INTRODUCTION

Rajiv Gandhi National Quality Award was instituted by the Bureau of IndianStandards in 1991, to give special recognition to those manufacturing andservice organizations who are considered to be the leaders of qualitymovement in India. It is intended to generate interest and involvement of IndianIndustry in quality programmes, drive Indian products and services to higherlevels of quality and equip such organizations to meet the challenges ofdomestic and international markets.

Rajiv Gandhi National Quality Award would help in improving quality by:

★ Encouraging Indian Industry to make significant improvements in qualityfor maximizing consumer satisfaction and for successfully facing competitionin the global market as well;

★ Recognizing the achievements of those organizations which have improvedthe quality of their products and services and thereby set an example forothers;

★ Establishing guidelines and criteria that can be used by industry inevaluating their own quality improvement efforts; and

★ Providing specific guidance to other organizations that wish to learn howto achieve excellence in quality, by making available detailed informationon the ‘Quality Management Approach’ adopted by award winningorganizations to change their culture and achieve eminence.

The award has been named after our Late Prime Minister Rajiv Gandhi whoinitiated various measures to improve quality culture in India. He gave a newthrust to the quality movement so that India could move into 21st century withpride. In order to ensure the production of goods comparable to InternationalStandards, promote exports and build-up 'quality and standards culture', theLate Rajiv Gandhi had stressed that

‘The need of the hour is a national commitment toquality in all walks of life. We should not be satisfiedwith anything but the best in the goods and servicesthat we produce’.

Therefore, as a mark of respect to the great quality crusader, this award hasbeen named after him.

RAJIV GANDHINATIONAL QUALITY AWARD

2013

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PROCEDURE & APPLICATION FORM

BUREAU OF INDIAN STANDARDS

Rajiv GandhiNational Quality Award

2013

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RAJIV GANDHINATIONAL QUALITY AWARD

2013INTRODUCTION

This award has been designed in line with similar awards in other developed countries, likeMalcolm Baldrige National Quality Award in USA, Deming Prize in Japan, and EuropeanQuality Award.

FREQUENCY

Rajiv Gandhi National Quality Award is an annual feature on the basis of financial year.The award for the year 2013 will be considered for results achieved from 1 April 2012 to31 March 2013.

AWARDS AND COMMENDATION CERTIFICATES

There are five awards consisting of one for large scale manufacturing organizations, onefor micro, small & medium scale manufacturing organizations, one for large scale servicesector organizations, one for micro, small & medium scale service sector organizations andone for BEST OF ALL. In addition, there are eight commendation certificates each for largescale and micro, small & medium scale manufacturing organizations as per industrial sectorsgiven below:

a) Bio-technology;b) Chemical industry;c) Electrical and electronic industry;d) Food and drug industry;e) Gems, jewellery and allied industry;f) Metallurgical industry;g) Textile industry; andh) Engineering industry and others.

Further, there are six commendation certificates each for large scale and micro, small &medium scale service organizations in the following sectors:

a) Education;b) Finance;c) Health care;d) Information technology;e) Utilities; andf) Others.

The number of awards/commendation certificates indicated above is maximum. In the eventof non-availability of suitable applicant organizations as per assessment criteria decided bythe National Awards Committee (NAC), any of the above awards/commendation certificatesmay not be given.

ELIGIBILITY TO COMPETE FOR THE AWARD

An organization is eligible to compete for the award, if it satisfies all the following conditions:

a) Applicant organization is located in India.

Last Date for Receipt of completed : 31 August 2014Application Form

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b) Applicant organization has been in existence for at least three years as on last dateof the application.

c) Applicant organization is situated at one place or a unit of an organization housed atone location.

d) Applicant organization has not been convicted by any court for deficiency in productor service and/or found guilty of financial irregularities by any regulatory authority orcourt for the period 1 April 2010 to 31 March 2013. An undertaking to this effect willhave to be submitted.

e) Applicant organization is not manufacturing products, like tobacco, liquor etc which areinjurious to health.

A Sub-unit which performs only support functions for the parent organization such as, sales,marketing, distribution, finance, human resources and health are not eligible. [A Sub-unit is aUnit or Division of a larger organization (Parent organization) which owns or has organizationaland/or financial control of sub-unit].

Further, if an applicant organization has earlier received an award, it is not eligible to apply foran award for next three awards. However, this condition will not apply to those applicantorganizations which have received commendation certificate.

FEE

Application Fee

For large scale organizations (manufacturing or service) Rs. 10 000*

For micro, small & medium scale organizations (manufacturing or service) Rs. 5 000*

The application fee includes the cost of preliminary screening of the application, and shallbe paid alongwith the application form. In case application form, downloaded from BISWebsite, is used for applying for the award, an additional amount of Rs. 200/- is requiredto be submitted alongwith the application fee.

