Application for HR Excellence Assessment - 2009

CII HR Excellence Assessment

Application Brochure And

Excellence Model


Contents

Introduction ..........................................................................3

HR Excellence Model...............................................................4

Assessment Process ...............................................................6

Recognition Methodology ........................................................7

Application Process ................................................................9

Application Document ............................................................11

Human Resources Excellence Assessment Criteria

Leadership ............................................................................13

Human Resources Strategy ....................................................14

Human Resources Management Processes/Practices ..................15

People Knowledge and Competencies ......................................16

People Well-being and Engagement .........................................17

Results.................................................................................18

Assessment and Scoring ........................................................20

Scoring Matrix – Enablers.......................................................21

Scoring Matrix – Results ........................................................22

Application Form ...................................................................23

Scoring Summary Sheet .........................................................25

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INTRODUCTION

The Confederation of Indian Industry (CII) works to create and sustain an environment conducive to the growth of industry in India, partnering industry and government alike through advisory and consultative processes.

CII is a non-government, not-for-profit, industry led and industry managed organisation, playing a proactive role in India’s development process. Founded over 113 years ago, it is India’s premier business association, with a direct membership of over 7500 organisations from the private as well as public sectors, including SMEs and MNCs, and an indirect membership of over 83,000 companies from around 380 national and regional sectoral associations.

CII catalyses change by working closely with government on policy issues, enhancing efficiency, competitiveness and expanding business opportunities for industry through a range of specialised services and global linkages. It also provides a platform for sectoral consensus building and networking. Major emphasis is laid on projecting a positive image of business, assisting industry to identify and execute corporate citizenship programmes. Partnerships with over 120 NGOs across the country carry forward our initiatives in integrated and inclusive development, which include health, education, livelihood, diversity management, skill development and water, to name a few.

With 63 offices in India, 8 overseas in Australia, Austria, China, France, Japan, Singapore, UK, USA and institutional partnerships with 271 counterpart organisations in 100 countries, CII serves as a reference point for Indian industry and the international business community

CII established the Human Resources Excellence Assessment to promote the awareness of HR Excellence as an increasingly important element of organizational performance management.

Objectives

Regardless of sector, size, structure or maturity to be successful, organizations need to establish appropriate management framework with clear purpose. CII-HR Excellence Model is a practical tool that can be used in a number of ways.

As a tool for Self- Assessment by measuring the current status and thus identify the gaps to stimulate solutions.

As a framework to position various HR initiatives and identify gaps.


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As the basis to develop common understanding of various terms used in the HR Management.

The HR Excellence Assessment aims to achieve the following:

To help improve Human Resources and performance practices, capabilities, by providing objective feedback for improvement to each applicant.

To facilitate communication and sharing of best practices and information within and among organizations of all types


The Model is developed based on CII- EXIM BANK Model for Business Excellence and such similar models. Applicants will be assessed as per the CII – HR Excellence Model, as shown below:

Innovation and learning

CII-HR Excellence Model

HR Management Processes/ Practices (15%)

Results (35%)

Leadership (10%)

People Knowledge & Competencies (15%)

Enablers 650 points (65 %) Results 350 points (35%)

HR Strategy (10%)

People Well-Being &Engagement (15%)

The applicant organisation is scored on a scale 0 to 1000 points using the CII-HR Excellence Model. The six boxes in the model correspond to the criteria, used to assess the applicant organisation’s progress towards HR Excellence. The Results criterion is concerned with what the organisation has achieved and is achieving. The Enablers criteria are concerned with how the results are being achieved. Scoring System Scoring will be done as per the RADAR logic explained below: RADAR consists of four elements: • Results • Approach • Deployment • Assessment and Review

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Applying RADAR Logic The following are the specific elements of the RADAR concept that should be addressed. Results This covers with what an organisation has achieved and is achieving. In an excellent organisation the results will show favorable trends and/or sustained good performance, targets will be appropriate and have met or exceeded, Performance will compare well with others and will have been caused by the approaches. Additionally, the scope of the results will address the relevant areas. Approach This covers what an organisation plans to do and the reasons for it. In an excellent organisation the approach will be sound-having a clear rationale with well-defined and developed processes and a clear focus on stakeholders needs. The approach is to be integrated to support HR strategy and policies in line with organizational purpose and linked to other approaches where appropriate. Deployment This covers what an organisation does to deploy the approach. In an excellent organisation the approach will be implemented in all relevant areas in a systematic way. Assessment & Review This covers what an organisation does to assess and review both the approach and the deployment of the approach. In an excellent organisation, the approach and its deployment will be subject to regular measurement and learning. Output from measurement and learning will be used to identify, prioritise, plan and implement improvement.


