GoldenPeacockNationalQualityAward (GPNQA)

Guidelines&ApplicationForm
www.goldenpeacockawards.com

Issue2014

SUBJECT
PART1

GENERAL

PART2

Highlights TheAwards Eligibility Rules&Regulations NonDisclosureandConfidentiality ApplicationFee Application

HOWYOUAREASSESSED
GPNQAModel ScoringSystem ScoringGuidelines OrganizationalMaturityStages CoreValues

PART3

APPLICATION&ANNEXURES

ApplicationFormAnnexure1 BusinessOverviewAnnexure2 SelfAppraisalReportAnnexure3 i) OrganizationalLeadership ii) StrategicPlanning iii) InformationManagement iv) HumanResourceManagement v) ProcessManagement vi) EmployeesSatisfaction vii) CustomerSatisfaction viii) ImpactonSociety ix) BusinessResults 2

GoldenPeacockNationalQualityAward
General
PARTI

Invitation
The Golden Peacock Awards Secretariat (GPAS) has great pleasure in inviting applications for The Golden Peacock National Quality Award. The National Quality Award Scheme was instituted by the Institute of DirectorsinFebruary1991toencourageTotalQualityimprovementsinbothmanufacturingaswellasservice organizationsinIndiaincluding: *Publicandprivateundertakings *Allsectorsofindustry,serviceandcommerce *GovernmentandSemiGovernmentdepartments *Tradeandprofessionalassociations *Educational,HealthcareandHospitalityResearchEstablishments The GPNQ Awards are presented to organizations in different sectors adjudged to have made the most significantachievementinthefieldofTotalQuality. TheGoldenPeacockNationalQualityAwardstimulatesandhelpsorganizationstorapidlyacceleratethepace of customeroriented improvement process. It is a powerful selfassessment process and a way to build an organizations brand equity on QUALITY. The preparation for the award helps to inspire and align the entire work force and management functions. The knowledge gained by the organization in describing and self assessingitsoperationsleadtoIMPROVEDorganizationalperformance.

TheAwards
The Golden Peacock National Quality Award, named after Indias national bird the Peacock, is awarded annually. The award winners may use the Golden Peacock National Quality Award logo on their printed and promotional material for next one year. Selected organizations may be awarded a commendation certificate by the jury. The Golden Peacock National Quality Award will be given separately for manufacturing and serviceorganizationsindifferentsectorsunderthefollowingcategories: LargeEnterprise AnnualTurnoveroverRs.300crores

Medium&SmallEnterprise AnnualTurnoveruptoRs.300crores

Sector
Public Private Manufacturing Service Government

Categories
The Golden Peacock National Quality Award would be considered separately for the following categories of products/services:

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29.

Telecommunication IT Education&Training Pharmaceutical Healthcare Food&Beverages Agriculture&FarmEquipment Automobile Power(InclRenewables) Chemical&Fertilizer Gas OilRefining OilProduction Mining&Metallurgy(otherthansteel) Steel Cement FMCG&ConsumerAppliances(includingGemsandJewellery) Hotel,Hospitality,Travel&Tourism TransportationShipping/Ports/Aviation/Railway/Road FinancialSectorBanking/NonBankingFinanceCompanies/AssetManagementcompanies Insurance EntertainmentIndustryTV/Film/Music RealEstate&Construction Engineering Textiles&Apparel Consultancy(includingManagement,Legal,Financial,AccountingConsultancyServices) Paper BPOs(BusinessProcessOutsourcings) AnyotherSector,astheJurymaydeemfit.

Eligibility
Manufacturing or Service organizations or divisions of organizations (self accounting profit/cost centres), in the private and public sectors, and government organizations operating in India may participate in the Golden Peacock National Quality Award. The operations of the organization must be carried out independently, meaning that responsibilities, authorities, results etc, are clearly defined, and suitably covered in the organizations Annual report. The details of operations of the applicant must reasonably correspondtotheAwardcriterias,thatcanbeverifiedatthetimeofevaluation.

Rules&Regulations
DecisionoftheAwardJuryisfinalandnoappealorcorrespondencewillbeentertained. Award Secretariat reserves the right to award more than one organization as the winner, and could alsowithholdaward(s),iftherequiredstandardisnotmet. Award Secretariat accepts no liability for any loss resulting from the disclosure of information concerning an entry to Assessors or Jury members, though all reasonable precautions will be taken tomaintainsecrecy. AwardSecretariatcannotundertaketoreturndocumentsorsupplementarymaterialsubmittedwith anentry. AwardSecretariatreservestherighttoaltertheAwardScheme,atanytime. Finalist Award applicants may also be invited to make a brief presentation to the Jury and/or one of theassessorsmaybenominatedtoconfirmorclarifycertainfactsatsite.Travelandstayexpenses,if any,willbemetbytheapplicant. Award for each sub sector may be given, even if there is only one application in any of the categoriesprovidedthatitmeetsthequalificationofminimumassessment(asdecidedbytheJury). JurymaynotapproveanyAward,iftheapplicantsdonotgettheminimumqualifyingmarks.

NonDisclosure&Confidentiality
Names of applicants, commentary and scoring information developed during the review of applications are regarded as proprietary and are kept confidential. Such information is available only to individuals directly involvedintheassessmentandadministrativeprocess. The Golden Peacock Awards Secretariat will take all reasonable precautions to ensure that applications and information therein are treated in strict confidence. However, in no way Golden Peacock Awards Secretariat can be held responsible for any loss of confidentiality to a third party, nor held liable for any damage (to goodsorpersons,financiallossorconsequential)incurredthroughthebreachofconfidentialityorotherwise bytheapplicantsoranythirdparty. The Golden Peacock Awards Secretariat reserves the right, subsequent to the Award Presentation to publish salientdetailsoftheInnovationmethods/modules/QualityImprovementSchemesoftheAwardWinners,as asteptowardssharingofknowledgeforraisingindustrystandards.