Assessment Fee

The applicant organization, which after preliminary screening are selected for fact-finding andevaluation visit (Shortlisted organizations), will have to pay the assessment fee as under:

For large scale organizations (manufacturing or service) (two-days visit) Rs. 85 000*

For small scale organizations (manufacturing or service) (one-day visit) Rs. 25 000*

In addition to the above assessment fee, the shortlisted large scale applicant organizationswill also have to bear the costs towards to-and-fro transportation from the nearest airport,and boarding and lodging of Evaluation Committee members visiting their organizations.

However, BIS would incur the expenditure on account of air travel of the members of theEvaluation Committees from their place of stay to the nearest airport of the applicant organization.

BIS will also bear the expenses towards boarding & lodging and the to-and-fro transportationof the Evaluation Committee members from the nearest airport to the applicant organization,in case of the shortlisted micro, small & medium scale applicant organizations.

Application fee and Assessment fee plus applicable service tax are non-refundable and shallbe paid by Demand Draft/Pay Order in favour of Bureau of Indian Standards payable atNew Delhi.

* Plus applicable service tax.

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ASSESSMENT PROCESS

Preliminary Screening

All applications received, which are complete in all respects and also meet the eligibilityconditions for competing for the award, shall be scrutinized based on the informationprovided by the applicant organization in the Application Form.

The maximum marks for each parameter (for large scale and micro, small & medium scaleorganizations) as per the self-appraisal report (See Item 3 of the Application Form) are as follows:

PARAMETER MARKS

Large Scale Small Scale

Leadership 100 200

Policies, objectives and strategies 100 —

Human resource management 50 100

Resources 100 —

Processes 150 100

Customer focused results 200 200

Employees’ satisfaction 50 —

Impact on environment and society 100 200

Business results 150 200

Total 1 000 1 000

Fact-Finding and Evaluation Visits

The applicant organization selected in the preliminary screening based on the aboveparameters will become eligible for fact-finding and evaluation visit. Evaluation Committeescomprising experts appointed for this purpose would visit the applicant organization foron-the-spot study and evaluation.

NOTE : The marks for different parameters shall be the same as that for preliminary screening.

SELECTION OF AWARDEES

The National Awards Committee (NAC), under the Chairmanship of Secretary, Departmentof Consumer Affairs, Ministry of Consumer Affairs, Food and Public Distribution, Governmentof India, with representatives from Government Departments, Industry Associations,Professional Bodies and Consumer Organizations will determine the selection criteria andother related matters. NAC will make final selection of awardees on the basis of reports ofEvaluation Committees.

The decision of NAC will be final and binding on all applicant organizations.

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BENEFITS TO THE APPLICANT ORGANIZATIONS

★ It will enable the organization to assess its own level of commitment to quality. Itwill also indicate the extent to which this commitment is being deployed throughevery level of the organization and in all areas of activities.

★ Further, after the process of self-assessment is completed, the organization will bein a position to analyze its strengths and weaknesses.

★ Winning this award brings not only recognition to the organization but alsoconfidence of the public in the products or services provided by the organization.

BENEFITS TO THE AWARD WINNERS

★ Award winning organizations will be reckoned as champions of quality movementin India.

★ Award winners can publicize their achievements on their printed and publicitymaterial. However, if a unit of an organization is selected for the award, it will bepermitted to publicize its achievements on the printed and publicity material of thatunit only, and not that of entire corporate body. Further, if an organization receivesa commendation certificate, it shall not publicize that it has won Rajiv GandhiNational Quality Award. In such cases, it can only advertise that the organizationis recipient of Commendation Certificate of Rajiv Gandhi National Quality Awardfor year 2013.

★ Awards will be presented in a glittering ceremony in presence of top rankingpersonalities from government, professional bodies, industry, and consumerassociations.

★ Award winners may have leverage in business on being recognized as the best.

★ In addition to the above, the following financial incentives in the form of cashawards will also be given:

Type of the Award Number Cash Award/Incentive

BEST OF ALL 1 Rs. 500 000

Category awards 4 Rs. 200 000(1 each for Large scale and micro,small & medium scale ManufacturingOrganizations and Service Organizations)

Commendation Certificates 28 Rs. 100 000(8 each for Large scale and micro, small &medium scale Manufacturing Organizationsand 6 each for Large scale and micro, small& medium scale Service Organizations)

CONFIDENTIALITY

Names of applicant organizations, commentary and scoring information developed during thereview of applications are regarded as proprietary and are kept confidential. Such informationis available only to those individuals directly involved in the assessment and evaluation.

BIS will take all reasonable actions to ensure that applications and information therein are

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treated in strict confidence. However, in no way can BIS be held responsible for any lossof confidentiality to a third party.

