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Benchmarking and Performance Excellence Self-assessment (EFQM Excellence Model) Source: Centre for Organisational Excellence Research Permission to present the self-assessment on the BPIR website has been provided by the Centre for Organisational Excellence Research, www.coer.org.nz. How the self-assessment can help BPIR members… This self-assessment provides your organisation with an opportunity to identify its strengths and weaknesses relative to the EFQM Excellence Model. The questionnaire is part of an overall business excellence self-assessment service which is provided by COER/BPIR. The questionnaire is a useful tool for identifying your organisations strengths and weaknesses in the following areas:

• Leadership • Policy & Strategy • People • Partnership & Resources • Processes • People Results • Customer Results • Society Results • Key Performance Results

It is recommended that you select a team of people (that are representative of all levels and parts of your organisation) to complete the questionnaire. The team should then meet and reach a consensus opinion on the response to each question and your organisation’s strengths and weaknesses. From this information you can then determine your priorities for improvement and the actions required to improve performance. Please note that adding your scores together from each section of the questionnaire will not give you an accurate score against the EFQM Excellence Model (as each question response is allocated a different weighting based on the opinion of an experienced panel of EFQM Excellence Model assessors. These weightings vary from question to question and therefore there is no simple method for your organisation to calculate or estimate your overall self-assessment score). If you would like to obtain an accurate score as assessed against the Model you will need to register for the full business excellence service (this is promoted on the BPIR). The full service includes a report on how well your organisation has performed against the Model and in comparison to other organisations that have completed the assessment.



The Self-Assessment 1. LEADERSHIP This Criteria examines how leaders develop and facilitate the achievement of the mission and vision, develop values and systems required for sustainable success and implement these via their actions and behaviour. It examines whether leaders retain a constancy of purpose and when required are they able to change the direction of the organisation and inspire others to follow. Leaders develop the mission, vision, values and ethics and are role models of a culture of Excellence

Criteria: 1a

Area to be assessed: Leadership actions support organisation’s goals and values

1.1 Do our senior leaders demonstrate commitment to the organisation’s goals and behave in a manner consistent with the organisation’s values?

Evidence: Do we have a clearly written set of organisational goals/values? Do our leaders visibly practice the principles of continuous improvement in every day actions? Do our leaders lead by example, display role model behaviour, and actively participate in improvement effort

through training and teamwork? Do our leaders recognise employees who follow the organisation’s values?

1 Never

2 Some, occasionally

3 Most, usually

4 All, usually

5 All, at all times

6 All, at all times and approach reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Organisational values

Strengths Opportunities for Improvement



Criteria: 1a

Area to be assessed: Leaders encourage feedback on their performance

1.2 Do our senior leaders (including the board of directors) obtain feedback on their performance so that they can improve their own leadership effectiveness?

Evidence: Do we assess the effectiveness of senior management performance? (including the board of directors) Are different metrics and evaluation methods used to assess the effectiveness of senior management? Are attitude surveys on leadership issues performed, the results analysed and reported back, and is action

taken to address key concerns? Do team and departmental meetings take place, do they include discussion of leaders’ performance and do

they identify opportunities for improvement? Do our leaders use 360o appraisal from their leaders, staff, customers and suppliers to develop their skills?

1 Never


3 Most, usually

4 All, usually

5 All, at all times

6 All, at all times and approach reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 1a

Area to be assessed: Leaders display ethical behaviour

1.3 Do our senior leaders lead by example in terms of ethical behaviour and are clear guidelines on ethical conduct provided?

Evidence: Are there systems in place to encourage and ensure ethical behaviour? Are new employees exposed to a clear set of organisational ethics as part of their orientation programme? Have our people been trained in ethical business practices? Do we provide a clear method that enables our employees to raise issues and ask questions regarding legal

and ethical conduct? Do we have systems in place to monitor behaviour of suppliers and employees for ethics?

1 No

2 A few lead by example occasionally, ethical guidelines unclear or poorly communicated

3 Most lead by example some of the time, ethical guidelines are reasonably clear but are usually poorly communicated

4 Most lead by example most of the time, ethical guidelines are clear and are usually clearly communicated

5 All lead by example all of the time, ethical guidelines are clear and they are clearly communicated

6 All lead by example all of the time, ethical guidelines are clear and they are clearly communicated and approach is reviewed for effectiveness




Leaders are personally involved in ensuring the organisation’s management system is developed, implemented and continuously improved Criteria: 1b

Area to be assessed: Leaders manage by facts

1.4 Do our senior leaders regularly review short and longer-term performance of our organisation against our goals, and make appropriate improvement actions based on careful analysis?

Evidence: Do our leaders meet on a regular basis to review and discuss company performance data? Are these items regularly on our boardroom agenda? (financial, customer satisfaction, employee satisfaction,

environmental, suppliers, key processes)? Do we have a process for reviewing progress against plan, and measuring whether the plans are producing

the expected results? (i.e. has the action led to performance improvement) Do we have a process for prioritising actions (e.g. cost – benefit and/or risk analysis)?

1 Never

2 Rarely as our goals/metrics are unclear or our method of analysis/action prioritisation are not objective.

3 Sometimes but our goals, metrics, analysis of information or method of prioritisation can be significantly improved

4 Usually but our goals, metrics, analysis of information or method of prioritisation can be slightly improved

5 Always

6 Always and approach reviewed for effectiveness Strengths Opportunities for Improvement



Criteria: 1b

Area to be assessed: Approach to governance

1.5 Are the interests of our key stakeholders effectively represented and protected through our governance approach?

Evidence: Do we have an established system for governance with a clearly defined purpose and role?

Do we have a governance system in place that ensures management accountability for the organisation’s actions, fiscal accountability, and independence in review and audits?

Does our governance system effectively evaluate organisational and CEO performance from the perspective of all stakeholder interests and take appropriate action as required?

Do we regularly review our governance system to ensure that it is functioning effectively in the best interests of stakeholders?

1 No

2 Rarely good governance practices are used and understood, and rarely the interests of all key stakeholders are effectively represented

3 Some good governance practices are used and understood, and sometimes the interests of all key stakeholders are effectively represented

4 Many good governance practices are used and understood, and usually the interests of all key stakeholders are effectively represented

5 Always good governance practices are used and understood, and always the interests of all key stakeholders are effectively represented

6

Always good governance practices are used and understood, and always the interests of all key stakeholders are effectively represented, and approach is reviewed for effectiveness


Criteria: 1b

Area to be assessed: Leaders provide appropriate resources

1.6 Do our senior leaders provide timely and adequate resources to enable and support improvement activities?

Evidence: Do leaders ensure resources are committed to improvement activities to achieve performance targets? Do leaders ensure resources are committed to learning and development to support improvement activities?

1 Never


3 Most, usually

4 All, usually

5 All, at all times




Leaders interact with customers, partners and representatives of society Criteria: 1c

Area to be assessed: Leaders encourage employee involvement in the community

1.7 Do our leaders practice good citizenship and support our organisation’s key communities?

Evidence: Are our key communities identified? Do we determine areas of emphasis for community involvement and support? Are our employees encouraged to contribute to the local community (and time-off is given if required)? e.g. via

charities, community events, education and training, and participation in local sporting events. Do our senior executives participate in activities that involve communicating the organisations’ values to outside

organisations such as educational institutions, civic groups and professional associations? Does our organisation have a planned systematic approach to charitable/community support?

1 No

2 Rarely

3 Sometimes

4 Frequently

5 Always, when appropriate

6 Always, when appropriate and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 1c

Area to be assessed: Leaders and customer relationships

1.8 Do our senior leaders get to know our customers personally so as to understand and respond to their needs?

Evidence: Do members of the senior management team and other leaders personally meet customers? Are partnership relationships established with selected customers? Do we invite our customers to our organisation to learn more about what we do and do our senior leaders visit

our customers? 1 No

2 Rarely

3 Sometimes

4 Frequently





Criteria: 1c

Area to be assessed: Leaders and supplier relationships

1.9 Do our senior leaders get to know our suppliers personally so as to understand and respond to their needs?

Evidence: Do members of the senior management team and other leaders personally meet suppliers? Are partnership relationships established with selected suppliers? Do we invite our suppliers to our organisation to learn more about what we do and do our senior leaders visit

our suppliers? 1 No

2 Rarely

3 Sometimes

4 Frequently



Leaders reinforce a culture of Excellence with the organisation’s people Criteria: 1d

Area to be assessed: Leadership encourages empowerment

1.10 Do our senior leaders give our employees the freedom to make their own decisions, and to develop and implement their own ideas?