ApplicationFees
The application fee for Large, Medium & Small Enterprises is Rs. 39,500/ plus 12.36% Service Tax as applicable. The fee should accompany your application, in the form of demand draft/cheque, in favour of InstituteofDirectors,payableatNewDelhi. ThefeecanalsobepaidthroughBankTransfertoCorporationBank,M3&4,GreaterKailashPartII,New Delhi48,India,Tel.No.01129210667 AccountName:InstituteofDirectors A/CType:CurrentA/C,9DigitCodeNooftheBankandBranch(MICRCode):110017005 AccountNumber:028600201002954 IFSCCODE:CORP0000286 PANNo.:AAABI0002J SWIFTCODE:CORPINBB286 OR throughCreditCardbyloggingontowww.goldenpeacockawards.com

Application
The Application should be submitted in single hard copy, completely binded and neatly typed (minimum font size 12 pt.) only on one side of A4 size paper in English along with a soft copy in aCD,coveringthefollowing: 1 2 Tableofcontents BasicInformationItem1(asperannexure1enclosed) Business Overview Three to five pages summary, providing outline of the applicants Business. Guidelines for business overview are attached (as per Annexure2) 4.SelfAppraisalReporta)Thisreportwillbebasedontheguidelines,consisting of a set of questions which when answered, duly supported by the objective evidence, would help in appreciatingtheextentofexcellenceachievedbythe applicant. b) Support material: Support material may have been derived from selfassessment of the organizations activities. This information must be closely aligned with the nine Award assessment criterias. The criteriaarecarefullyanddeliberatelyphrasedinnon prescriptive terms, to allow you the freedom to present selfassessment information which is relevanttoyourspecificsituation.

 Theselfappraisalreportshouldbebrief.However,thereisnolimitonsupportingmaterialsubmitted. AnnualReports Acopyofthelastannualreportof theorganizationshallformpartof thesupportmaterial. Allentriesshouldbeaddressedto: TheDirectorGeneral GoldenPeacockAwardsSecretariat IODHouse M52,GreaterKailashII(Market) NewDelhi110048 Phone:41636294,4163671617Fax:911141008705 Email:info@goldenpeacockawards.com


PARTII

HowYouAreAssessed
Your application will be assessed and scored on a scale from 0 to 1000 points using the GPNQA Model for TotalQualityManagement.

THEGOLDENPEACOCKNATIONALQUALITYAWARDMODEL

ScoringSystem
Your application will be examined by a team of assessors, all of whom have undergone training to ensure a highlevelofconsistencyinscoring. Thescoringandfeedbackarebasedonthreeevaluationdimensions: (1)Approach;(2)Deploymentand(3)Results.Applicantsneedtofurnishinformationrelatingtothesedimen sions.Specificfactorsforthesedimensionsaredescribedbelow.ScoringGuidelinesareattached.

ItemClassificationandScoringDimensions
Itemsareclassifiedaccordingtothekindsofinformationand/ordataapplicantsareexpectedtofurnish. The twotypesoftheItemsandtheirdesignationsare: 1 Approach/Deployment 2 Results Approach and Deployment are linked to emphasize that descriptions of Approach should always indicate the Deployment Consistent with the specific requirements of the item. Although Approach and Deployment dimensionsarelinked,feedbacktotheapplicantreflectsstrengthsand/orareasforimprovementineitheror bothdimensions.

 ResultsItemscallfordatashowingperformancelevelsandtrends.However,theevaluationfactor,breadth of performance improvements, is concerned with how widespread an applicants improvement results are. This is directly related to the Deployment dimension. That is, if improvement processes are widely deployed, there should be corresponding results. A score for a Results Item is thus a composite based upon overall performance,takingintoaccountthebreadthofimprovements.

Assessingthe'enabler'categories
The enabler categories are concerned with how 'Result' is achieved. The assessor scored each part of the enablercriteriaonthebasisof: Thedegreeofexcellenceofyourapproach Thedegreeofdeploymentofyourapproach. Thedegreeofrobustdesignofyourapproach. Informationisrequiredon: How the organization approaches each item under categories 1 to 5. Each item under those categories is covered by a range of parts, for example, 5.1.2(a), 5.1.2(b) and you should provide concise and factual informationabouteachofthesepartsseparately. Theextenttowhichtheapproachhasbeendeployedverticallythroughalllevelsofthe organizationandhorizontallythroughallareasandactivities.

Approach
Approach refers to how the applicant addresses the Item requirements the method(s) used. The factors usedtoevaluateapproachesinclude: Appropriatenessofthemethodstotherequirements Effectivenessofuseofthemethods.Degreetowhichtheapproach: issystematic,integrated,andconsistentlyapplied embodiesevaluation/improvement/learningcycles isbasedonreliabledataandinformation Alignmentwithorganizationalneeds. Evidence of innovation and/or significant and effective adaptation of approaches used in other types of applicantsorbusinesses.

Deployment
Deploymentreferstotheextenttowhichtheapplicantsapproachisappliedtoallrequirementsofthe Item. Thefactorsusedtoevaluatedeploymentinclude: UseoftheapproachinaddressingallProducts/Services. Useoftheapproachbyallappropriateworkunits,inallprocessesandactivities.