INSTRUCTIONS FOR FILLING UP THE APPLICATION FORM

a) All questions must be answered. Incomplete form will lead to disqualification.

b) Application form, as given in this booklet, duly filled-in should be signed by the top/chief executive of the organization.

c) In case, hard copy of the application form is purchased from BIS, the uniqueapplication number given in this form shall be indicated in the application form beingfilled up and shall be quoted in all correspondence.

NOTE : In case application form downloaded from BIS website(http://www.bis.org.in) is used for applying for the award, an additional amountof Rs 200/- is required to be submitted along with the application fee.

d) The following documents are required to be attached along with the applicationform:

i) Demand draft/pay order of the applicable amount,

ii) Copy of the certificate of incorporation of the organization and other relevantdocument(s) authenticating its premises,

iii) In case of micro, small & medium scale organization, documents for proof ofits status, as per Government of India Guidelines,

iv) Overview of the Applicant Organization as mentioned in Item 2 of theApplication Form, and

v) Self-appraisal report as mentioned in Item 3 of Application Form.

e) If the applicant organization has prepared a quality manual, the same may beenclosed. Wherever necessary, reference may be drawn to its relevant clauses.

f) The completed Application Form should reach the ‘‘Head (i-Care), Bureau of IndianStandards, Manak Bhavan, 9 Bahadur Shah Zafar Marg, New Delhi 110 002’’, latestby 31 August 2014, superscribing the envelope as ‘Application for RGNQA 2013’.

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APPLICATION FORM FOR RAJIV GANDHINATIONAL QUALITY AWARD, 2013

The Application should be submitted, neatly typed only on one side of A-4 size paper givingthe following details:

1. Basic Information As per Annex A

2. An Overview of the Two page summary providing information aboutApplicant Organization the applicant organization’s background and its

business such as organizational set-up, collaborations(if any), principal products and services, maincustomers and suppliers (with addresses) and otherimportant aspects which need to be highlighted.

3. Self-Appraisal Report Large Scale Organizations(As applicable) a) This report, normally not exceeding 100 pages

of A-4 size (including enclosures), should bebased on the following nine parameters, thedetails of which are given in Annex B:i) Leadership

ii) Policies, objectives and strategies

iii) Human resource management

iv) Resources

v) Processes

vi) Customer focused results

vii) Employees’ satisfaction

viii) Impact on environment and society

ix) Business results

For the parameters from i) to v) of the above,the information is required regarding:

— How the applicant organization approacheseach parameter; and

— The extent to which the approach has beendeployed — vertically through the variouslevels of the organization and horizontallyto all areas and activities.

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For the parameters from vi) to ix), the informationis required on:

— The key factors which the applicantorganization uses to measure results, and

— Each key factor, which should be in theform of trends, based on data for lastthree years. The trends should highlighttargets and actual performance.

In addition, wherever appropriate, give theperformance in relation to industry average, andthe performance of ‘best in class’.

In case of business results, the financial datamay be presented in the form of an index inplace of absolute value, to avoid disclosingsensitive information.

b) Annex B gives a set of questions on each of thenine parameters, which when answered dulysupported by the objective evidences wouldhelp in appreciating the extent of excellenceachieved by the applicant organization. Indicesbeing used for evaluating the performance shallbe indicated.

Micro, Small & Medium Scale Organizationsc) This report, normally not exceeding 60 pages of

A-4 size (including enclosures), should be basedon the following six parameters, the details ofwhich are given in Annex C:

i) Leadership

ii) Human resource management

iii) Processes

iv) Customer focused results

v) Impact on environment and society

vi) Business results

For the parameters from i) to iii) of the above,the information is required regarding:

— How the applicant organization approacheseach parameter; and

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— The extent to which the approach has beendeployed — vertically through the variouslevels of the organization and horizontallyto all areas and activities.

For the parameters from iv) to vi), the informationis required on:

— The key factors which the applicantorganization uses to measure results, and

— Each key factor, which should be in theform of trends, based on data for lastthree years. The trends should highlighttargets and actual performance.

In addition, wherever appropriate, give theperformance in relation to industry average, andthe performance of ‘best in class’.

In case of business results, the financial datamay be presented in the form of an index inplace of absolute value, to avoid disclosingsensitive information.

d) Annex C gives a set of questions on each of theabove six parameters, which when answeredduly supported by the objective evidences wouldhelp in appreciating the extent of excellenceachieved by the applicant organization. Indicesbeing used for evaluating the performance shallbe indicated.