Evidence: Do we allow and trust employees and managers to make their own decisions? Do we have clear plans and strategies implemented to increase employee authority to act (empowerment),

employee learning and innovation? Do we have incentives in place to encourage innovation and risk taking? Do our leaders ensure that employees are released from other commitments to participate in improvement

activities? 1 No

2 Rarely freedom to make decisions, and rarely are checks/systems in place to ensure decisions are based on sound knowledge

3 Sometimes freedom to make decisions, and there are sometimes checks/systems in place to ensure decisions are based on sound knowledge

4 Usually freedom to make decisions, and usually there are checks/systems in place to ensure decisions are based on sound knowledge

5 Always freedom to make decisions, and there are always checks/systems in place to ensure decisions are based on sound knowledge

6

Always freedom to make decisions, and there are always checks/systems in place to ensure decisions are based on sound knowledge, and the approach is reviewed for effectiveness




Criteria: 1d

Area to be assessed: Leadership supports excellence

1.11 Do our senior leaders encourage everyone in the organisation to strive for excellence?

Evidence: Do leaders coach employees and teams to set stretching and rigorous performance targets? Is there a recognition process that publicly acknowledges team and individual performance? Do leaders actively participate in the recognition process? Is achievement in improvement activities and customer satisfaction included in performance reviews, and

when promotion is being considered? 1 Never


3 Most, usually

4 All, usually

5 All, at all times


Criteria: 1d

Area to be assessed: Leaders are accessible

1.12 Do our senior leaders make themselves accessible to employees and listen to what they have to say?

Evidence: Do we have a process for this? How do our senior leaders make it easy for employees to contact them? How do our senior leaders show that they have listened to the ideas or concerns of employees?

1 Never


3 Most, usually

4 All, usually

5 All, at all times




Leaders identify and champion organisational change Criteria: 1e

Area to be assessed: Leadership encourages new ideas and innovation

1.13 Are our senior leaders always seeking new ways to sustain and grow the organisation?

Evidence: Are we continuously exploring new ideas and implementing new initiatives when appropriate? Are we constantly exploring new markets as a way of expanding market share? Does our organisation have a proven track record of exploiting new opportunities? Is our organisation agile, forward-looking, dynamic and a risk taker (when appropriate)?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always


Criteria: 1e

Area to be assessed: Leadership actions demonstrate customer focus

1.14 Are our senior leaders customer focussed and do they actively encourage reviews of processes, systems and products in order to improve customer service?

Evidence: Are customer needs clearly communicated throughout the organisation? Are processes frequently reviewed to see if customer service can be improved? Do our people, including those who don’t deliver products directly to external customers, know how their

efforts and their work units relate to the big picture? 1 No

2 Some, rarely

3 Some, sometimes

4 Most, usually

5 All, at all times

6 All, at all times and approach reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Internal and external customer’s




Criteria: 1e

Area to be assessed: Leadership’s commitment to improvement

1.15 Do our senior leaders ensure that employees are released from other commitments to participate in improvement activities?

Evidence: Do leaders actively encourage employees to spend time on improvement activities? Do leaders ensure that employees spend time on improvement activities?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always




2. POLICY AND STRATEGY This Criteria examines whether your organisation implements its mission and vision via a clear stakeholder-focussed strategy, supported by relevant policies, plans, objectives, targets and processes. Policy and strategy are based on the present and future needs and expectations of stakeholders Criteria: 2a

Area to be assessed: Stakeholder input to future direction

2.1

When our senior leaders set the direction for the organisation do they have information or input from all stakeholders (shareholders, customers, employees, suppliers, partners and the community) to ensure that all their needs are considered?

Evidence: Do we know who our key stakeholders are? How do we find out what each stakeholder wants us to achieve? How are our stakeholders’ needs considered and included when formulating our strategic direction?

1 Never

2 Input from one stakeholder

3 Input from two or three stakeholders

4 Input from all stakeholders

5 Fully involve all stakeholders and use competitive/benchmarking data for setting Direction

6 Fully involve all stakeholders and use competitive/benchmarking data for setting direction and approach reviewed for effectiveness

Refer to the Glossary of Terms for an explanation of: Senior leaders. Strengths Opportunities for Improvement



Criteria: 2a

Area to be assessed: Customer and market analysis

2.2 Do we gather relevant information from our customers, on our competitors and on potential and emerging markets, and use it when developing and reviewing our strategy?

Evidence: What is our process for understanding customer requirements and expectations? Do we have a process for identifying potential new customers (internal or external)? Do we identify competitive threats as well as competitors that are most vulnerable? Do we study competitors’ past actions to help predict their future behaviours? Do we have a process that assures us that the information we have on our customers, competitors and markets

is accurate and realistic Do we have an approach for incorporating the above information into our strategy?

1 No

2 Rarely obtain relevant information, rarely used for strategic purposes

3 Some relevant information obtained, sometimes used for strategic purposes

4 Usually obtain relevant information, usually used for strategic purposes

5 Always obtain relevant information, always used for strategic purposes

6 Always obtain relevant information, always used for strategic purposes, and approach is reviewed for effectiveness


Criteria: 2a

Area to be assessed: Supplier and partner input

2.3 Do we obtain relevant feedback from our suppliers and partners and use it when deriving and reviewing our strategy?

Evidence: What is our process for understanding supplier/partner requirements and expectations, and incorporating them into our strategy?

Do we know our supplier/partners strengths and weaknesses? Are our purchasing and supplier strategies aligned with our business needs?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always

6 Always, and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Supplier or Partner




Policy and strategy are based on information from performance measurement, research, learning and external related activities. Criteria: 2b

Area to be assessed: Consideration of external influences

2.4 Do we obtain relevant information about external factors and use it when deriving and reviewing our strategy? (External factors may include data on trends in economies, technologies, demographics, communities, politics, legislation and regulation.)

Evidence: Do we understand how factors such as technology, globalisation, regulation etc. affect our product/services and how we operate?

Do we have evidence that process and technology capabilities/limitations are taken into account when developing long and short-term plans and goals?

Do we consider changes in our local community and/or customer community and their effects when developing our plans?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always

6 Always, and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 2b

Area to be assessed: Level of benchmarking

2.5 Does our planning process involve obtaining relevant comparative/ benchmarking information and setting stretch goals to reach or exceed this level of performance?

Evidence: Do we compare the cost and quality of our product or service to those of our competitors and other relevant benchmarks?

Do we review voids and strengths of competitor products and services? Do we benchmark processes (as well as products and services) against best practice companies that are not

necessarily in the same industry? 1 No

2 Occasionally, for one or two areas of importance

3 Sometimes, for a few areas of importance

4 Usually, for most areas of importance

5 Always, for all areas of importance

6 Always, for all areas of importance, and approach is reviewed for effectiveness Strengths Opportunities for Improvement



Criteria: 2b

Area to be assessed: Fact based management

2.6 Are our policy and strategy decisions based upon a thorough analysis of data and information?

Evidence: Do we usually have relevant data available to support decision-making? Are trends and correlation’s reported and investigated for our key measures? Does our analysis typically consist of an assessment of all available facts? Are our methods of analysis valid? Do we have a process that assures quality of decisions? Are steps taken to ensure performance data is

interpreted correctly? (e.g. is the data presented in an appropriate format such as a graphical format so that can trends can be easily identified)

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always

6 Always, and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Analysis


Policy and strategy are developed, reviewed and updated Criteria: 2c

Area to be assessed: Approach used for setting long and short-term goals

2.7 Do we have an effective process for formulating short and longer-term strategies?

Evidence: Does our organisation have a planning process (meetings, written documents, etc.), which sets long and short-term goals?