Assessingthe'Results'categories
The'Results'categoriesareconcernedwithwhattheorganizationhasachievedandisachieving.Information isrequiredon: What the organization is achieving with respect to each item under categories 6 to 9. Each of these items is covered by range of parts, for example, 6.1.1(a) and 6.1.1. (b) and you should provide concise and factual informationabouteachofthesepartsseparately. Theinformationprovidedmustinclude: Parameters your organization uses to measure results and for each parameter trends of data over ideally threeyears.Thetrendsshouldhighlight: yourorganizationstargets yourorganizationsactualperformance andwhereverpossible theperformanceofcompetitors theperformanceof'bestinclass'organizations Indicate the rationale behind selection of these performance measures and how they relate to your organizationsgoals. Usegraphsandcharts,whereverpossible.

ImportanceasaScoringFactor
The three evaluation dimensions described above are all critical to evaluation and feedback. However, evaluation and feedback must also consider the importance of improvements in Approach, Deployment, and Results to the applicants business. The areas of greatest importance should be addressed in the Business Overview.Ofparticularimportancearethekeycustomerrequirementsandkeystrategiesandactionplans.

RelationshipbetweenCategories
AssessorswillbelookingforconsistencybetweenthecategoriesoftheGPNQAModel. Linkagebetween'StrategicPlanning',InformationManagement'and"BusinessResults"areexpected. Forexample, If the strategy is to achieve 'global leadership', the organization should be seeking 'global comparisons', manage benchmark information from such sources, establish performance targets related to those benchmarksandachieve'Results'againstthosetargets.

AssignmentofScorestoApplicantsResponses
Examinersobservethefollowingguidelinesinassignmentofscorestoapplicantsresponses: AllrelevantAreastoAddressshouldbeincludedintheItemresponse.Also,responsesshouldreflect whatisimportanttotheapplicantsbusiness.

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 In assigning a score to an Item, an Examiner first decides which scoring range (e.g. 40% to 60%) best fits theoverallItemresponse.Overallbestfitdoesnotrequiretotalagreementwitheachofthestatements for that scoring range. Actual score within the range depends upon an Examiners judgment of the closeness of the Item response in relation to the statements in the next higher and next lower scoring range. An Approach/Deployment Item score of 50% represents an approach that meets the basic objectives of theItemandthatisdeployedtotheprincipalactivitiescoveredintheItem.Higherscoresreflectmaturity (cyclesofimprovement),integration,andbroaderdeployment. A Results Item score of 50% represents clear indication of improvement trends and/or good levels of performanceintheprincipalresultsareascoveredintheItem.Higherscoresreflectbetterimprovement ratesandcomparativeperformanceaswellasbroadercoverage.

ScoringGuidelinesEnablerCategories

Approach
.systematicapproachevident

Score
0%

Deployment
.Littleornoeffectiveusage

beginningofasystematicapproachtothe primarypurposesoftheitem earlystagesofa transitionfromreactingtoproblemstoageneral improvementorientation

10%to 30%

.Majorgapsexistindeploymentthatwouldinhibit progressinachievingtheprimarypurposesofthe item.

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asoundsystematicapproach,responsivetothe primarypurposesoftheitem afactbased improvementprocessinplaceinkeyareas;more emphasisisplacedonimprovementthanon reactiontoproblems

40%to 60%

.nomajorgapsindeployment,thoughsomeareas ofworkunitsmaybeinveryearlystagesof deployment

asound,systematicapproach,responsivetothe overallpurposesoftheItem afactbased improvementprocessisakeymanagementtool; clearevidenceofrefinementandimproved integrationasaresultofimprovementcyclesand analysis.

70%to 90%

.approachiswelldeployed,withnosignificant gaps;deploymentmayvaryinsomeareasofwork units

asound,systematicapproach,fullyresponsiveto alltherequirementsoftheItem averystrong, factbasedimprovementprocessisakey managementtool;strongerrefinementand integrationbackedbyexcellentanalysis.

90%to 100%

.Approachisfullydeployedwithoutanysignificant weaknessorgapsinanyareasofworkunits.

ScoringGuidelinesResultCategories

Results Score
0% 10%to30%

. earlystagesofdevelopingtrends,someimprovementsand/orearlygood
performancelevelsinafewareas results notreportedformanytomostareasofimportancetotheapplicant'skey . businessrequirements

improvementtrendsand/orgoodperformancelevelsreportedformanytomost areasofimportancetotheapplicant'skeybusinessrequirements

. nopatternofadversetrendsand/orpoorperformancelevelsinareasofimportance 40%to60% . totheapplicant'skeybusinessrequirementssometrendsandorcurrent

performancelevelevaluatedagainstrelevantcomparisonsand/orbenchmarks showareasofstrengthand/orgoodtoverygoodrelativeperformancelevels.

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. currentperformanceisgoodtoexcellentinmostareasofimportancetothe . applicant'skeybusinessrequirementsmostimprovementtrendsand/or . performancelevelsaresustainedmanytomostrendsand/orcurrentperformance

levelsevaluatedagainstrelevantcomparisonsand/orbenchmarksshowareasof leadershipandverygoodrelativeperformancelevels. 70%to90%

. currentperformanceisexcellentinmostareasofimportancetotheapplicant'skey . businessrequirementsexcellentimprovementtrendsand/orsustainedexcellent . performancelevelsinmostareasstrongevidenceofindustryandbenchmarks

leadershipdemonstratedinmanyareas.

90%to100%

OrganizationalMaturityStages
It is important for a management team to gain a common understanding of Fundamental Concepts and how the application of all of them can lead to Excellence. As part of developing this shared understanding, and providing catalysts for action, it can be useful for the management team to conduct a simple evaluation, usingthechartbelow,toanswerthequestion,"wherearewenowinrelationtotheseconcepts?"

1.

FUNDAMENTALCONCEPT STARTUP
OrganizationalLeadership VisionandMissionare defined

ONTHEWAY
Policy,peopleandProcesses arealigned.Aleadership 'model'exists. Planningandreviewof organizationalplansand resourceshavebeen permittedtodeptand functionallevels.