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ANNEX A(Item 1 of Application Form)

BASIC INFORMATION

1. Name of the Applicant Organization†

__________________________________________

__________________________________________

2. Address Office __________________________________________________

Works __________________________________________________

3. Telephone No. Office __________________________________________________

Works __________________________________________________

4. Fax No. Office __________________________________________________

Works __________________________________________________

5. E-mail Office __________________________________________________

Works __________________________________________________

6. Type of Organization Large Scale manufacturing/micro, small & medium scalemanufacturing/Large Scale Service/micro, small & mediumscale Service organization(micro, small & medium scale organization to attach documentsfor proof of their status, as per Government of India Guidelines)

7. a) In case of a manufacturing organization, specify the industrial sector (Tick One)

i) Bio-technology � v) Gems, jewellery and allied industry �

ii) Chemical industry � vi) Metallurgical industry �

iii) Electrical and electronic industry � vii) Textile industry �

iv) Food and drug industry � viii) Engineering industry and others (specify)�

b) In case of a service sector organization, specify the sector (Tick One)

i) Education � iv) Information Technology �

ii) Finance � v) Utilities �

iii) Health care � vi) Others (specify) �

†Please enclose a copy of certificate of incorporation of the organization and other relevant document(s)authenticating its premises.

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* To be signed by the top/chief executive of the applicant organization.

10. Undertaking by the Applicant Organization

We give an undertaking that our organization has not been convicted by any court for deficiencyin product or service and/or found guilty of financial irregularities by any regulatory authority orcourt for the period 1 April 2010 to 31 March 2013.

Signature*: _________________________

Name: _________________________

Designation: _________________________

Date: _________________________

8. Top Management Details:

Name and Designation Qualification Experience

9. Official(s) to be contacted for further correspondence:

Name and Designation Address Telephone/E-mail /Fax No.

Enclosures1. Demand Draft/Pay Order for application fee of Rs. 10 000 plus applicable service tax for large scale or Rs. 5 000 plus

applicable service tax for micro, small & medium scale.

NOTE — In case application form downloaded from BIS website (http://www.bis.org.in) is used for applying for theaward, an additional amount of Rs. 200/- is required to be submitted along with the application fee.

2. Overview of the Applicant Organization as mentioned in Item 2 of Application Form.3. Self-appraisal report as mentioned in Item 3 of Application Form.4. Copy of Certificate of incorporation of the organization and other relevant document(s) authenticating its premises.5. In case of micro, small & medium scale organization, documents for proof of its status, as per Government of India Guidelines.

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ANNEX B(Item 3 of Application Form for Large Scale Organization)

GUIDELINES FOR SELF-APPRAISAL REPORT

I. LEADERSHIP

Top management's attitude and personal involvement in leading qualitymanagement approach and efforts in driving the organization towardsthe achievement of sustained success

Q.1 Describe top management's personal involvement in leading quality managementapproach of the organization, which may include steps taken to:

a) demonstrate commitment to quality improvement, innovation and organizationalsustainability;

b) establish responsibility and corresponding authority;

c) communicate with employees;

d) establish and communicate the organization's vision & values;

e) make themselves accessible to employees;

f) create an environment for empowerment, agility & learning;

g) reinforce the organization's customer orientation through all levels of managementand supervision;

h) address the present and future concerns of society in terms of safety, health,energy conservation and environment protection etc; and

j) identify associated short and long term risks and deploy an overall strategy,ensuring that they are capable of responding quickly to changing circumstances.

Q.2 Describe how the top management demonstrates a consistent quality culture, whichmay include the positive steps taken to:

a) be involved in constant monitoring and regular analysis of organization's environmentand capabilities,

b) be involved in regular review of performance and assessing current organizationaland process capabilities based on valid inputs. Include the key performanceindicators and self-assessment,

c) use the input information for improvement or innovation of products andprocesses,

d) include commitment and achievement in quality (promotion and improvement) inappraisal and promotion of staff at all levels, and

e) use quality performance review findings to improve the efficiency and effectivenessof its leadership and of its personnel in achieving sustained success of theorganization.

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Q.3 Describe how the top management is involved in timely recognition and appreciationof the efforts and success of the individuals and teams.

Q.4 Describe how the top management anticipates future resource needs including thecompetencies required of its people and provides appropriate resources in a timelymanner to achieve sustained success.

Q.5 Describe top management's involvement with all relevant interested parties, which mayinclude the steps taken to:

a) identification of all interested parties and their potential impact on organization'sperformance and determine how to meet their need and expectations in balancedmanner;

b) engagement of interested parties on continuous basis and keeping them informedof the organization's activities and plans;

c) establishment of mutually beneficial relationships with suppliers, partners andinterested parties;

d) evaluate, recognize and reward efforts and achievements of relevant interestedparties, and

e) how the organization differentiates its products from competing offerings in termsof features such as price, reliability, value, delivery, etc.

Q.6 Describe how the top management promotes the Quality Management Approach forsustained success outside the organization, which may include the steps taken for:

a) contributions made to professional bodies;

b) publication/preparation of booklets, articles, video films and other quality trainingaids etc; and

c) presentation at conferences and seminars.

II POLICIES, OBJECTIVES AND STRATEGIES

The organization's mission, values, vision and strategies related toQuality and sustainability

Q.1 Describe how the concept of Quality and sustainability on success of organization isreflected in the organization's:

a) mission,

b) values, and

c) vision.