Do we identify the things that the company must do well in order to succeed (e.g. attention to customers/markets, products/services, human resources, research and development, etc)

Do we fully consider our operational capabilities and resource requirements when planning? How do we know if our process is effective or not? (e.g. Do we regularly review the impact of our strategies and

revise our strategic planning process accordingly) 1 No, or no process

2 Rarely effective or effectiveness not known

3 Some aspects of the process are effective

4 Mostly effective

5 Always effective

6 Always effective and process reviewed regularly Refer to the Glossary of Terms for an explanation of: Strategy formulation




Criteria: 2c

Area to be assessed: Consideration of strengths and weaknesses

2.8 Do we consider our organisation’s overall strengths and weaknesses when deriving and reviewing our strategy?

Evidence: What processes do we use to understand our organisation’s strengths and weaknesses? How does strength and weakness information feed into and impact on our strategic planning process? Do we take into consideration the strengths and weaknesses of our people and other resources when deriving

strategy? 1 No

2 Rarely

3 Sometimes

4 Usually

5 Always


Criteria: 2c

Area to be assessed: Policies and strategies reflect business excellence principles

2.9 Do our policies and strategies reflect the principles of quality and continuous improvement?

Evidence: Does our mission, and business plans reflect business excellence principles and delight the customer, eliminate waste, and harness the skills and talents of the workforce?

Are our plans focussed on improvement and adding value for all stakeholders?

1 No

2 To a small extent

3 To a moderate extent

4 To a great extent

5 Yes, totally

6 Yes, totally and reviewed for effectiveness Strengths Opportunities for Improvement



Policy and strategy are communicated and deployed through a framework of key processes

Criteria: 2d

Area to be assessed: Integration of individual and team plans with strategic objectives

2.10 Do our departments, teams, and employees have missions, plans and performance targets aligned to key strategic objectives?

Evidence: Are our strategies cascaded down throughout all units and levels of the company? Is our mission, strategic objectives, and business plan communicated to and understood by all employees? Do we integrate our action plans into all levels of everyday activity? Do we have a process that ensures all employees are working towards our organisation’s goals?

1 No

2 Rarely have missions, plans and performance targets or plans rarely effectively address our strategic objectives

3 Sometimes have missions, plans and performance targets or plans sometimes effectively address a few of our strategic objectives

4 Usually have missions, plans and performance targets and they usually effectively address most of our strategic objectives

5 Always have missions, plans and performance targets and they always effectively address all of our strategic objectives

6 Always, have missions, plans and performance targets and they always effectively address all of our strategic objectives and our approach is reviewed for effectiveness


Criteria: 2d

Area to be assessed: Deployment of action plans

2.11 Do our action plans include goals, performance targets, actions, responsibilities, time-lines, resources required, progress against plan monitoring, and is there a system in place for changing plans based on changing organisational priorities?

Evidence: Do our action plans include key performance measures/indicators? Are our plans supported with the necessary resources? Do we provide people with the assistance they need to achieve their targets and objectives? Are our plans regularly evaluated for relevance and completeness?

1 No

2 Includes one or two of the above

3 Includes a few of the above

4 Includes most of the above

5 Includes all of the above

6 Includes all of the above and approach is reviewed for effectiveness Strengths Opportunities for Improvement



Criteria: 2d

Area to be assessed: Level of communication of strategy

2.12 Do we ensure effective communication of our strategies both internally to employees and, where relevant, externally to customers and suppliers?

Evidence: Are our plans communicated to employees and actions taken to ensure everyone is committed to achieving the goals?

Are our organisational priorities reinforced frequently through team and department meetings and briefings and do we have a process for testing the understanding of this?

Are our goals and plans communicated to customers/suppliers/partners and linked to customer/supplier/partner requirements, if appropriate?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always




3.0 PEOPLE This Criteria examines how your organisation manages, develops and releases the knowledge and full potential of its people at an individual, team-based and organisation-wide level. It considers whether your department promotes fairness and equality and involves and empowers people. It considers how your department cares for, communicates, rewards and recognises people to motivate staff and build commitment so that skills and knowledge are utilised for the benefit of the organisation. People resources are planned, managed and improved Criteria: 3a

Area to be assessed: Alignment of HR plans and strategy

3.1 Do we have human resource plans for staffing, selection, training, involvement, empowerment and recognition that are aligned to meet our strategic objectives?

Evidence: Do we have policies and/or plans for staffing, selection, training, involvement, empowerment and recognition? Are our personnel plans completely integrated into our planning systems and keyed to short and longer-term

objectives? Are our human resource plans and skills mix needs reviewed regularly? Do we specifically align remuneration, redeployment, redundancy and other terms of employment with our

policies and strategies? 1 No

2 Plans address a few of these areas but are only partly aligned to our strategic objectives

3 Plans address a few of these areas and are mostly aligned to our strategic objectives

4 Plans address most of these areas and are mostly aligned to our strategic objectives

5 Plans address all of these areas and are aligned to our strategic objectives

6 Plans address all of these areas and are aligned to our strategic objectives and our approach is reviewed for effectiveness




Criteria: 3a

Area to be assessed: Succession planning and career progression

3.2 Do we develop succession plans for leadership and management positions, and career progression plans for employees?

Evidence: Do we have succession plans in place for all key management/leadership positions? How are our employees assisted with their career development? Are future career opportunities discussed with all employees?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always


Criteria: 3a

Area to be assessed: Linking recruitment to performance objectives

3.3 Do we identify characteristics and skills required by potential employees and do we have an effective process for ensuring that new recruits fit these requirements?

Evidence: How do we decide on what skills and characteristics new recruits need? Are our personnel resourcing plans and skills mix needs linked to our long-term objectives and reviewed

regularly? Is there evidence that recruits are fulfilling our expectations of them? Do we measure the effectiveness of our recruitment process?

1 Characteristics and skills are not identified, ineffective recruitment process

2 Characteristics and skills are rarely identified, rarely effective recruitment process

3 Characteristics and skills are sometimes identified, partly effective recruitment process

4 Characteristics and skills are usually identified, usually effective recruitment process

5 Characteristics and skills are always identified, always effective recruitment process

6 Characteristics and skills are always identified, always effective recruitment process and approach is reviewed for effectiveness




People’s knowledge and competencies are identified, developed and sustained Criteria: 3b

Area to be assessed: Performance appraisal

3.4 Do we set, agree and appraise personal and team/unit objectives and performance to ensure that our people and teams have the skills and resources to contribute effectively to our strategies and policies?

Evidence: Do individual development plans include improvement activities and targets to support the teams/units goals? How is achievement appraised? How do we assist individuals and teams/units to improve their effectiveness?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always


Criteria: 3b

Area to be assessed: Training and education needs assessment

3.5 Are our employees training and education needs assessed in order to develop their knowledge, skills and capabilities to meet the current and future needs of our organisation?

Evidence: Do we identify the current and future skills and capabilities required by our organisation (e.g. might include computer and Internet literacy)?

Do we identify training and education needs? (E.g. by appraisals, skill shortages, structured review) Does the organisation have a structured training/education curriculum for training all levels and functions of

employees, and is that curriculum based upon a thorough analysis of employee training needs? 1 No

2 Rarely

3 Sometimes

4 Usually

5 Always




Criteria: 3b

Area to be assessed: Matching training need to training method

3.6 Do we use appropriate training methods to ensure employees can learn at their own pace dependent on their knowledge and skill levels?

Evidence: Do we provide/encourage on the job training, in-house formal training, college/university-based training, video, self-study, Internet based training.

Is training tailored to the individual’s needs? Do we consider the type of audience when deciding on training delivery methods? Do we seek and use input from employees and their supervisors/managers in education and training needs and

delivery options? 1 No or we do not provide any training

2 Rarely

3 Sometimes

4 Usually

5 Always

6 Always, and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Education and Training Delivery


People are involved and empowered Criteria: 3c

Area to be assessed: Employee empowerment

3.7 Do we encourage our employees to develop to their full potential, take risks, and learn from their mistakes?

Evidence: Have we done anything to motivate or encourage our employees to use their full potential? Do we evaluate individual decision making skills and increase levels of responsibility accordingly? Do we provide learning and development for our people in order that they can do their jobs better? Do we create opportunities for employees to learn and use skills that go beyond their current job

assignments? E.g. can they work in teams and tackle issues outside their normal function? 1 No

2 Rarely, for a few employees

3 Sometimes, for some employees

4 Usually, for most employees

5 Always, for all employees

6 Always, for all employees and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Employees




Criteria: 3c

Area to be assessed: Effective design of work teams and jobs

3.8 Are our work systems and jobs designed so as to encourage individual initiative, innovation, rapid response, co-operation and effective communication throughout our organisation?