Assessment Process

Potential applicants apply for the HR Excellence Assessment Process. Submission of Application

Selection of Assessors

Assessment, Consensus Scoring and Site Visit

Applicant Submits Documents

Senior Managers from Industry who have been trained in the CII Excellence Assessment process are selected as Assessors. Applicants send 50 page (maximum) application document to CII. Assessor team is appointed for each applicant. Assessors individually list strengths / opportunities for improvement and score in their own time. Team assembles at site to reach consensus score followed by the Site Visits to check the Validity of application and clarify issues. Applications are re-scored and reports finalized. (Typically the whole process lasts for 3 to 4 days.)

Feedback Report Senior Assessors (leaders of the Assessment team) write Feedback Reports to all applicants identifying the strengths/opportunities for improvement. Score-ranges are also given for each criterion. On request, Senior Assessor visits applicant to discuss feedback report.

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Benefits to HR Excellence Assessment applicants: • The Human Resources function of all participating companies will receive a

certificate in recognition of their participation and involvement.

• Participating companies will receive feedback and of their Human Resources score program assessment, based on information provided.

In addition to the above benefits, participation in this assessment process can be a stepping-stone for other assessments like CII-EXIM BANK BUSINESS EXCELLENCE ASSESSMENT. For more information on the latter, please visit www.ciionline.org or Contact :- CII Institute of Quality Near Bharat Nagara Phase III Magadi Main Road, Vishwaneedam P.O. Bangalore – 560 091

Eligibility Criteria The applicant must be actively in business at least for the past three years.

http://www.ciionline.org/


Application Process

The process for submitting an application can be broken into the following steps. 1. Read the application brochure to gain an overall understanding of the purpose of

the criteria, scoring rationale and application process.

2. Meet with HR staff to assign responses to each aspect of the criteria.

3. Develop draft of response to each aspect of the criteria of the model.

4. Edit and develop final draft for overall response from the drafts.

5. Submit overall Application Document as per format given on Page 11. Application Requirements Applicants will submit an application package that consists of: • Submit application form as per format on Page 24.

• Application Fee to be paid as applicable.

• Site visit is part of the review process. Expenses for the site visit (Travel, boarding and Lodging) will be borne by the applicant.

Confidentiality Each application will be reviewed by a Panel of Assessors. All applicants will be subjected to a site visit. The applicant will be required to facilitate an open and unbiased examination. An applicant can indicate in its application document or during the site visit that certain information is proprietary in nature. The CII, members of the Panel of Assessors and the Jury agree to keep such designated information as confidential, except as may be required by law or order of a court. Members of the Panel of Assessors and the Jury sign Non-disclosure agreement to hold in confidence such proprietary information obtained in the course of the assessment process.

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Application Document

1. Applications should be: in type-script in English text in 11 point Arial font and figures in 9 point Arial narrow. numbered pages loose-bound pages (for ease of processing) no more than 50 pages (sides) of A4 in total length. Note that the 50 pages will include

• Table of contents • Overview • Support material • Glossary of terms

2. Seven identical copies are required. 3. The document should be divided into the following sections:

a. Title Page The name of the organisation or business entity making the application, its address and the date of the application.

b. Application Form (page 24)

Please include a copy of the filled in Application Form with the signature of the highest ranking HR official. The signature authenticates that all the information contained in the application is correct, and the requirements of the submission and the eligibility are met and the associated costs will be borne by the organization. The application form is to be found on Page 24 of this brochure.

c. Table of Contents

Please give the page wise table of contents.