Q.2 Describe how the organization's policies and strategies are formed on the basis ofinformation relevant to Quality and sustainability, which may include:

a) strengths, weaknesses, opportunities and threats of the organization;

b) feedback from customers and other interested parties;

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c) market needs/expectations/opportunities;

d) feedback from the employees;

e) data on its capabilities relative to its competitors;

f) technological and other key changes that might affect product and/or processes;

g) strengths and weaknesses of suppliers;

h) data on regulatory and legislative issues; and

j) financial, societal, and other potential risks including political changes andeconomic forecast.

Q.3 Describe how the organization's business plans are evolved, evaluated, improved andaligned with its policies and strategies.

Q.4 How does the organization identify other interested parties' needs and expectations thatcan result in setting objectives?

Q.5 What are the organization's key objectives and how these are derived from the qualitypolicy into measurable goals at relevant functions and levels?

Q.6 Describe how the objectives are deployed to each management level to ensureindividual contribution to achievement of overall objectives in time bound manner.

Q.7 Describe how the policies, objectives and strategies are communicated timely and ina meaningful way to all interested parties.

Q.8 Describe how the organization measures or assesses the achievement of variousstrategic objectives and targets.

Q.9 Describe how the organization identifies and evaluate strategic risks, and definesadequate counter measures.

Q.10 Describe how policies, objectives and strategies are reviewed and improved, which mayinclude the manner in which the organization evaluates the effectiveness and relevanceof its policy.

III HUMAN RESOURCE MANAGEMENT

Developing and motivating employees to realize their full potential forperformance excellence including personal and organizational growth

Q.1 Describe how the organization's overall human resource management efforts supportits strategic objective, which may include:

a) how human resource plans are derived from the strategic objectives andstrategies,

b) key strategic goals and improvement methods for human resource managementpractices such as recruitment and career development, and

c) how the organization evaluates and uses its overall employee related data toimprove the development and effectiveness of all employees.

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Q.2 Describe the means available for all employees to contribute effectively to meet theorganization's performance and strategic objectives such as:

a) translate the organization's strategic and process objectives into individual jobobjectives, and to establish;

b) plans for their achievement;

c) identify constraints to their performance;

d) take ownership and responsibility to solve problems;

e) assess personal performance against individual job objectives;

f) actively seek opportunities to enhance their competence and experience;

g) promote teamwork and encourage synergy between people;

h) share information, knowledge and experience within the organization; and

j) specific mechanisms and practices, like teams or suggestion schemes used topromote employees' involvement/contribution towards organization's performanceand quality objectives.

Summarize trends and current levels of involvement of employees, in the aboveaspects.

Q.3 Describe how the organization identifies, develops and improve the skills andcompetence of its employees through recruitment, education, training and careerdevelopment. The process may include:

a) identifying the professional and personal competences the organization couldneed in the short and long term, in accordance with its mission, vision, strategy,policies, and objectives,

b) identifying the competences currently available in the organization and the gapsbetween what is available and what is currently needed and could be needed inthe future,

c) implementing actions to improve and/or acquire competences to close the gaps,

d) reviewing and evaluating the effectiveness of actions taken to ensure that thenecessary competences have been acquired,

e) maintaining competences that have been acquired, and keeping its records.

Q.4 Describe how the employees' recognition, reward, performance and feedback processfor individuals and groups, support its performance and strategic objectives, which mayinclude:

a) how employees are involved in the development and improvement of performancemeasurements;

b) trends in recognition and rewards for employees as individuals and groups, forcontributions to quality and performance objectives; and

c) key indicators used to evaluate and improve its recognition, reward andperformance measurement process.

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Q.5 Describe how the organization maintains work environment that encourages growth,learning, knowledge transfer, team work, and well-beings of its employees. Summarizetrends and levels in key indicators of well-being and morale of the employees. Thedescription may include:

a) how well-being and morale factors such as health, psychological factors (includingwork load and stress), safety, satisfaction and ergonomics are included in qualityimprovement activities? For accidents and work related problems, how underlyingcauses are determined and adverse conditions are prevented;

b) mobility, flexibility and retraining in job assignments to support employeedevelopment and accommodate changes in technology;

c) special services, facilities and opportunities made available to the employees;

d) how the employees satisfaction is determined and interpreted for use in qualityimprovement;

e) comparison of current levels of the most significant indicators with the industryaverages and industry leaders;

f) compliance to applicable statutory and regulatory requirements and addressesapplicable standards; and

g) how the organization ensures and promotes fairness and equality.

Q.6 Describe how effective communication, both vertical and horizontal, is achieved. Thedescription may include how the organization:

a) keeps in touch with its employees, and

b) transmits information to its employees.