Evidence: Do we provide a way for our employees to communicate ideas and concerns directly to management? Do most people in our organisation feel empowered to make improvements within their own work area? Can most people become involved in cross-functional teams or other initiatives that encourage effective

communication and drive change? Have we recently reviewed our work systems and jobs with these considerations in mind?

1 No


3 Sometimes, for some employees

4 Usually, for most employees

5 Always, for all employees

6 Always, for all employees, and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Work systems and job design


Criteria: 3c

Area to be assessed: Employee feedback and resulting actions

3.9 Do we survey or otherwise obtain feedback from our people and ensure that it is used to make improvements?

Evidence: Are regular team and departmental meetings held? Are questions encouraged? Do employees get the opportunity to help set the agenda?

Are attitude surveys conducted among all employees? Do we survey, or otherwise obtain feedback from our people and ensure that it is used to make

improvements? Do we collect and analyse data on employee morale, absenteeism, turnover, safety, grievances, involvement,

empowerment, recognition and training through company data, surveys, reviews and exit interviews? Are results analysed and reported back to all employees? Is action taken to address key concerns?

1 Never

2 Sometimes but only through informal means

3 Yes, at least one formal feedback cycle on which we have acted

4 Yes, regular formal feedback is obtained and this has resulted in improvements

5 Yes, regular formal feedback is obtained and this has resulted in demonstrable year on year improvements

6 Yes, regular formal feedback is obtained and this has resulted in demonstrable year on year improvements and approach is reviewed for effectiveness




People and the organisation have a dialogue Criteria: 3d

Area to be assessed: Communication of vision, strategic direction, and performance objectives

3.10 Are our vision, mission, strategic direction and performance expectations communicated and known by all employees?

Evidence: Do we have a vision, mission statement and/or a clear strategic direction? Do we have a system for communicating our organisation’s strategic direction (e.g. via meetings,

newsletters, internet, posters and videos)? Do we have a system for monitoring how our organisation’s strategic direction is understood (e.g. via

team meetings, talking to staff, and employee surveys)? Do we communicate our present performance and future performance expectations? How often is it communicated and how effectively is it communicated?

1 Not communicated or known, or no vision, mission, strategic direction, or performance expectations

2 Rarely communicated, known by only one or two people

3 Sometimes communicated, known by all the management team

4 Frequently communicated, known by most employees

5 Always communicated, known by all employees

6 Always communicated, known by all employees, and methods of communication are regularly reviewed.

Refer to the Glossary of Terms for an explanation of: Vision, mission, strategic direction, or performance expectations. Strengths Opportunities for Improvement

Criteria: 3d

Area to be assessed: Availability of data

3.11 Do our employees, departments and teams have access to data and information on the overall performance of the organisation that enables them to make effective decisions?

Evidence: Do we ensure that the right information is available to the people who want it, and in the right form? Is information resulting from data/performance analysis made available to employees and stakeholders

as appropriate? Do we ensure that people understand the information and use it for effective decision making? Do we ensure that consistent information is provided to all departments, teams and employees so that

the entire organisation is working in the same direction? 1 No

2 Rarely information provided, rarely assists decision-making

3 Sometimes information provided, sometimes assists decision-making

4 Usually information provided, often assists decision-making

5 Always information provided, often assists decision-making

6 Always information provided, often assists decision making and approach is reviewed for effectiveness




Criteria: 3d

Area to be assessed: Best practice transfer

3.12 Do we identify and share best practices throughout our organisation?

Evidence: Do we benchmark our processes against other organisations to identify better practices? Do we regularly participate in networking activities or conferences to learn about better practices? Once we have identified better practices what processes do we have to share this learning throughout our

organisation?

1 No

2 Identification and sharing are haphazard

3 Early stages of a method to regularly identify and share best practice knowledge

4 Identification and sharing strategy are working effectively in most parts of the organization

5 Identification and sharing strategy are working effectively throughout the organization

6 Identification and sharing strategy are working effectively throughout the organization and approach is regularly reviewed


People are rewarded, recognised and cared for Criteria: 3e

Area to be assessed: Linking rewards to achievements

3.13 Do our compensation, recognition and related reward/incentive practices reinforce high performance in-line with our policies and strategies?

Evidence: Does our organisation recognise and reward high performers? Is our reward system aligned to our goals and strategies? Does our recognition process publicity acknowledge outstanding team and individual performance or

achievement? Do our employees believe that our incentive and reward system is fair? Do our employees participate in creating, implementing and improving the recognition and reward system?

1 No

2 Rarely, rarely aligned

3 Sometimes, sometimes aligned

4 Usually, usually aligned

5 Always, always aligned

6 Always, always aligned and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Recognition




Criteria: 3e

Area to be assessed: Employee health and safety

3.14 Do we monitor and improve workplace health, safety and ergonomic factors?

Evidence: What policies do we have in place to maintain a safe and healthy work environment for all employees? (i.e. workplace assessments, and risk assessments)

Are there goals and strategies in place for improving employee well being, safety, health and ergonomics? How do we measure health and safety performance? Do we systematically identify and eliminate root causes for health and safety problems? Do we communicate corrective actions widely to help prevent problems from re-occurring in other parts of the

organisation? 1 No


3 Sometimes, for most employees

4 Regularly, for most employees

5 Regularly, for all employees

6 Regularly, for all employees and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 3e

Area to be assessed: Provision of employee benefits

3.15 Do we provide and tailor employee benefits so that they meet the specific needs of our employees?

Evidence: Do we provide employee benefits such as flexible hours, retirement benefits, options for health care, home safety training, on-site day care, dental, counselling, retirement savings or pension plan, tuition reimbursement, parental leave and family illness leave?

Do we provide special facilities for employee activities such as a lounge, meeting room and athletic facilities? Do we sponsor sports and special interest clubs, cultural events and non-work related educational

opportunities? Do we assess whether the benefits we provide to employees meet their needs?

1 No employee benefits provided

2 Occasional employee benefits, for some employees, not tailored to specific needs

3 Some employee benefits, for some employees, tailored to some specific needs

4 Some employee benefits, for most employees, tailored to most specific needs

5 Many employee benefits, for all employees, tailored to all specific needs

6 Many employee benefits, for all employees, tailored to all specific needs and they are assessed for appropriateness




4. PARTNERSHIPS AND RESOURCES This Criteria examines how your organisation plans and manages its external partnerships, suppliers and internal resources in order to support its policy and strategy and the effective operation of its processes. It considers how through planning and whilst managing partnerships and resources that the current and future needs of the organisation, the community and the environment are met. How external partnerships are managed Criteria: 4a

Area to be assessed: Identifying supplier partnerships

4.1 Do we explore with our key suppliers how through working together we can add greater value to our customers?

Evidence: Do we identify key suppliers where if we work together we can achieve more for our stakeholders than if we work independently?

Do we meet with our suppliers on a regular basis? Do we ensure it is a win-win relationship?

1 No

2 Rarely

3 Sometimes

4 Frequently



Criteria: 4a

Area to be assessed: Identifying partnerships other than with suppliers

4.2 Do we explore with organisations that are not our suppliers or customers how through working together we can add greater value to our customers?

Evidence: Do we identify potential partner organisations where if we work together we can achieve more for our stakeholders than if we work independently?

Do we meet with our partners on a regular basis? Do we ensure it is a win-win relationship?

1 No

2 Rarely

3 Sometimes

4 Frequently



Criteria: 4a



Area to be assessed: Identifying and working with partners

4.3 Our relationship with our key partner(s) is best described as...

Evidence: Do we identify potential partner organisations where if we work together we can achieve more for our stakeholders than if we work independently?

How often are meetings held? How is information shared with partners? Do we have a process for managing our partner relationships to ensure that they deliver value?