MATURE
SharedValuesandethical rolemodelsexistatall organizationallevels Theorganizationanditskey policiesarecodeveloped andperiodicallyreviewed onthebasisofshared knowledgeincludingbench marking.

2.

StrategicPlanning

Aprocessexistsforplanning andreviewoforganizational plansforachievingitsmission

3.

InformationManagement andInnovation

Improvementopportunities areidentifiedandactedon

Continuousimprovementis anacceptedobjectivefor everyindividual

Successfulinnovationand improvementiswidespread andintegrated

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4. HumanResource Management Peopleacceptownershipand responsibilitytosolve problems Processestoachievedesired resultsaredefined Peopleareinnovativeand creativeinfurthering organizationalobjectives Peopleareempoweredto actandopenlyshare knowledgeandexperience

5.

ProcessManagement

Comparativedataand informationisusedtoset challenginggoals

Processcapabilityisfully understoodandusedto driveperformance improvements AcultureofQuality,team workandinnovationisin place.

6.

EmployeeSatisfaction

Employeeturnoverand absenteeismundercheck

Effectivesuggestionscheme, Qualitycirclesand empowermentofemployees inplace

7.

CustomerSatisfaction

CustomerSatisfaction assessed

Goalsandtargetsarelinked tocustomerneedsand expectations.Loyaltyissues areresearched

Businessdriversof customersatisfactionneeds &loyaltyissuesare understood,measuredand actioned

8.

ImpactonSociety

Legalandregulatory requirementsareunderstood

Thereisactiveinvolvement in'society'

Societalexpectationsare measuredandactioned

9.

BusinessResults

Allrelevantstakeholdersare identified

Stakeholderneedsare assessedinastructured manner

Transparentmechanisms existtobalancestakeholder expectations

CoreValues
TheGoldenPeacockNationalQualityAwardisbasedon13corevaluesandconceptsthatarecharacteristicofsuccessfulorganizations. The evaluation of your organization is based on how and to what extent the core values and concepts permeate your operations and providethefoundationforintegratingkeybusinessrequirementswithinaresultsorientedframework. CustomerDrivenQualityTheobjectiveofallorganizationsistosatisfytheircustomersstatedorimpliedneeds.Allemployees mustconsiderittheirtasktosatisfytheneedsofboththeirexternalandinternalcustomers.Customeristhefinalarbiterwho takesintoaccounttheissuesthatinfluenceroyalty. CommittedLeadershipInordertocreateasystemthatfocusesonthecustomer,personal,activeandvisiblecommitmentis requiredfromeverymanager.Theleadershipmustsetthedirectionanddefineandfollowupthegoalsbycreatingopportunities fortheemployeestoachievethesame.Leadersdeveloptheorganizationsculture,anddrivetheorganizationtowardsexcellence. ParticipationbyEveryoneAprerequisiteforasuccessfulorganizationisthateveryemployeefeelsthathe/sheistrustedbythe organizationtoperformanddevelophisorhertasks.Consequently,everyonemustbeawareofthegoals,havethemeansto attainthemandbeawareoftheresultsachieved.

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CompetenceDevelopmentSkilledemployeesareaprerequisiteforthesuccessandcompetitivenessofanorganization.Therefore everyemployeeshouldhavetheopportunityforimprovementandfurtherdevelopmentinawaythatbenefitsboththeindividual andtheorganization. LongRangePerspectiveTheorganizationmustfocusonlongtermdevelopmentandcompetitiveness.Asustainableprocessof improvementleadstoimprovedproductivityandeffectiveness,abetterenvironment,increasedcustomersatisfactionandlong rangeprofitability. SocialResponsibilityEveryorganizationhasapublicresponsibilitythatextendsbeyondlawsandregulations.Theorganizationand theemployeesmustseetheirprocesses,productsandservicesaspartofamuchbroadertotalityandactivelycontributeto improvingsocietyandtheenvironment.ProcessOrientationTheactivitiesoftheorganizationshouldbeseenasprocessesthat createvalueforthecustomers.Processorientationstimulatesananalysisandimprovementintheworkflowandworkingofthe organizationandlaysthefoundationforcustomerorientedoperationaldevelopment.Decisionsmustbebasedonreliablefacts andfigures.

PreventionItpaystopreventfaultsfromoccurringandeliminaterisksinprocesses,goodsandservices.Itisalsovitaltoinvolve customersandsuppliersinthisprocess.

ContinuousImprovementCompetitivenessrequirescontinuousimprovementsandrenewalofallaspectsofthebusiness.The basisofthisisamethodicalprocessofimprovementthatpermeatesallleveloftheorganizationandanorganizationalculturethat stimulatescreativesuggestionsandnewideas.LearningFromOthersTheorganizationmustacquireknowledgeinallareasabout whatcanbeachieved.Thisrequirescomparisonstobemadewiththosethatcanbeconsideredtobethebestinacertainprocess, regardlessofthetradeorsectortheyhappentobelongto.

FasterResponseInallbusinesses,shorterresponsetimesandmorerapidreactionstotheneedsofthecustomersaredecisive. Thisappliestodevelopment,productionanddeliveryofgoodsandservices,aswellastoadministrativeprocesses.

PartnershipDevelopmentisthekeytosuccessintodaysbusiness.Itisessentialthat,throughcooperation,differentskillareas arecombinedamongstaffandamongcustomers,suppliers,partners,ownersandprincipals. ResultsFocusTheorganizationsperformancemeasurementsneedtofocusonkeyresultsbalancingandsatisfyingtheinterestsof allstakeholders.