IV RESOURCES

Optimum utilization of resources (financial, information, material,infrastructure and knowledge base) and application of technologytowards continual improvement.

Q.1 Describe how the organization's resources are effectively and efficiently deployed insupport of its policies, objectives and strategies. The description may include thequality management approach of the organization and continual improvement inmanaging:

a) infrastructure facilities such as building, workspace, tools and equipment, andsupport services including transport facilities;

b) material resources (management of sources and supplies of raw materials,optimization of material inventories, minimization of material waste and optimumutilization of fixed assets);

c) technology (identification, evaluation and acquisition of alternative and emergingtechnologies according to their business plans, utilization of technology to achievecompetitive advantage, development of personnel, skills and capabilities ofpersonnel in harmony with development of technology);

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d) information resources (management of conventional and electronic informationsystem, information validity, integrity, security, timeliness, confidentiality, andaccessibility of information to customers, suppliers and employees);

e) financial resources (financial strategies, and criteria for financial decision-makingin support of total quality, use of quality cost concepts, etc); and

f) knowledge base i.e learning from failures, near miss situations and successes,knowledge and experience of people in the organization, knowledge fromcustomers, suppliers and partners, undocumented knowledge (tacit and explicitetc).

V PROCESSES

The management of processes within the organization includingidentification and review

Q.1 Describe how the organization determines, plans, controls and improve its keyprocesses for continually meeting the needs and expectations of all interested parties.

a) analysis of the organization's environment;

b) identification of key processes and their key performance indicators, such as,determination of process capabilities;

c) identification of outsourced processes and effective control thereof;

d) supply chain management;

e) system for effective and efficient management of the processes including roles andresponsibilities of process manager/process owner;

f) how the changes in customer/market requirements are incorporated in productrealization processes?

g) how the potential financial and other risks are considered in the planning andcontrolling of key processes;

h) process performance measurements on regular basis and feedback system inrelation to key performance indicators;

j) analysis of data to assess its performance and identify areas for improvement;

k) use of corrective action for evaluating and eliminating existing problems effectingits performance;

l) use of preventive action for preventing future problems/loss prevention;

m) ensure the use of systematic improvement methods and tools to improve itsperformance;

n) how innovation and creativity in process improvement is stimulated? and

p) implementation of process changes and evaluation of benefits.

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VI CUSTOMER FOCUSED RESULTS

The organization's identification of customers needs; and achievementsas perceived by the customer

Q.1 Describe how the organization identifies and meets customer's needs and expectationson a continual basis.

Q.2 Describe the perception of customers/consumers about the organization's capability ofmeeting their needs and exceed their expectations, which may include:

a) price and value for money;

b) product quality

i) defects, errors, rejection rates;

ii) consistency;

iii) durability, maintainability and reliability;

iv) responsiveness, flexibility;

v) product training;

vi) sales support; and

vii) technical support.

Q.3 Describe the steps taken by the organization to build good relationship with itscustomers/consumers, which may include:

a) effective communication with customers;

b) acquire new customer;

c) information provided to the customers/consumers through informative labelling,brochures and other product literature (enclose copies). If you are using anyguidelines/standards for this purpose, details of the same may also be provided;

d) on-time delivery;

e) product availability;

f) accessibility of key staff; and

g) follow up with the customers to increase their engagement with the organization.

Q.4 Describe how the organization measures the current levels and trends of customer/consumer satisfaction. Indications of customer satisfaction may include:

a) customer satisfaction index (based on, for example, cost, quality and supportservices);

b) number and nature of customer complaints;

c) redressal mechanism including time of response and final redressal;

d) customer/consumer returns (by value and quantity);

e) warranty payments;

f) reports on customer surveys by the organization and/or by the customer/consumerorganization; and

g) awards and prizes received.

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Q.5 Describe how the organization determines customer dissatisfaction and how thesemeasurements capture actionable information for use in meeting the customer'srequirements and exceeding their expectations.

VII EMPLOYEES' SATISFACTION

Organization's success in satisfying the needs and expectations of itsemployees

Q.1 Describe how the organization assesses/measures the current levels and trends ofemployees' satisfaction of different categories of its employees, and steps taken toimprove it.

Q.2 Describe employees perception about the organization with respect to:

a) working environment, location, space amenities;

b) health and safety provisions;

c) communication at local organization level;

d) appraisal, target setting and career planning;

e) career development by enhancing their competence;

f) training and retraining;

g) recognition and reward schemes;

h) scheme for collecting ideas for improvements; and

j) job security.

Q.3 What are the trends and levels of other indications of employees' satisfaction anddissatisfaction, which may include:

a) absenteeism and sickness,

b) staff turnover (attrition rate),

c) grievances,

d) use of facilities provided by the organization,

e) strikes,

f) workers compensation, and

g) productivity.