1 Poor or no key partners

2 We rarely work closely with partners and when we work with them it is usually to solve a problem

3 We frequently work with our partners on projects but our shared values are at odds or communication is strained

4

We frequently work with our partners on projects so that we can continuously improve our mutual performance, our shared values are similar and there is a free-flow of communication but this is confined to specific areas

5

We frequently work with our partners on projects so that we can continuously improve our mutual performance, our shared values are similar and there is a free-flow of communication at all levels between the partners, there is significant knowledge sharing

6

We frequently work with our partners on projects so that we can continuously improve our mutual performance, our shared values are similar and there is a free-flow of communication at all levels between the partners and significant knowledge sharing and our approach is reviewed for effectiveness


How finances are managed Criteria: 4b

Area to be assessed: Financial policy and strategy

4.4 Do we align our financial policies and strategies with our other policies and strategies?

Evidence: What do we do? What is our process? Is the department’s budget, revenue and capital, derived from its key goals and objectives? Is the budgetary process regularly reviewed and improved?

1 No

2 To a small extent


4 To a great extent

5 Yes, totally

6 Yes, totally and reviewed for effectiveness Strengths Opportunities for Improvement



Criteria: 4b

Area to be assessed: Financial information

4.5 Do we ensure that financial information is accessible, timely, easy to understand and use?

Evidence: What do we do? Is financial data analysed and presented in a consistent format and understood throughout the organisation so

that sensible decisions can be made? Are users of financial information consulted on the usability of information?

1 No

2 Rarely

3 Sometimes

4 Frequently



Criteria: 4b

Area to be assessed: Financial risks

4.6 Do we manage financial risks effectively?

Evidence: Do we identify areas of financial risk and take steps to manage the risks? Do we evaluate investment decisions and monitor the results?

1 No


3 Some aspects of our approach is effective

4 Mostly effective

5 Always effective

6 Always effective and approach is reviewed for effectiveness Strengths Opportunities for Improvement



How buildings, equipment and materials are managed Criteria: 4c

Area to be assessed: The impact of the organisation on the environment and community

4.7 Do we address and minimise the negative environmental and community impact of our products, services, processes and sites?

Evidence: Do we identify our potential negative impacts on the environment and community? Do we have a systematic process for defining measures, standards and goals relating to matters of corporate

citizenship and public responsibility (e.g. for impacts on waste streams and emissions, noise, traffic, smell and visual impacts)

Do we make best use of material resources using inventory control, waste management, and conservation of global resources and other practices?

Does our product/service design take into account such issues as user safety, reduced packaging, recycling and repair/reusability?

1 No

2 Rarely, for a few impacts

3 Sometimes, for some impacts

4 Usually, for most impacts

5 Always, for all impacts

6 Always, for all impacts and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 4c

Area to be assessed: Proactive behaviour relating to legal requirements

4.8 Do we monitor, anticipate and plan well in advance to meet regulatory and legal requirements and do we identify potential risks associated with our products, services and operations?

Evidence: Do we monitor regulatory developments and seek to anticipate rather than be driven by changes in legal requirements?

Are environmental, public safety, health and other risks to the community considered as a normal part of our decision making process?

Do we thoroughly test our products/services to ensure that that they meet current and future regulatory and legal requirements.

1 No

2 Rarely plan, potential risks identified for one or two impacts

3 Sometimes plan, potential risks identified for a few impacts

4 Usually plan, potential risks identified for most impacts

5 Always plan, potential risks identified for all impacts

6 Always plan, potential risks identified for all impacts and approach is reviewed for effectiveness




Criteria: 4c

Area to be assessed: Purchasing and supplier strategies

4.9 Do we ensure that our purchasing and supplier strategies are aligned with our business needs?

Evidence: Are supplier relationships regularly reviewed for their alignment to the organisation’s policy and strategy? Are suppliers responsible for measuring and evaluating quality?

1 No

2 Rarely

3 Sometimes

4 Frequently

5 Always

6 Always and approach is reviewed for effectiveness Strengths Opportunities for Improvement

How technology is managed Criteria: 4d

Area to be assessed: Reliability and user-friendliness of hardware and software systems

4.10 Do we ensure that our hardware and software systems are reliable and user friendly?

Evidence: Do we ask hardware and software users (via surveys or focus groups) on their opinions of the technology and how performance can be improved?

Do we provide effective/timely support for our hardware and software systems? Do we monitor the performance of our hardware and software systems - for example, the downtime of

networks, printers and computers? 1 No

2 We occasionally check the reliability and user-friendliness of one or two of our systems

3 We occasionally check the reliability and user-friendliness of most of our systems

4 We regularly check the reliability and user-friendliness of most of our systems

5 We regularly check the reliability and user-friendliness of all of our systems

6 We regularly check the reliability and user-friendliness of all of our systems and our approach is reviewed for effectiveness




Criteria: 4d

Area to be assessed: Use of technology

4.11 Do we ensure that our people develop the skills and capabilities to exploit and use new technology?

Evidence: What is the process for ensuring this? Are people allowed time to become skilled in relevant technology developments?

1 No

2 Rarely

3 Sometimes

4 Frequently

5 Always


Criteria: 4d

Area to be assessed: Identifying emerging technology

4.12 Do we identify emerging or alternative technology and evaluate how it can be used appropriately in our organisation?

Evidence: What process do we have to ensure this? Do we have access to the latest developments in technology world-wide? Are people encouraged to look at technology solutions to problems?

1 No

2 Rarely

3 Sometimes

4 Frequently

5 Always




How information and knowledge are managed Criteria: 4e

Area to be assessed: Relevance of information system

4.13 Is our information system current with our business needs and direction in all areas?

Evidence: Does our information system meet the needs of our employees? Do we ensure that information strategies support improvement activities throughout the organisation Is our information system subject to continuous improvement

1 No

2 Current with business needs in one or two areas

3 Current with business needs in a number of areas

4 Current with business needs in most areas

5 Current with business needs in all areas

6 Current with business needs in all areas and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 4e

Area to be assessed: Mechanisms for obtaining and communicating information

4.14 Do we review all our mechanisms for providing and sharing information (including hardware and software) to ensure that they continue to meet our future directions?

Evidence: Do we know of all the mechanisms we use to obtain and share information with our employees, suppliers/partners and customers and their relative effectiveness e.g. meetings, formal presentations, newsletters, website, emails, memos etc?

Do we continually search for better solutions to providing quick, reliable information to our employees and customers?

Have we assessed how the Internet, e-business/e-commerce, and the Intranet can be used for business-to-business, business to consumer and within business interactions?

1 No

2 Rarely, for one or two information mechanisms

3 Sometimes, for most information mechanisms

4 Regularly, for most information mechanisms

5 Always, for all mechanisms

6 Always, for all mechanisms and approach is reviewed for effectiveness Strengths Opportunities for Improvement



Criteria: 4e

Area to be assessed: Data validity

4.15 Do we ensure that our data and information is accurate, reliable, secure, relevant and provided in a timely fashion to the appropriate people?

Evidence: Do we gather feedback from users on the accuracy, reliability, relevance and timeliness of information and data through such methods as formal or informal surveys, focus groups or meetings?

Do we link our security standards to any external benchmark? Do we have a method for reviewing what information and measures are regularly reported on?

1 No

2 One or two of the above are occasionally addressed

3 A few of the above are usually addressed

4 All of the above are usually addressed

5 All of the above are always addressed

6 All of the above are always addressed, and approach is reviewed for effectiveness Strengths Opportunities for Improvement



5. PROCESSES This Criteria examines how the organisation designs, manages and improves its processes in order to support its policy and strategy and fully satisfy, and generate increasing value for, its customers and other stakeholders. Processes are systematically designed and managed Criteria: 5a

Area to be assessed: Understanding of key processes

5.1 Do we effectively identify and define our key processes and understand how these processes interact?

Evidence: What are our key processes? Where are they defined? Are they flowcharted? Are there procedures for them? Are all staff aware of them?