d. Overview The overview is summary information about the applicant and its business (not exceeding Four pages), and should for example include: - Date of incorporation - principal products and services - purpose, vision, mission and values - employee profile, use of subcontract employees and special health and

safety requirements - customer profile - competitor profile - major technologies, facilities and raw material

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- regulatory and safety environment - organizational structure

e. Support Material

Support material will comprise the bulk of the application and will generally have been derived from self-assessment of the organisation’s activities. This information must be closely aligned with the six Asessment assessment criteria. The criteria are carefully and deliberately phrased in non-prescriptive terms, to allow the freedom to present self-assessment information which is relevant to the particular business situation.

f. Glossary of Terms

Please give the description of all terms and abbreviations used in the Application document.

2. Sending the Application Document 3.1 Six copies along with the filled in application form at Page 24. Completed

Application Document should be sent, addressed to the contact person given on Page 11.

Applications not complying with the dates a will not be considered. Applications not complying with the above requirements will be rejected.


Human Resources Excellence Model: Criteria

1. Leadership (100 points)

Excellent Leaders develop the mission, vision, and values required for long-term success of the organisation. Leaders at different levels facilitate implementation of these via appropriate actions, behaviours, and their personal involvement by establishing HR Management system aligned to achieve the organizational success.

Please address the following issues: a. How leaders develop the organisation’s mission and vision?

b. How do leaders develop and role model ethics and values which support the creation of the “Culture of Excellence” across the organization ?

c. How do leaders review and improve the effectiveness of their own leadership and identify and develop future leadership requirements?

d. How do leaders stimulate and encourage empowerment, creativity and innovation, e.g. by changing the organization’s structure, funding learning and improvement activities?

e. How leaders encourage and support learning and collaboration activities?

f. How have the leaders aligned the organisation’s structure to support delivery of its policy and strategy?

g. Do the leaders personally communicate the organisation’s mission, vision, values, policy and strategy, plans, objectives and targets to people?

h. How do leaders help and support people to achieve their plans, objectives and targets? Are they accessible, active listeners and respond positively to the people?

i. How do leaders encourage and enable people involvement thru participation in improvement activities for the benefit of organization/community/society ?

j. How do leaders recognise both team and individual efforts, at all levels within the organization, in a timely and appropriate manner?

k. How do leaders promote, support and engage and contribute to activities that aim to improve the status of socially / economically backward sections of society, differently abled persons, gender equality etc.

l. How do leaders promote, support and engage in activities that aim to improve the global environment and the organisations contribution to society with a view to respecting the rights and interests of future generations.

Coverage may include: • Leaders of excellent organizations develop shared vision, mission and values,

communicate with all stakeholders and establish organization structure to fulfill the same through their actions and behavior.

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• Practices & Processes that indicate leaders involvement in managing improvements and encouraging employee participation in improvement activities for creating and nurturing the culture of excellence across the organisation.

• Leaders of excellent organisations create ambience to generate new and innovative ideas from its people and their implementation. Further they also recognize and reward the individuals and teams for their contributions.

• Leaders of socially conscious organizations provide opportunities to enhance

• competencies / employability of persons of socially / economically backward sections of society like SC /ST / BCs, differently abled persons, gender equality etc and support actions to improve their status in the society.



2. Human Resources Strategy (100 points)

Excellent organizations implement their Vision, Mission, by developing appropriate strategies including HR strategies. The HR policies, plans, objectives and processes are developed and deployed, to deliver the HR strategy.

Please address the following items: a. What are the key steps the HR function uses in your organization in setting HR

strategic plans, both short and long-term, which reflect the overall goals and objectives of your company?

b. Describe how HR plans/strategy is incorporated into the organisation’s strategic plan.

c. What key factors are considered in planning future HR strategies?

d. Summarize your key strategic objectives and your timetable for accomplishing them. Broadly describe how your organization structure, people processes & practices support the achievement of your strategic objectives?

e. Describe changes brought in HR Strategy over last 24/36 months and spell out their measurable impact on your organisation.

f. Describe how your HR policies/strategies specifically address your organisation's journey towards Business Excellence.