VIII IMPACT ON ENVIRONMENT AND SOCIETY

Organization's success in satisfying the needs and the expectations ofthe community at large

Q.1 Describe the steps taken by the organization for environment protection and preventingharm to public as a result of its operation in terms of:

a) adoption of environment-friendly and efficient technology,

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b) environmental friendliness of products,

c) effluent and pollution hazards,

d) noise,

e) health risks,

f) proportion of cost of environmental protection in production cost,

g) other indices used for measuring the effectiveness of environmental protection/pollution control measures,

h) measures taken to correct any ecological imbalances that the unit might havecaused,

j) number of environmental incidents/accidents, and

k) awards and prizes received for the efforts made by the organization forenvironmental protection may also be indicated.

Q.2 Describe how the organization is fulfilling its responsibilities to the public for health,safety, and ethical business practices, which may include:

a) Involvement in community in terms of:

i) education and training,

ii) medical welfare, and

iii) sports and leisure.

b) Activities to assist in preservation of resources. This may include:

i) energy conservation,

ii) natural resources,

iii) raw materials and other inputs,

iv) usage of recyclable materials,

v) extent to which renewable energy resources are used and efforts made toregenerate those already consumed,

vi) reduction of wastes, and

vii) percentage wastes recycled.

c) Additional indicators of impact on society like:

i) number of general complaints;

ii) number of infringements of national and international standards;

iii) number of safety related accidents; and

iv) awards and prizes received, etc, for the efforts made by the organizationtowards fulfilling the needs and expectations of the society may also beindicated.

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IX BUSINESS RESULTS

Organization's success in achieving its planned business performanceand in satisfying the needs and expectations of all stakeholders

Q.1 Describe what the organization has achieved in relation to its planned businessperformance in terms of financial and non-financial measures, which may include:

a) Financial measures (planned and achieved) in terms of:

i) sales;

ii) return on investment including return on capital employed;

iii) profit (both gross and net);

iv) value added;

v) debt to equity ratio, earning per share, P/E ratio;

vi) dividend to share holders; and

vii) reinvestment and redeployment of profits in relation to capital employed.

b) Non-financial measures in terms of:

i) market share,

ii) percentage growth in terms of turnover,

iii) wastes,

iv) defects per unit of output,

v) variability of product,

vi) cost of non-quality, and

vii) details of investors' grievances and their redressal.

This may also cover cycle times such as, order processing time, product delivery time,batch processing time, time to introduce new products in the market, time to break-even on new developments and inventory turn-over ratio.

Q.2 List the statutory and regulatory requirements applicable to your organization. Describeperformance of the organization in respect of compliance with statutory and regulatoryrequirements. The description may cover the following aspects:

a) Whether the organization is aware of being under investigation/scrutiny of anyGovernment agency and if so status thereof;

b) Number and nature of violations (including FEMA violations), if any; and

c) Number of cases pending in courts/consumer forums and their current status.

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ANNEX C(Item 3 of Application Form for Micro, Small & Medium Scale Organization)

GUIDELINES FOR SELF-APPRAISAL REPORT

I LEADERSHIP

Top management's attitude and personal involvement in leading qualitymanagement approach and efforts in driving the organization towardsthe achievement of sustained success

Q.1 Describe how top management is personally involved in promoting Quality, which mayinclude steps taken to:

a) strengthen customer orientation;

b) provide appropriate resources (financial, manpower, materials, machines etc) ina timely manner and their efficient use;

c) give and receive training;

d) personal involvement in recognizing efforts of employees;

e) address concerns like safety, health, energy conservation and environmentprotection etc;

f) use of the factual information for improvements in products and processes; and

g) implement quality management system and/or environment management systemwithin the organization.

Q.2 What are the intentions of the top management for the total quality and steps takenfor continual improvement? What strategy is adopted to fulfill these intentions?

Q.3 Describe how the organization's strategic plans are evolved, evaluated, monitored,improved and aligned with its policies and values.

Q.4 Describe key objectives of the organization. How these objectives are measured,reviewed and improved?

II HUMAN RESOURCE MANAGEMENT

Developing and motivating employees to realize their full potential forperformance excellence including personal and organizational growth

Q.1 Does the organization have competent (educational qualification, experience, trainingand skill) employees to suit particular jobs assigned to them? If yes, give details.

Q.2 Describe how the organization measures the performance of its employees.

Q.3 In case performance of an employee is not satisfactory, what further steps are takento improve his performance?

Q.4 Describe how the organization maintains work environment that encourages individual

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learning, knowledge transfer, team work conducive to the well-being and growth of itsemployees. Describe how the organization ensures that its work environment complieswith applicable statutory and regulatory requirements?

Q.5 Describe employees perception about the organization with respect to:

a) working environment, location, space amenities;

b) career development;

c) training;

d) recognition/reward schemes; and

e) scheme for collecting ideas for improvement.