Is there a method for identifying processes that are key to our success? Do we identify and analyse the inputs and outputs of these key processes so that we can understand how they

add value and interact? 1 No

2 Rarely identify and define processes, little understanding of how these processes interact

3 Sometimes identify and define processes, some understanding of how these processes interact

4 Regularly identify and define processes, a good understanding of how these processes interact

5 Regularly identify and define processes, complete understanding of how these processes interact

6 Regularly identify and define processes, complete understanding of how these processes interact, and approach is reviewed for effectiveness

Refer to the Glossary of Terms for an explanation of: Key design and production delivery processes Strengths Opportunities for Improvement



Criteria: 5a

Area to be assessed: Information for process management

5.2 Is a wide variety of data/information used to manage our processes including day-to-day measures, data on process/service/product performance and benchmarking data (where appropriate)?

Evidence: Is our performance data matched against historic trends to provide the basis for forecast and target improvements?

Do we systematically measure process performance and do we obtain performance data from other organisational units with similar processes to set improvement targets?

Is information we obtain from benchmarking, customers, suppliers, competitors and social trend indicators used to set targets?

1 No

2 Rarely, for an occasional process

3 Sometimes, for some processes

4 Usually, for most processes

5 Always, for all processes

6 Always, for all processes and approach is reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Benchmarking


Criteria: 5a

Area to be assessed: Responsibility for processes

5.3 Do we assign clear lines of responsibility for managing our processes?

Evidence: Do we identify our key processes? Who is responsible for each process? Is ownership assigned at a level appropriate for the scope of the actions that are required for the process?

1 No

2 Rarely, for a few key processes

3 Sometimes, for most key processes

4 Usually, for all key processes

5 Always, for all key processes

6 Always, for all key processes and approach is reviewed for effectiveness Strengths Opportunities for Improvement



Processes are improved, as needed, using innovation in order to fully satisfy and generate increasing value for customers and other stakeholders. Criteria: 5b

Area to be assessed: Prioritising improvement projects

5.4 Do we have an effective system for prioritising improvement projects in line with our policies and strategies and for allocating resources to them?

Evidence: How do we decide which projects to undertake? Are projects undertaken based on clear organisational priorities? How do we allocate resources to projects?

1 No


3 Some aspects of our approach is effective

4 Mostly effective

5 Always effective


Criteria: 5b

Area to be assessed: Improvement of key processes

5.5 Do we continuously improve our processes to achieve better performance and to keep them current with business needs and directions?

Evidence: Do we assess performance against internal and external customer requirements/standards and work to improve the relevant processes?

Do we use benchmarking, competitive comparison data or information from customers of the process to gain insight to improve processes?

Do we review new technologies and consider innovative approaches in order to improve our business processes?

1 No

2 Rarely

3 Sometimes

4 Usually

5 Always




Criteria: 5b

Area to be assessed: Communication and review of changes

5.6 When changes to design, production and delivery of product or service processes are made, do we inform those affected by the change and do we monitor and review the effect the change has had on performance?

Evidence: Are our process changes clearly and effectively communicated to everyone involved in or affected by the change? (e.g. formal vs. informal, changes to procedures, letters/announcements to customers)

Do we review process changes to ensure that the predicted results are obtained? Are reasons for differences between the planned and actual achievement fully understood and do we check

that improvements are sustained over a period of time? 1 No

2 Rarely inform, rarely monitor, and rarely review the change

3 Sometimes inform, sometimes monitor, and sometimes review the change

4 Usually inform, usually monitor, and usually review the change

5 Always inform, always monitor, and always review the change

6 Always inform, always monitor, always review the change, and approach is reviewed for effectiveness


Products and services are designed and developed based on customer needs and expectations Criteria: 5c

Area to be assessed: Identification of customer needs

5.7 Do we define who our customers are (from which market segments) and collect a variety of data/information that helps us to determine current and future customer requirements for our services and/or products?

Evidence: Do we use systematic methods to gather data and identify the current requirements and expectations of customers (e.g. surveys, focus groups, joint improvement teams, complaints and gains/losses in customers)?

Do we define customer groups for all products or services? Do we segment our customers into logical groups based upon common characteristics? Are we proactive in selecting particular markets or customer types? Do we understand the needs of our different customer groups? Do we specify who will not be our customers?

1 No

2 To a small extent


4 To a great extent

5 Yes, totally

6 Yes, totally and reviewed for effectiveness Refer to the Glossary of Terms for an explanation of: Customers




Criteria: 5c

Area to be assessed: Design or re-design of product or service

5.8 Do we have a well-defined approach for designing a new product or providing a new service that considers quality, design to introduction time, operational requirements, transfer of learning from past projects, cost control and best working practices?

Evidence: Do we involve many people from different sources (production staff, customers, and engineers) in the design process?

Do we use a cross-functional approach, where all functions work together to help ensure the creation of products and services that meet customer needs?

Do we systematically evaluate our design process to improve quality and shorten the design to introduction cycle?

1 No

2 Approach roughly defined, considers a few relevant criteria

3 Approach well defined, considers a few relevant criteria

4 Approach well defined, considers many relevant criteria

5 Approach well defined, considers all relevant criteria

6 Approach well defined, considers all relevant criteria and is reviewed for effectiveness


Criteria: 5c

Area to be assessed: Translation of customer requirements to service/product features

5.9 Are important customer requirements translated into service/product features and operational requirements when designing or enhancing our products or services?

Evidence: Do we systematically translate customer requirements to design requirements and then into measurable, monitored process specifications?

Do we prioritise customer requirements and identify those that are most critical to integrate into designs? Do we have clear definitions of quality and operational requirements for all major products and services?

1 No

2 Rarely and a rough approach to translating customer requirements is used

3 Sometimes and a systematic approach to translating customer requirements is used

4 Usually and a systematic approach to translating customer requirements is used

5 Always and a systematic approach to translating customer requirements is used

6 Always and a systematic approach to translating customer requirements is used, and approach is reviewed for effectiveness




Products and services are produced, delivered and serviced Criteria: 5d

Area to be assessed: Producing products and services

5.10 Is a valid and thorough approach used to manage our processes involved in producing our services and products?

Evidence: Do we establish process standards and measure against them? Are all key processes documented and is the documentation up to date? Do we conduct frequent and thorough audits or assessment of the quality of our systems, processes,

practices, products and services and are these findings acted upon to improve performance? 1 No

2 Rarely, for a few key processes

3 Sometimes, for most key processes

4 Usually, for all key processes

5 Always, for all key processes

6 Always, for all key processes and approach is reviewed for effectiveness Strengths Opportunities for Improvement

Criteria: 5d

Area to be assessed: Marketing/communicating the value proposition of products and services

5.11 Is an effective approach used to market and communicate the value proposition of our products and services to existing and potential customers?

Evidence: How do we promote and explain our products and services to customers? Are potential customers fully aware of our product/service offering?

1 No


3 Some aspects of the approach are effective

4 Mostly effective

5 Always effective




Criteria: 5d

Area to be assessed: Delivering and servicing of products and services

5.12 Is an effective approach used to deliver and/or service our products and services to existing and potential customers?

Evidence: Do we establish delivery or service standards and measure against them? Do we regularly review our delivery process? Do we regularly review and improve our servicing of products and services?

1 No


3 Some aspects of the approach are effective

4 Mostly effective

5 Always effective


Customer relationships are managed and enhanced Criteria: 5e

Area to be assessed: Process for building customer loyalty

5.13 Do we have an effective process in place to build customer loyalty and retain current business, as well as generate positive referrals?

Evidence: Do we understand our customers and their future needs? Do we identify requirements for building customer relationships that may include product knowledge, employee

responsiveness and various customer contact methods? Do we train all customer contact personnel in “care” techniques to facilitate good customer relationships? Do we provide sufficient numbers of staff to maintain effective customer contacts, and are we doing something

to improve customer retention? 1 No

2 Rarely effective

3 Sometimes effective

4 Usually effective

5 Always effective

6 Always effective and approach is regularly reviewed Strengths Opportunities for Improvement



Criteria: 5e

Area to be assessed: Mechanisms for customer feedback

5.14 Do we use a variety of methods to make it easy for clients to seek assistance and comment on the quality of our services or products?

Evidence: Do we have a way in which our customers can seek assistance and comment on our products and services, and do our customers know about it?

Do we ensure ease of customer contact through 24 hours a day contact numbers, pagers for contact personnel, surveys, interviews, focus groups and access through the Internet?