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PART III: Application & Annexure Annexure 1

Application Form GPNQA

NameofApplicantOrganization........................................................................................ Address.......................................................................................................................... Website. Nameofcontactperson............................................Designation..................................................... Telephone(Office).....................................(Res)..............................Mob............................ Email..................................................................... ContactAddress(ifdifferentfromabove).............................................................................. ........................................................................................................................................ NameofHighestRankingOfficial...................................................................................... Position.......................................................................................................................... Telephone(Office)....................................................(Residence)........................................ Email.................................................................... 1.Totalnumberofemployees 2.Istheapplicantanindependentprofit/costcentre? 3.NameoftheParentOrganization,ifany? Address................................................................................................................. ........................................................................................................................................ Telephone(Office)...................................................Email......................................... 4.TypeofOrganization(Tickhere) Large Manufacturing Medium&Small Service

5.ThetotalamountforRs39,500plus12.36%ServiceTaxasapplicablemaybepaidbyeitherofthefollowing: (A) ChequeatParorDemandDraftpayabletoInstituteofDirectors,NewDelhi (B) BankTransfer (C) CreditCard:Pllogontowww.goldenpeacockawards.comforonlinepayment.

6.Declaration On behalf of my organization I do hereby declare that we shall fully abide by the rules/regulations of the Golden Peacock NationalQualityAwardScheme,andacceptthedecisionsoftheJuryasfinal. IdeclarethatthereisnooutstandingPenalactionforcorporatecompliancefailure,fromanyGovernmentAgency. IconfirmthatmyOrganizationiseligibletotakepartinthiscompetition,andthatallinformationandaccompanyingapplication documentsarecorrectinthisbehalf. ......................................................................................... DateSignatureofHighestRankingOfficial

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Annexure2

TheBusinessOverview
TheBusinessOverviewisanoutlineoftheapplicantsbusiness,addressingwhatismostimportantto thebusiness,keyinfluencesonhowthebusinessoperates,andwherethebusinessisheaded.Thebrief BusinessOverviewisintendedtohelpExaminersunderstand,whatisrelevantandimportanttothe applicantsbusiness. TheBUSINESSOVERVIEWisofcriticalimportancetoassesstheapplicant,because: a) Itisasnapshotofyourorganization,thekeyinfluencesonhowyouoperateandthekey challengesyouface. b) Itisthemostappropriatestartingpointforwritingandreviewingtheapplication,helpingto ensurefocusonkeybusinessissuesandconsistencyinresponse,especiallyinreportingbusiness results,and c) ItisusedbytheExaminersandJudgesinallstagesofapplicationreview,includingthesitevisit, ifany.

1. OrganizationalDescription
Withinyourresponse,includeanswerstothefollowing: a) OrganizationalEnvironment 1.OrganizationsSIZE,LOCATIONandOWNERSHIP. 2.Whatareyourorganizationsmainproductsandservices?Whatarethedeliverymechanisms forreachingyourCUSTOMERS? 3.Whatisyourorganizationalculture?WhatarestatedPURPOSE,VISION,MISSIONand VALUESCodes? 4.Whatareyourmajorfacilities,technologiesandequipments? 5.Whatistheregulatoryenvironmentunderwhichyourorganizationoperates?Whatarethe applicablerelevantindustrystandards;OHS,environmental,financialandproduct regulations;accreditation,certificationorregistrationscompiledwith. Iftheapplicantisanindependentselfaccountingsubunitofalargercompany,abriefdescription shouldbegivenoftheorganizationalrelationshiptotheparentandpercentofemployeesthesubunit represents.Brieflydescribehowtheapplicantsproductsandservicesrelatetothoseoftheparent and/orotherunitsoftheparentcompany.Iftheparentcompanyprovideskeysupportservices,that shouldalsobedescribedbriefly. 17

 b) OrganizationalRelationships 1.WhatareyourorganizationalstructureandGOVERNANCEsystem,includingwiththeparent organizations,asapplicable. 2.WhatareyouKEYCUSTOMERSandSTAKEHOLDERgroupsandmarketSEGMENTS? 2.OrganizationalChallenges a) CompetitiveEnvironment 1.Whatisyourcompetitiveposition?Whatisyourrelativesizeandgrowthinyourindustryor marketsserved? 2.Whataretheprincipalfactorsthatdetermineyoursuccessrelativetoyourcompetitors? 3.WhatareyourKEYavailablesourcesofcomparativeandcompetitivedata? b) StrategicContext WhatareyourKEYbusiness,operational,andhumanresourceSTRATEGICCHALLENGESand advantages,associatedwithorganizationalSUSTAINABILITY? c) PerformanceImprovementSystem WhataretheKEYelementsofyourPERFORMANCEimprovementsystem,includingyour evaluationandLEARNINGPROCESSES?

3.ShoworganizationalprocessesifcertifiedtoISOStandards(9001/14001/18001/others)

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Annexure3

SELFAPPRAISALREPORT
(Pointsmayvaryforaspecificbusinesscategory)