Coverage may include: • Redesign of your work organization and/or jobs to increase employee

empowerment and decision making;

• Initiatives to promote greater labor-management cooperation, such as union partnerships;

• Modification of compensation/recognition systems to recognize individuals, teams, based on organizational/ stock market/ customer / other performance attributes;

• Education/training initiatives, such as developmental programs for future leaders, partnerships with universities/academic/ professional institutions to help ensure the availability of employees, with new competencies to meet future business needs, establishment of technology-based training etc.

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Human Resources Excellence Model: Criteria 3. Human Resources Management Processes/Practices (150 points)

Describe how your HR processes / practices support the organization in achieving its business goals and objectives and its journey towards business excellence.

Please address the following items:

a. What are the key HR practices that help the organization achieve its business goals and objectives?

b. Describe briefly your manpower planning, recruitment, career planning, and succession planning processes/practices.

c. Describe the policies / practices of your organization, for the socially / economically backward sections of the society, differently abled people and gender equality in recruitment.

d. Describe your current performance management system. How does the PMS encourage and support individuals & teams, reach the organisation's business goals & objectives.

e. Describe how your reward / recognition / compensation and career progression policies are linked with the PMS; describe how these reinforce the PMS.

f. How do you stay abreast of HR best practices and how do you incorporate these into your organization?

g. Describe various top down, bottom up and horizontal communication channels deployed by your organisation and the process used to act upon employee feedback.

h. What are the recent improvements in HR Practices? How do you measure the effectiveness of these improvements?

i. How do you leverage Information Technology to support your HR processes? Coverage may include: • High performance work culture is normally characterized by flexibility, innovation,

knowledge and skills sharing, alignment with organizational objectives, customer focus and fast response.

• Factors in work/job design include simplification of job classifications, job rotation, use of teams and alternative work arrangements.

• Compensation / Recognition system approaches may include profit sharing, team/unit linked performance incentives, variables pay based on individual or/and performance, linkage to customer satisfaction/loyalty measures etc.

Career Progression plans / practices. Reward and Recognition systems promoting higher levels performance culture and

fostering team work, including non-financial components. • Recruitment processes may include assessment of knowledge skills, attitudes,

etc., setting standards / norms for recruitment balancing organizational needs, providing equal opportunities and community aspirations.

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4. People Knowledge and Competencies (150 points)

Describe how your organization's people knowledge and competencies are identified, developed and sustained leading to overall improved employee performance to support your organization's objectives.

Please address the following items:

a. Describe the processes employed for identifying, classifying and matching people's knowledge and competencies with the organisation's current and future needs.

b. How does the approach to training and development is aligned with the short, medium and long-term plans of the organization?

c. How do you deliver functional & technical training? How do you address management / leadership development in your training strategies & plans (including formal and informal methods as appropriate.) and evaluate the effectiveness of these processes?

d. Describe new employee orientation program.

e. How do you educate and train your people on contemporary / emerging technologies, relevant to the business needs and best practices?

f. How do you reinforce knowledge and skills on the job?

g. Describe how development of knowledge and competencies has contributed to the overall success of your organization?

h. Describe how knowledge & competency of your HR staff is leveraged to enhance innovation and learning in HR function?

i. List separately the number of employees involved in and the number of training hours conducted at your organization in the previous two years.

j. Describe your organisation's involvement with / support to professional bodies, educational and management institutions?

k. How does your organisation ensure that the competencies of the people employed in outsourced activities would meet the job requirements?

Coverage may include:

Processes for Knowledge and Competency development for different segments of employees viz., different categories, people from socially / economically and backward communities, differently abled persons etc. to meet the business needs.

Knowledge and Competency management may include identification and bridging of gaps on functional aspects related job and development of skills such

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as communication, teamwork, problem solving, interpreting and using data, customer expectations, process analysis/simplification, waste/cycle time reduction etc.

Evaluation of training and development may include impact on individual, team, unit and organizational performance / attitudes, impact on customer-related performance, cost/benefit analysis of the training, organizational image building in community / society etc.

Processes and practices adopted by the orgnisation to ensure that the people employed possess necessary competencies for effective working in line with the changing business needs.