Do we have a proactive approach for getting customers to compliment, comment and complain? 1 No methods

2 One method, effectiveness not known

3 Variety of methods, sometimes effective

4 Variety of methods, usually effective

5 Variety of methods, always effective

6 Variety of methods, always effective and approach reviewed Strengths Opportunities for Improvement

Criteria: 5e

Area to be assessed: Process for complaint monitoring and resolution

5.15 Do we seek, monitor and record customer complaints and take appropriate action to ensure that problems do not occur again?

Evidence: Do we have systems in place for gathering data on formal and informal complaints and for evaluating this information?

Do we thoroughly analyse the causes of client complaints, and translate that analysis into improvements in processes so that these problems do not recur?

Do we train customer contact employees and give them authority to resolve a broad range of problems? Do we communicate the complaint throughout our organisation and to our partners/suppliers as appropriate? Do we measure the re-occurrence of complaints and take steps to ensure that they will not occur again?

1 No

2 Rarely seek, rarely monitor or record, and rarely take appropriate action

3 Sometimes seek, sometimes monitor or record, and sometimes take appropriate action

4 Usually seek, usually monitor or record, and usually take appropriate action

5 Always seek, always monitor or record, and always take appropriate action

6 Always, always monitor or record, and always take appropriate action and approach is reviewed for effectiveness




6.0 CUSTOMER RESULTS This Criteria examines what your organisation is achieving in relation to your external customers.

Customer Results (Perception Measures)

These measures are of the customers’ perceptions of the organisation (obtained, for example, from customer surveys, focus groups, vendor ratings, compliments and complaints). Depending on the purpose of the organisation, customer perception measures may include those relating to: - Image: - Sales and after sales support: - accessibility; - capabilities and behaviour of employees; - communication; - advice and support; - flexibility; - customer literature and technical documentation; - pro-active behaviour; - handling complaints; - responsiveness. - product training; - response time; - Products and services: - technical support;

- quality; - warranty and guarantee provisions. - value; - reliability; - Loyalty: - design innovation; - intention to repurchase;

- delivery; - willingness to purchase other products and - environmental profile. services from the organisation; - willingness to recommend the organization

Criteria: 6a

Area to be assessed: Scope of customer results using perception measures

6.1 We use customer perception measures to systematically and robustly measure:

Evidence: Do we know who our customers are? Do we get customer satisfaction data directly from our customers (i.e. customer perception measures)? Do we measure customer satisfaction frequently and use adequate sample sizes? Are we obtaining the most relevant customer data that helps us to assess our performance against goals and

action plan requirements? Are our results appropriately segmented e.g. by customer, by business?

1 Nothing

2 About 10% of relevant activities/areas




6 About 100% of relevant activities/areas Strengths Opportunities for Improvement



Criteria: 6a

Area to be assessed: Trends and levels of customer performance

6.2 Using customer perception data we are able to demonstrate that our trends and levels of customer results are:

Evidence: What level of performance does our customer perception data show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?

1 Unknown (or no real data) or poor performance

2 Fair (shows mixed performance for most areas/activities and/or no trend data)

3 Good (shows positive trends and/or satisfactory performance for about ¼ of results over at least 3 years)

4 Very good (shows positive trends and/or sustained good performance for about ½ of results over at least 3 years)

5 Excellent (shows positive trends and/or sustained good performance for about ¾ of results over at least 3 years)

6 Outstanding (shows positive trends and/or sustained good performance for all results over at least 3 years)


Criteria: 6a

Area to be assessed: Performance against targets

6.3 Our targets for customer perception measures are:

Evidence: Do we set targets? Are these targets appropriate?

1 Unclear or not achieved or inappropriate targets

2 Achieved for about 10% of results




6 On target for all results Strengths Opportunities for Improvement



Criteria: 6a

Area to be assessed: Comparisons

6.4 Compared to other relevant units and organisations our trends and levels of performance for our customer perception measures are:

Evidence: Do we compare our performance with other units and organisations? Are our results compared with acknowledged “World Class” organisations? How many different measures do we compare ourselves with the competition? How objective and relevant is our comparison data?

1 Unknown (or no real data)

2 Fair (shows a favourable comparison for approximately 10% of our results)

3 Good (shows a favourable comparison for about 25% of our results)

4 Very good (shows a favourable comparison for about 50% of our results)

5 Excellent (shows a favourable comparison for about 75% of our results)

6 Outstanding (shows a favourable comparison for all results) Strengths Opportunities for Improvement

Criteria: 6a

Area to be assessed: Cause and effect

6.5 Through analysing our approach and customer perception results we have identified:

Evidence: Do we analyse our results and make changes to our approach to improve our results? Can we usually explain why our performance has increased or decreased? Do we monitor how changes in our approach impact on our results?

1 Nothing or no analysis undertaken

2 Cause and effect relationships that are visible for about 10% of results

3 Cause and effect relationship that are visible for about 25% of results



6 Cause and effect relationship that are visible for all results Strengths Opportunities for Improvement



Customer Results (Performance Indicators)

These measures are the internal ones used by the organisation in order to monitor, understand, predict and improve the performance of the organisation and to predict perceptions of its external customers. Depending on the purpose of the organisation, performance indicators for customer results may include those relating to: - Overall image: - Sales and after sales support: - number of customer accolades - demand for training; and nominations for awards; - handling of complaints; - press coverage. - response rate. - Product and services: - Loyalty: - competitiveness; - duration of relationship; - defect, error and rejection rates; - effective recommendations; - guarantee provisions and - frequency/value of orders; - warranty provisions; - life time value; - complaints; - numbers of complaints and compliments; - logistic indicators; - new and/or lost business;

- product life cycle; - customer retention. - innovation in design - time to market

Criteria: 6b

Area to be assessed: Scope of customer results using performance indicators

6.6 We use customer performance indicators to systematically and robustly measure:

Evidence: Do we know who our customers are? Do we get customer results through internal performance indicators? Are we obtaining the most relevant customer data that helps us to assess our performance against goals and

action plan requirements? Are our results appropriately segmented e.g. by customer, by business?

1 Nothing








Criteria: 6b

Area to be assessed: Trends and levels of customer performance

6.7 Using customer performance indicator data we are able to demonstrate that our trends and levels of customer results are:

Evidence: What level of performance does our main indicators for customer results show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 6b


6.8 Our targets for customer performance indicators are:










Criteria: 6b


6.9 Compared to other relevant units and organisations our trends and levels of performance for our customer performance indicators are:








Criteria: 6b


6.10 Through analysing our approach and customer performance indicator results we have identified:










7.0 PEOPLE RESULTS This Criteria examines what your organisation is achieving in relation to your people.

People Results (Perception Measures)

These measures are of the peoples’ perceptions of the organisation (obtained, for example, from surveys, focus groups, interviews, structured appraisal). People perception measures may include those relating to: - Motivation: - Satisfaction: - career development; - organisation’s administration; - communication; - employment conditions; - empowerment; - facilities and services; - equal opportunities; - health and safety conditions; - involvement; - job security; - leadership; - pay and benefits; - opportunity to learn and achieve; - peer relationships; - recognition; - the management of change; - target setting and appraisal; - the organisation's environmental policy - the organisation's values, mission, and impact; vision, policy and strategy; - the organisation's role in the community - training and development. and society; - working environment.

Criteria: 7a

Area to be assessed: Scope of people results using perception measures

7.1 We use people perception measures to systematically and robustly measure:

Evidence: Do we get people results data directly from our people (i.e. people perception measures)? Do we measure employee satisfaction frequently and use adequate sample sizes? Are we obtaining the most relevant data that helps us to assess our performance against goals and action plan

requirements? Do we segment our performance results to address the diversity of our workforce and different types of

employees?