1.OrganizationalLeadership
Describehowseniorleadersguideyourorganizationandrevieworganizationalperformance. 1.1SeniorLeadershipCommitment&Involvement 1.1.1HowSeniorLeadershipsetDirectionfortheOrganization a)Howleadersestablishvision,Strategicdirection,andsetgoalstoexceedCustomerexpectations. b)Howleaderschampioncustomerfocusedactivitiesandcontinuousimprovement. c)Howleadersreviewprogressandachievementsrelatedtoestablishedgoals. Howsuchreviewsaretranslatedintoprioritiesforimprovementandopportunitiesforinnovation. 1.1.2HowLeadersCommunicateandReinforceValues. a)HowleaderscommunicatetheVision&Values b)Howleaders,asrolemodelsofacultureofexcellence,livethevaluesandleadbyexample. 1.1.3HowLeadersDemonstratePersonalCommitment. a)Howleaderslearnandteachqualitytools. b)Howleadersfocusonvitalissuesthataffectoperationaleffectivenessandoperatingefficiency c)HowleadersparticipateinImprovementactivitiesanddemonstratetheirpersonalcommitment. 1.2TotalQualityCulture 1.2.1HowTQMPrinciplesarereflectedthroughCompanyculture. a)HowwidelysystematicproblemsolvingispracticedusingQCtoolsandrootcauseanalysis. b)Howproblempreventionispracticedacrosstheorganization,using'analyticaltools'andthe principle'FirstTimeRight' c)How'continuousimprovement'isinstitutionalized. 1.2.2.HowLeadersprovideanenvironmentfor'Improvement' a)Howleadersprovideanenvironmentthatmotivatesemployeestostriveforexcellence b)Howleadersencouragefactbasedandprocessdrivenplanningandexecution c)Howisitensuredthatthecompanyisa'learningorganization'. 1.3ResponsibilitiestowardsSociety 1.3.1.HowLeadersdemonstratetheirconcernfortheenvironment a)Howtheenvironmentisprotectedthroughpracticesthatpreventproducts,services,facilitiesand

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operationsimpactingthesurroundings. b)Howleadersensurecompliancetolegal,regulatoryandethicalrequirements. 1.3.2HowLeadersservetheLocalCommunity a)Howleadersprovideexternalleadershiptoupliftthesocietyandlocalcommunity. b)Howleadersensurethatthecompanyemployeesfulfilltheirresponsibilities,ascitizensofthelocal community. c)Howyouidentifykeycommunitiesanddetermineareasofemphasisfor organizationalinvolvementandsupport.

2. StrategicPlanning
Howtheorganizationimplementsitsmissionandvisionviaaclearstakeholderfocusedstrategy, supportedbyrelevantpolicies,plans,objectives,targetsandprocesses. 2.1 StrategicPlanningProcess

2.1.1.HowdoyoudevelopCompetitiveStrategies? a) Whatisyourstrategicplanningprocess?Includethekeystepsandkeyparticipantsintheprocess i)Targetcustomersandvalueproposition ii)Competitiveenvironment;presentandemerging iii)ChangingTechnologiesiv)ResourceRequirements;HumanandCapital b)HowyouestablishgoalsrelatedtoQualityandCustomerSatisfaction,usingcomparative benchmarksincludingcompetitiveperformancelevels. c)Howyouinvolvecustomers,suppliersandotherpartnersinbusinessinyour strategicplanningprocess. 2.2 CustomerandMarketFocus Howdoyoudetermineyourtargetcustomersandtheirneeds? a)Howdoyousegmentthecustomergroupsyouwanttoserve? b)Howdoyoudeterminethekeyattributetheypreferandtheirrelativeimportance? 2.3 Innovation&Growth Howdoyouencourageandrewardpeopleforinnovativeideas? 2.4 StrategyDeployment

2.4.1Whatareyourkeystrategiesandgoals,andyourtimetableforaccomplishingthem. 2.4.2.Howdoyoumanagestrategyexecution? 2.4.3.Howdoyoumonitorprogressofyourstrategicjourney?

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a)Howdoyouestablishmilestonesandreviewprogress. b)Howdoyoukeeptrackofchangesintheexternalenvironmentandrespondtothosechanges? 2.5 CorporateGovernance

2.5.1OverviewofGovernanceStructures 2.5.2NonExecutivedirectorsandtheirroleintheboardroomfunctioning 2.5.3InternalAuditanditseffectiveness 2.5.4Financialreporting,Transparency&audit,andthecompany'sAnnualReport.

3.

InformationManagement
Yourorganizationsperformancemeasurementsystemandhowyourorganization analysesperformanceandinformation. PerformanceMeasuresandDataIntegration

3.1

3.1.1Howhaveyoudeterminedtherequirementsofdata?

a)Whatarethekeyperformancemeasuresthatareidentifiedandhowcollection,collation,and reportingofdatasupportthem? b)Howaretheinformationanddatadeployedtousers,whoareresponsibleforthegoalsand variousoperationalobjectives? 3.2 Selection&UseofComparativeInformationIncludingCompetitiveData 3.2.1Collectionandintegrationofcomparativeinformation a)Howdoyouselectappropriatesourcesandbenchmarkcompaniesforcomparativeinformation? b)Howdoyoucollectreliableinformationandintegratethemintotheinformationsystem. 3.2.2.Howdoyouusecomparativeinformationtoestablishcompetitivestrategies;stretchgoalstoachieve performancebreakthrough
3.3InformationAnalysisandUse 3.3.1 Describehowyourorganizationanalysesperformancedata,andinformationtoassessandunderstand overallorganizationalperformance. 3.3.2.Howdoyoureviewperformanceandinitiatecorrectiveactions. a)Howdoyouusetheperformancereviewfindingstoinitiateorganizationalplanning,corrective actionsandimprovementprojects? b)Howdoyoucommunicatetheperformancelevelsandareasofconcerntoallemployeesand motivatethemtotakeupimprovementactivities.

4.HumanResourceManagement

Howtheorganizationmanages,developsandreleasestheknowledgeandfullpotentialofitspeopleatan individual,teambasedandorganizationwidelevels,andplanstheseactivitiesinordertosupportitspolicy andstrategyandtheeffectiveoperationofitsprocesses.

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4.1.HR.PoliciesandStrategies 4.1.1.HowareHRStrategiesintegratedwithStrategicBusinessPlan? 4.1.2.HowdoyoumanageHRStrategiestoenhancepeoplecommitment? 4.2.Skills&CompetencyEnhancement

4.2.1.Howyourorganizationseducationandtrainingsupporttheachievementofyourbusinessobjectives, buildemployeesknowledge,skillsandcapabilitiesandcontributetoimproveemployeeperformance. 4.2.2HowdoyouidentifyTrainingandDevelopmentalneeds. a)Howdoyoumaptheskillsandcompetenciesavailable?

b)Howdoyouestablishthegapsandtranslateitintotrainingneeds.