Human Resources Excellence Model : Criteria

5. People Well-Being and Engagement (150 points)

Describe how your organization’s work environment, employee support climate and people engagement are determined with the aim of fostering the well-being, satisfaction, and motivation of all employees to achieve the long term organizational success, recognizing their diverse needs.

Please address the following items: a. Work Environment: • How does your organisation address and improve workplace health, safety and

ergonomic factors?

• How do you handle “labor/employee relations” issues, including relationships with formal employee representatives/groups?

• How do people take part in identifying and improving workplace safety and well-being?

• Bring out the practices your organisation adopts to ensure the safety and health of the employees of outsourced activities are addressed either directly or indirectly.

b. Employee Support Climate: • How does your organisation enhance your employee’s work climate via services,

benefits and policies?

• How are these enhancements selected and tailored to the needs of a diverse workforce and different categories and types of employees as appropriate?

• Describe the practices in vogue to ensure that the employee benefits (financial & non-financial) are provided for outsourced employees beyond the statutory requirements are provided.

c. Employee Satisfaction: • What formal and/or informal assessment methods and measures are used to

determine the key factors that impact employee well-being, satisfaction and motivation?

• What formal and/or informal assessment methods and measures are used to determine employee well-being, satisfaction and motivation?

• How do you tailor these methods and measures to a diverse work force and to different categories/types of employees? Explain the practices adopted by your

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organization to address cultural diversity, promote gender equality behaviour, respect for women and deal with non-compliance to these policies?

• How do you use other indicators such as employee retention, absenteeism, grievances and productivity to assess and improve employee well-being, satisfaction and motivation?

• How do you use assessment findings to identify priorities for improving the work environment and employee support climate to achieve long term organizational success?

Coverage may include: • Examples of ways companies contribute to employee satisfaction: career

development and employee services, recreational and cultural activities, formal and informal recognition, non-work-related education, gender equality, day-care, special leave for family responsibilities, flexible work hours, benefits packages, outplacement services retirement benefits etc.

• Statutory compliances, Safety / Health / Environmental promotion policies.

• Methodology adopted to ensure that aspects like safety, health and employee benefits for employees of outsourced activities are addressed adequately.


6. Results (350 points) 6a Perception measures (150 Points) These measures are the people’s perception, customer perception and society perception of the organisation, directly impacting the HR function (obtained, for example, from surveys, focus groups, interviews, structured appraisals, etc).

People perception measures may include those relating to:

Motivation Career development;

o communication; o empowerment; o equal opportunities; o involvement; o leadership; o opportunity to learn and achieve; o recognition o target setting and appraisal o the organisation’s values, mission,

vision, policy and strategy o training and development

Satisfaction: o Organisation’s administration; o employment conditions; o facilities and services; o health and safety conditions; o job security; o pay and benefits; o peer relationships; o the management of change; o the organizations environmental

policy and impact; o the organisation’s role in the

community / society development working environment

Customer perception measures regarding employees may relate to:

Image o accessibility o communication o pro-active behaviour o responsiveness

Sales and After Sales Support o capabilities and behaviour of

employees o handling of complaints

Society perception:

o People Involvement in the development of community/society/environment. o People Participation and encouragement to sports and other leisure activities o Ethical behaviour of people. o Image of employees as responsible members of community and society. o People Behaviour and Respect for women. o Equal opportunity employer.


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6b Organisational Performance Indicators (200 Points). These measures are the internal ones used by the organisation in order to monitor, understand, predict and improve the performance of the organisation’s people and business directly impacted by the HR function.

Depending on the purpose of the organisation, performance indicators for people may include those relating to:

Achievements;

o competency requirements versus competencies available;

o productivity; o success rates of training and

development to meet objectives Motivation and involvement;

o involvement in improvement activities (individuals/teams)

o levels of training and development;

o measurable benefits of team work;

o recognition of individuals and teams;

o response rates to people surveys

Equal Opportunity Employment o Segmentation of employees o Gender composition o Recruitment / Attrition rates