1 Nothing








Criteria: 7a

Area to be assessed: Trends and levels of people performance

7.2 Using people perception data we are able to demonstrate that our trends and levels of people results are:

Evidence: What level of performance does our people perception data show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 7a


7.3 Our targets for people perception measures are:










Criteria: 7a


7.4 Compared to other relevant units and organisations our trends and levels of performance for our people perception measures are:








Criteria: 7a


7.5 Through analysing our approach and people perception results we have identified:










People Results (Performance Indicators)

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 to predict their perceptions. Internal indicators for people may include those relating to:

- Performance: - competency requirements versus competencies available; - productivity; - success rates of training and development to meet objectives. - Motivation and involvement: - involvement in improvement teams; - involvement in suggestion schemes; - levels of training and development; - measurable benefits of teamwork; - recognition of individuals and teams; - response rates to people surveys. - Satisfaction: - absenteeism and sickness levels; - accident levels; - grievances; - recruitment trends; - staff turnover; - strikes; - use of benefits; - use of organisation provided facilities (e.g. recreational, crèche). - Services provided to the organisation's people: - accuracy of personnel administration; - communication effectiveness; - speed of response to enquiries; - training evaluation.

Criteria: 7b

Area to be assessed: Scope of people results using performance indicators

7.6 We use people performance indicators to systematically and robustly measure:

Evidence: Do we get people results data through internal performance indicators? Are we obtaining the most relevant data that helps us to assess our performance against goals and action plan

requirements? Do we segment our performance results to address the diversity of our workforce and different types of

employees?

1 Nothing








Criteria: 7b

Area to be assessed: Trends and levels of people performance

7.7 Using performance indicator data we are able to demonstrate that our trends and levels of people results are:

Evidence: What level of performance does our main indicators for people results show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 7b


7.8 Our targets for people performance indicators are:










Criteria: 7b


7.9 Compared to other relevant units and organisations our trends and levels of performance for our people performance indicators are:








Criteria: 7b


7.10 Through analysing our approach and people performance indicator results we have identified:










8.0 SOCIETY RESULTS This Criteria examines what your organisation is achieving in relation to local, national and international society, as appropriate

Society Results (Perception Measures)

These measures are of the society’s perception of the organisation (obtained for example from surveys, reports, public meetings, public representatives, governmental authorities). Depending on the purpose of the organisation, society perception measures may include those relating to:

- Image: - responsiveness to contacts; - as an employer; - as a responsible member of the community;

- Performance as a responsible corporate citizen: - disclosures of information relevant to the community; - equal opportunity practices; - impact on local and national economies; - relationships with relevant authorities; - ethical behaviour.

- Involvement in the communities where it operates: - involvement in education and training; - support for medical and welfare provision; - support for sport and leisure; - voluntary work and philanthropy;

- Activities to reduce and prevent nuisance and harm from its operations and/or throughout the life - cycle of its products: - health risks and accidents; - noise and odour; - hazards (safety); - pollution and toxic emission.

- Reporting on activities to assist in the preservation and sustainability of resources: - choice of transport; - ecological impact; - reduction and elimination of waste and packaging; - substitution of raw materials or other inputs; - usage of utilities e.g. gases, water, electricity, new and recycled materials.

Criteria: 8a

Area to be assessed: Scope of society results using perception measures

8.1 We use society perception measures to systematically and robustly measure:

Evidence: Do we get society results data directly from the community (i.e. society perception measures)? Do we obtain community feedback frequently and use adequate sample sizes? Are we obtaining the most relevant data that helps us to assess our performance against goals and action plan

requirements? Do we segment our performance results by business units, as appropriate?

1 Nothing








Criteria: 8a

Area to be assessed: Trends and levels of society performance

8.2 Using society perception data we are able to demonstrate that our trends and levels of society results are:

Evidence: What level of performance does our society perception data show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 8a


8.3 Our targets for society perception measures are:










Criteria: 8a


8.4 Compared to other relevant units and organisations our trends and levels of performance for our society perception measures are:








Criteria: 8a


8.5 Through analysing our approach and society perception results we have identified:










Society Results (Performance Indicators)

These measures are the internal ones used by the organisation in order to monitor, understand, predict and improve the performance of the organisation and to predict perceptions of society. Internal indicators for society may include those relating to:

- Handling of changes in employment levels - Press coverage

- Dealings with authorities on issues such as: - certification; - clearance; - import/export; - planning; - product release.

- Accolades and awards received: - exchange of information in relation to social responsibility good practices, auditing and social reporting.

Criteria: 8b

Area to be assessed: Scope of society results using performance indicators

8.6 We use society-related performance indicators to systematically and robustly measure:

Evidence: Do we get society results data through internal performance indicators? Are we obtaining the most relevant data that helps us to assess our performance against goals and action plan

requirements? Do we segment our performance results by business units, as appropriate?

1 Nothing








Criteria: 8b

Area to be assessed: Trends and levels of society performance

8.7 Using performance indicator data we are able to demonstrate that our trends and levels of society results are:

Evidence: What level of performance does our main indicators for society results show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 8b


8.8 Our targets for society-related performance indicators are:










Criteria: 8b


8.9 Compared to other relevant units and organisations our trends and levels of performance for our society-related performance indicators are:








Criteria: 8b


8.10 Through analysing our approach and society-related performance indicator results we have identified:










9.0 KEY PERFORMANCE RESULTS This Criteria examines what your organisation is achieving in relation to its planned performance.

Key Performance Outcomes

These measures are key results defined by the organisation and agreed in its policy and strategy, the key performance outcomes may include those relating to:

- Financial outcomes including: - share price; - dividends; - gross margins; - net profit; - sales; - meeting of budgets.

- Non financial outcomes including: - market share; - time to market; - volumes; - success rates - process performance.

Depending on the purpose and objectives of the organization some of the measures described as Key Performance Outcomes may be applicable to Key Performance Indicators and vice versa.

Criteria: 9a

Area to be assessed: Scope of key performance outcomes

9.1 When assessing our overall key performance results we systematically and robustly measure:

Evidence: Are there measures on our key goals and objectives? Have we measured our critical processes? Do we segment our performance results by business units, product groups and market segments, as

appropriate?

1 Nothing








Criteria: 9a

Area to be assessed: Trends and levels of key performance outcomes

9.2 Our trends and levels of key performance outcomes are:

Evidence: What level of performance does our organisation show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 9a


9.3 Our targets for key performance outcomes are:










Criteria: 9a


9.4 Compared to other relevant units and organisations our trends and levels of performance for our key performance outcomes are:








Criteria: 9a


9.5 Through analysing our approach and key performance outcomes we have identified:










Key Performance Indicators

These measures are the operational ones used to monitor, understand, predict and improve the organisations likely key performance outcomes. Depending on the purpose and objectives of the organisation and its processes, they may include those relating to: - Processes: - Buildings, equipment and materials: - performance; - defect rate; - deployment; - inventory turnover - assessments; - utility consumption - innovations; - utilisation. - improvements; - cycle times; - defect rates; - Technology: - maturity ; - innovation rate;

- productivity; - value of intellectual property; - time to market. - patents;

- royalties.

- External resources including - Information and knowledge: partnerships: - accessibility;

- supplier performance; - integrity; - supplier price; - relevance;

- number and value added - timeliness; of partnerships; - sharing and using knowledge;

- number and value added - value and intellectual capital.

of innovative products and service solutions generated partners;

- number and value added of joint improvement with partners;

- recognition of partners’ contribution.

- Financial: - cash flow items; - balance sheet items; - depreciation; - maintenance cost; - project costs - credit ratings. .

Criteria: 9b

Area to be assessed: Scope of key performance indicators

9.6 We use key performance indicators to systematically and robustly measure:

Evidence: Are there key performance indicators for our operational processes? Do we segment our performance results by business units, product groups and market segments, as

appropriate?

1 Nothing








Criteria: 9b

Area to be assessed: Trends and levels of key performance indicators

9.7 Our trends and levels of key performance indicators are:

Evidence: What level of performance does our organisation show? How much historical data do we have? What trends are there and over what period of time? Do we understand anomalies in data or positive trends in our indicators?








Criteria: 9b


9.8 Our targets for key performance indicators are:










Criteria: 9b


9.9 Compared to other relevant units and organisations our trends and levels of performance for our key performance indicators are:








Criteria: 9b


9.10 Through analysing our approach and key performance indicators we have identified:










GENERAL QUESTIONS A. How long did it take you to complete the questionnaire and Strengths and

Areas for Improvement Forms?

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Thank you for completing the BPES questionnaire

Documents

Benchmarking and Performance Excellence Self- assessment (EFQM … › images › self_assessments › BPESEFQM.pdf · assessment (EFQM Excellence Model) Source: Centre for Organisational