Q.6 Give the following information for the last 3 years:

a) absenteeism and sickness,

b) grievances,

c) use of facilities provided by the organization,

d) strikes,

e) workers compensation, and

f) number of employees trained and the total duration of training of all theemployees, each year.

III PROCESSES

The management of processes within the organization includingidentification and review

Q.1 What are the key processes of the organization (like, marketing, purchase, supplierdevelopment, manufacture/service, inspection and testing, and after sales service)?The description may include:

a) key performance indicators of key processes,

b) analysis of data to assess performance of key processes and identify areas forimprovement,

c) use of corrective action (eliminating causes of known problems so that theydo not recur) and preventive action (action taken so that problems do not occur),and

d) implementation of process changes and evaluation of benefits.

Q.2 Does the organization practise a supplier development system? If yes, give details.

Q.3 Does the organization have an arrangement for inspection and testing of quality ofincoming material, like raw material, components, sub-assemblies? If yes, give details.

Q.4 Does the organization outsource some of its jobs? If yes, give details and controlsexercised on them?

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Q.5 Describe how the organization controls the quality of product/services, which mayinclude the following details:

Yes No NA

a) Is the organization certified for any Management System.If yes, give details including type of ManagementSystems, Certifying agency and validity of the certificate.

b) Has the organization got a BIS Mark on its product?If yes, give details.

c) Does (Do) the product(s) manufactured by theorganization conform to Indian Standard or any otherstandard? If yes, give details.

d) Are the stage inspections practiced during themanufacturing/service? If yes, give details.

e) Are testing equipment calibrated at regular intervals? Ifyes, give details.

f) Is (Are) finished product(s)/service inspected/tested? Ifyes, give details.

g) Is there a system of documentation/reporting for qualitycontrol?

IV CUSTOMER FOCUSED RESULTS

The organization's identification of customer's needs; and achievementsas perceived by the customer

Q.1 Describe how the organization identifies and meets customer's needs and expectationson a continual basis.

Q.2 Describe how the organization ensures that it is capable of meeting customerrequirements.

Q.3 Describe the perception of customers about the organization's capability of meetingtheir needs, which may include:

a) price and value for money; and

b) product quality (in terms of rejection rates, durability, responsiveness and supportservices).

Q.4 Describe the steps taken by the organization to build good relationship with itscustomers, which may include:

a) effective communication with customers;

b) information provided to the customers through informative labelling, brochures

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and other product literature (enclose copies). If you are using any guidelines/standards for this purpose, details of the same may also be provided;

c) on-time delivery;

d) accessibility of key staff; and

e) follow up with the customers.

Q.5 Describe how the organization measures the current levels and trends of customersatisfaction. Please provide the information on the following for last 3 years:

a) number and nature of customer complaints,

b) redressal mechanism including time of response and final redressal,

c) customer returns (by value and quantity), and

d) warranty payments.

V IMPACT ON ENVIRONMENT AND SOCIETY

Organization's success in satisfying the needs and the expectations ofthe community at large

Q.1 Does the organization take steps for environment protection and preventing harm topublic as a result of its operation. If yes, give details for last 3 years:

a) adoption of environment-friendly and efficient technology,

b) environmental friendliness of products,

c) effluent and pollution hazards,

d) noise,

e) health risks,

f) proportion of cost of environmental protection in production cost,

g) number of environmental incidents/accidents, and

h) awards and prizes received for the efforts made by the organization forenvironmental protection may also be indicated.

Q.2 In case the organization is doing some welfare measures for the society, pleaseprovide information for the following for last 3 years:

a) education and training,

b) medical welfare,

c) sports and leisure, and

d) others (please specify).

Q.3 In case the organization is doing activities to assist in preservation of resources, pleaseprovide information for the following:

a) energy conservation including renewable resources,

b) usage of raw materials and other inputs, and

c) usage of recyclable materials and reduction of wastes.

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Q.4 Please provide the following information for last 3 years:

a) number of general complaints;

b) number of infringements of national and international standards;

c) number of safety related accidents; and

d) awards and prizes received, etc. for the efforts made by the organization towardsfulfilling the needs and expectations of the society.

VI BUSINESS RESULTS

Organization's success is achieving its planned business performance

Q.1 Give the following information on financial and non-financial measures of theorganization for last 3 years:

a) domestic sales and export,

b) profit (both gross and net),

c) return on investment,

d) dividend,

e) reinvestment and redeployment of profits in relation to capital employed, and

f) percentage growth in terms of turnover and profit.

Q.2 List the statutory and regulatory requirements applicable to your organization. Describeperformance of the organization in respect of compliance with statutory and regulatoryrequirements. The description may cover the following aspects:

a) Whether the organization is aware of being under investigation/scrutiny of anyGovernment agency and if so status thereof;

b) Number and nature of violations (including FEMA violations), if any; and

c) Number of cases pending in courts/consumer forums and their current status.