler criteria.
The scope of results takes account of:
(i) the extent to w hich the results cover all relevant areas of the organisation;
(ii) the extent to w hich a full range of results relevant to the sub-criterion elem ents is presented;
(iii) the extent to w hich the relevance of the results presented is understood.
Taking account of all the above factors the M idlands Excellence assessors w ill use a Scoring
M atrix to allocate percentage scores to your results.
All applicants are recom m ended to obtain a set of the EFQ M Excellence M odel

guide books
available from the M idlands Excellence office at a cost of 22 per set.
H OW YOU ARE SCORED (CON TIN U ED )
N OTES ON SCORIN G CRITERIA
It is possible that excellent results w ill not alw ays be accom panied by positive trends and for
exam ple such instances m ight include the retention in difficult tim es of a dom inant m arket share.
In these circum stances applicants should provide sufficient annotations in the Aw ard application
docum ent to m ake their achievem ents clear to the assessors.
C om parisons w ith external organisations w hether com petitors or best in classare encouraged to
provide sufficient details in the application docum ent to m ake their achievem ents clear to the
assessors as per the follow ing exam ples:
I n fo rm a tio n R e so u rc e s C rite rio n 4 )
Business, technical data and other inform ation in all its form s, as w ell as the m eans of m aking the
inform ation available and accessible.
M a te ria ls, B u ild in g s a n d E q u ip m e n t C rite rio n 4 )
Physical item s in all their form s including stocks of raw m aterials and finished products, m aterial
in progress and fixed assets.
P ro c e sse s C rite rio n 5 )
A process is a sequence of steps w hich adds value by producing required outputs from a variety
of inputs. In any organisation there w ill exist a netw ork of processes all of w hich need to be
m anaged and im proved.
E xte rn a l C u sto m e r C rite rio n 6 )
The im m ediate external custom er of the organisation. These m ay include other custom ers in the
chain of distribution.