4.2.3.Howdoyoudevelopskillsandcompetencies? a)Howdoyoudevelopworldclassskillsrelatedtocoreareasofcompetence? b)Howdoyoudevelopskillsintheareasofunderstandingandusingworldclassqualitytools? 4.3.OrganizationDesignandSelfDirectedResponsibilities 4.3.1.Howareemployeesatvariouslevelsempowered? a) Howdoyouenableemployeesatvariouslevelstocarryoutdaytodaytransactionswithout hassles? b)Howdoyouempoweremployeestorespondtosituationsaffectingcustomers,withoutnecessary approvalsandauthorizations? 4.3.2.Howdoyouenableemployeestotakeupqualityimprovementinitiatives? a) Howdoyouenableindividualemployeestoshowinitiativesoutsideroutinejobresponsibilities andworktowardsqualityimprovements? b)Howdoyouenableemployeestoworkonimprovementinitiativesjointly betweenvariousgroups/functions? 4.4.Reward,RecognitionandEncouragement. 4.4.1.Howareselfinitiatedimprovementsrecognized. a) Whatisyoursystemforencouragementandrecognitionforindividualsuggestions towardsimprovement? b)Whatisyoursystemforrewardandrecognitionforindividualachievementstowardscustomer orientedqualityimprovements? 4.4.2.Howdoyourecognizeteamorientedinitiatives?

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5.

ProcessManagement
Howtheorganizationdesigns,managesandimprovesitsprocessesinordertosupportitspolicyand strategyandfullysatisfy,andgenerateincreasingvaluefor,itscustomersandotherstakeholders.

5.1

ProcessDesignandManagement

5.1.1Howprocessesaresystematicallydesignedandmanaged,throughapplyingsystemstandardscovering, forexample,Qualitysystems(ISO9000),EnvironmentalSystem(ISO14000),occupationalHealthand SafetySystems(ISO18000) 5.1.2.Howdoyouresolveinterfaceissuesinsidetheorganizationandwithexternalpartnersfortheeffective managementofendtoendprocesses? 5.1.3Howallcriticalprocessesareidentified? 5.1.4Howbenchmarkingisusedasastimulusforprocessimprovement,insupportfunctions. 5.2. DevelopmentofProducts/Services 5.2.1.Howareproducts/servicesdesignedandmanaged: a)howarekeycustomerrequirementscapturedandtranslatedintodesigninputs. b)Howdoyouvalidatethedesignbeforelaunchingtheproduct/service? 5.2.2.Howdoyouestablishcompetitiveadvantageinyourproducts/services? a)Howdoyouanalyzecompetitiveproducts/servicesusingtoolssuchas'RadarDiagram.' b)HowdoyouestablishvaluesuperioritythroughPriceperformanceanalysis. 5.3 DevelopmentofProcesses

5.3.1.SelectionandinstallationofProcessEquipment. a)Howdoyouensureprocesscapabilityduringequipmentselection,suchasmachinesand Tools? b)Whatprecautionsdoyoutaketopreventfuturequalityproblemsatthetimeofinstallation andcommissioning? 5.3.2.Howdoyouintroducenewprocess? a)Whatpracticedoyoufollowtoqualifytheprocesses? b)Whatpracticedoyoufollowtoqualifythematerial/servicesdeliveredbythenewprocess? 5.3.3.Howdoyouensureconsistentdelivery? a)HowdoyouprovideinputstooperatingpeopleforcontrollingtheProcesses? b)Whatpracticedoyoufollowtocertifythepeopleoperatingcriticalprocesses? 5.4.DeliveryofProducts/Services,FeedbackandImprovement.

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5.4.1Howdoyoucapturedeliveryperformance?Whatsystemsdoyouhavetoensuretimelyand defectfreedeliveryofproducts/services? 5.4.2FeedbackandImprovement:Howdoyoucaptureperformancegapindeliveryandkey operationalareas?

5.5. HandlingComplaints&CustomerRelationshipManagement 5.5.1.Howdoyouestablishandimprovecustomerrelationship?

a)Howdoyouensurethatemployeescomingincontactwiththecustomersaretrainedtobe responsiveandcourteousandactivelydeveloppartnershipwithcustomers? b)Howdoyouestablishservicestandardsandensurethatemployeesprovidingserviceto customersexceedstandardsanddelightthem. c)Howdoyouseekfeedbackfromcustomerstoimproveitsproductsandsources? 5.5.2.Howdoyouusecustomercomplaintsasopportunitiestoenhancecustomerrelationship?

5.6SupplierSelectionandManagement

5.6.1.Howdoyouselectsuppliersofmaterial/services? a)Whatcriteriayouusetoselectandqualifysuppliers. b)Whataretheclausesyouincludeinthepurchasecontract/agreementthatprovideadequate assuranceonQualityandReliability? 5.6.2.Howdoyoubuildsupportivepartnership? a) Howdoyouensureprecertifiedsuppliesofmaterial/services? b)What objectives you establish for your suppliers that relate to continuous QualityCost Improve ment. c) How do you involve your suppliers during early stages of product/Service development?