Satisfaction: o absenteeism and sickness levels; o accident levels; o grievances; o recruitment trends; o staff turnover; o strikes; o sexual harassment/non compliance incidents o pending legal cases o use of benefits; o use of organisation provided

facilities (e.g., recreational, crèche). Services provided to the organisation’s

people: o accuracy of personnel

administration; o communication effectiveness; o speed of response to enquiries; o training evaluation o Effectiveness of grievance

redressals. Operational measures used by the organisation to monitor and understand the

HR processes which directly impact key business outcomes. These may include: • Innovations/breakthrough improvements • Information and knowledge (accessibility, integrity, value of intellectual

property/capital) • Profitability per employee • Value Added (VA)/Re of employee cost Coverage may include: • The internal measures may include performance indicators, covering hygiene and

motivational aspects, segmentation of data to monitor and understand the effectiveness of various HR policies / practices to enhance the perception of different categories of full time employees and thus their contribution for improved organizational performance.

• Indicators on aspects such as employee satisfaction on various aspects related to employees of outsourced activities.


Assessment and Scoring

Panel of Assessors The Panel of Assessors consists of HR professionals and Business Managers, trained on CII-EXIM Bank Business Excellence Model Assessment Process. The HR Excellence Committee of CII will arrange for a Panel of Assessors who will be responsible for assessing sapplicant organisations. Each Assessor will be required to sign a Non-disclosure agreement. Assessors will be screened for any possible clash of business interest. Scoring The applicant organisation is assessed as per the scoring guidelines (please refer to Scoring Matrix) for each of the Six Criteria and the total points awarded is arrived at, after assigning the corresponding weightages.

Criteria Weightages (%) Maximum points 1 10 100 2 10 100 3 15 150 4 15 150 5 15 150 6 35 350 6a 15 150 6b 20 200

Site Visits All applicants will undergo a site visit to their facility. Assessors reserve the right to verify all programs and practices listed in the application. Assessors may wish to review personnel records and other connected documents. Assessors may also want to conduct random interviews with employees/employee unions/associations.

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Scoring Matrix- Enablers (Criteria 1 to 5)

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Scoring Matrix- Results (Criteria 6)

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Calculation of Total Points

Criterion Score Awarded Factor Points Awarded

1. Leadership × 1.0

2. HR Strategy × 1.0

3. HR Management Practices × 1.5

4. People Knowledge & Competencies × 1.5

5. People Well-being & Engagement × 1.5

Results

6a. Perception Measures × 1.5

6b. Performance Indicators × 2.0

Total Points Awarded

Scoring Summary Sheet

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Application Form 1.1 Name of Applicant Organisation ……………………………………………….…………………………………………………………………… 1.2 Address ……………………………………………….…………………………………………………………………… ……………………………………………….…………………………………………………………………… Pin Code: ……………………………………………….…………………………………………………………………… 2.1 Name of the organisation’s contact person ……………………………………………….…………………………………………………………………… 2.2 Position ……………………………………………….…………………………………………………………………… 2.3 Telephone ……………………………………………….…………………………………………………………………… 2.4 Fax ……………………………………………….…………………………………………………………………… 2.5 Email ……………………………………………….…………………………………………………………………… 2.6 Contact Address (if different from above) ……………………………………………….…………………………………………………………………… ……………………………………………….…………………………………………………………………… 3.1 Name of the Highest Ranking HR Official ……………………………………………….…………………………………………………………………… 3.2 Position ………………………………………………………………………………………………… 3.3 Telephone ……………………………………………………………………………………………… 3.4 Fax……………………………………………………………………………………………… 3.5 Email……………………………………………………………………………………..........

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4.1 Size of the Organisation (measured in average Full Time Employee strength in last 12

months) ……………………………………………………………………………………………………………………

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4.2 Number of locations/sites ………………………………………………………………………………………………………………….. 4.3 Annual Sales in Rs Cr. ………………………………………………………………………………………………………………….. We understand that our application will be reviewed by a Panel of Assessors. We agree to host the site visit and facilitate an open and unbiased assessment. We agree to pay the application fee and expenses towards the site visit. ________________________ ________________________________________________________

(Signature of Highest Ranking HR Official) Date ___________________________________

Full Time On-contract Total Number of employee’s world-wide …………

Number of employees in the Region ………

Number of HR staff in World wide ……….

Number of HR staff in the region………….