6.EmployeeSatisfaction

6.1WorkEnvironment a)Describehowtheorganizationmaintainsaworkenvironmentandanemployeesupportclimate,that contributetothewellbeing,satisfactionandmotivationofallemployees b)Howdoyouaddressandimproveworkplacehealth,safetyandergonomicfactors? c)Howdoyoudeterminethekeyfactorsthataffectemployeewellbeing,satisfactionand motivation? 6.2.EmployeeInvolvementandCommitment

a)Whatisthelevelofpeopleinvolvementinnonroutineimprovementorientedactivities? 24

b)Doyouhavemeasuresthatreflectdegreeofpeopleinvolvement?Considermeasures suchasSuggestionperEmployee,CrossFunctionalTeamparticipation,etc. 6.3.EmployeesSatisfactionDetermination a)Howandhowoftendoyoumeasureanddeterminethelevelsofemployee satisfaction. b)Howdoyouusethemeasurementfindingstoimprovethesatisfaction,therebythe commitmentofemployees. 6.4.EmployeesSatisfactionResults a) Doyouhaveemployeesurveyresultsthatreflectsatisfaction? Howdoesitcomparewithbestinclass? b)Doyouuseothermeasuressuchasabsenteeism,turnover,etc.toassesssatisfaction?Howdo theseresultscomparewithbestinclass?

7.CustomerSatisfaction

7.1.CustomerCommitment 7.1.1.WarrantyCommitment a)howdoyourwarrantytermscomparewithcompetition. b)Howeasyitisforcustomerstoavailwarrantyservice.Showevidence. c)Howdoesyourpostwarrantyservicecomparewithcompetition? d)HowisyourSalesandaftersalessupportperceived? 7.2.CustomerComplaints 7.2.1.RegistrationofComplaints a)Doyouhaveasystemforregistrationofcomplaints. b)Whatistheaveragenumberofcomplaints?Showthetrendoflastthreeyears.Howdoesthisfigure comparewithCompetitionandbestinclass? 7.2.2.ConsumerForumandCourtCases a)Howmanycaseswereraised,undereach,duringthepreviousfinancialyear. b)Howdoesthisfigurecomparewiththecompetitionandbestinclass? 7.3CustomerSatisfactionDetermination

a)HowandhowoftendoyoudeterminesatisfactionlevelsofCustomersandTradePartners? b)HowdoyouusesatisfactionmeasurementdataforimprovementofProductsandServices? c)Whatdataismaintainedtotracktrendsofrepeatbusiness,deliveryperformance?

7.4.CustomerSatisfactionResults 7.4.1.WhatisthelevelofCustomerSatisfaction a)WhatisthecustomersatisfactionIndex,Showthetrend.

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b)Howdoesthisfigurecomparewiththecompetitionandbestinclass? 7.4.2HowdoessatisfactionIndexreflectonBusinessresults a)HowdoBusinessresultsandotherrelevantmeasuressuchasMarketshare,repeatpurchaseand referralscomparewiththesatisfactionindex. b)Howdoyoulinkthefindingsofsatisfactionsurveystoderivestrategicinitiatives?

8.ImpactonSociety
8.1ProtectionofEnvironment&EnvironmentPerformance 8.1.1.EnvironmentalAuditResults a)HaveyouobtainedcertificationsuchasISO14001? b)Anymajorenvironmentalinitiatives? c)Performanceonmanagementofenergy,waterandwaste. 8.1.2.PerceptionoftheLocalCommunity

a)ArethereanycomplaintsorCourtcasespendingonaccountofenvironmentalissues. b)Howareyouratedbythecommunityforprotectionofenvironmentandglobalresources? 8.2.BenefitstoSociety 8.2.1.InvolvementinLocalCommunity Isthereanyvisibleimpacttothelocalcommunityonaccountofcommunitydevelopment activitiesinitiatedbythecompany,ineachofthefollowingareas: a)Supportforsportsandleisure. b)Involvementandtraining c)Supportformedicalandwelfareprovision d)Voluntaryworkandphilanthropy e)Impactonlocalemploymentlevel. 8.2.2.PerceptionbytheCommunity Howdoesthecommunityperceiveyourcompany?Whatistheratingtheywouldgiveona10 pointscale? a)Complaintlevels b)Howdoesthecommunityperceiveyourcontributiontotheirqualityoflife? c)Ethicalbehavior 8.3.CorporateSocialResponsibility

8.3.1TheSocialdimensioncapturestheimpactofanorganization'sactivityonsociety,includingon employees,customers,community,supplychainandbusinesspractices,HealthandSafety.Show majorinitiativesundereachofthefollowingareas: a)CSR b)HealthandSafety. c)WagesandBenefits. d)WelfareSchemes. 26

e)GrievanceHandlingandNondiscrimination. f)ProceduresadaptedforCSRimprovement. 8.4Sustainability 8.4.1Howdoyouratethesignificanceofsustainabilityinyourbusinessstrategy? 8.4.2DoyoupublishAnnualReportonSustainability,asperGRI4guidelines?

9.BusinessResults
Whattheorganizationisachievinginrelationtoitsplannedperformance. 9.1. MarketrelatedResults 9.1.1.Whatisyourrevenuegrowthtrendforthepast2years?

9.1.2.Howdoesyourmarketsharegrow?
9.2.OperatingPerformancerelatedResults

9.2.1.UtilizationofCapitalResources a)ShowresultsoneffectiveutilizationofFixedAssets. b)ShowresultsoneffectiveutilizationofWorkingCapital. 9.2.2.UtilizationofHumanResources a)ShowresultsrelatedtoemployeeProductivity:ConsidermeasuressuchasRevenueperEmployees, CostperEmployeeandConversionCosts. b)Showresultsrelatedtoefficiency:ConsidermeasuressuchasProcessCycleTimes. c)Processinnovationsandproductivity.

9.3.FinancialResults

ProvideResultsthatsupportsoundFinancialPerformance. a)MeasuresofFinancialReturnandkeyfinancialratiosasappropriate. b)Sharepricemovement,netprofitanddividends.

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