1. Leadership
   1.1 Leadership System
   1.2 Company Responsibility and Citizenship
2. Strategic Planning
   2.1 Strategy Development Process
   2.2 Company Strategy
3. Customer and Market Focus
   3.1 Customer and Market Knowledge
   3.2 Customer Satisfaction and Relationship Enhancement
4. Information and Analysis
   4.1 Selection and Use of Information and Data
   4.2 Selection and Use of Comparative Information and Data
   4.3 Analysis and Review of Company Performance
5. Human Resource Development and Management
   5.1 Work Systems
   5.2 Employee Education, Training, and Development
   5.3 Employee Well-Being and Satisfaction
6. Process Management
   6.1 Management of Product and Service Processes
   6.2 Management of Support Processes
   6.3 Management of Supplier and Partnering Processes
7. Business Results
   7.1 Customer Satisfaction Results
   7.2 Financial and Market Results
   7.3 Human Resource Results
   7.4 Supplier and Partner Results
   7.5 Company-Specific Results

1. Leadership (110 pts)

The Leadership Category examines senior leaders' personal leadership and involvement in creating and sustaining values, company directions, performance expectations, customer focus, and a leadership system that promotes performance excellence. Also examined is how the values and expectations are integrated into the company's leadership system, including how the company continuously learns and improves, and addresses its societal responsibilities and community involvement.

1.1 Leadership System (80 pts)

Describe how senior leaders guide the company in setting directions and in developing and sustaining an effective leadership system.

In your response, address the following Area:

a. Leadership System
How the company's senior leaders provide effective leadership, taking into account the needs and expectations of all key stakeholders. Include:
1) how senior leaders set company directions and seek future opportunities for the company;
2) a description of the company's leadership system and how it incorporates clear values, company directions, high performance expectations, a strong customer focus, and continuous learning;
3) how senior leaders communicate and reinforce values, directions, expectations, customer focus, and their commitment to learning throughout the work force; and
4) how senior leaders review the company's overall performance, and use the review process to reinforce company directions and improve the leadership system.

1.2 Company Responsibility and Citizenship (30 pts)

Describe how the company addresses its responsibilities to the public and how the company practices good citizenship.

In your response, address the following Areas:

a. Societal Responsibilities
How the company addresses the current and potential impacts on society of its products, services, facilities, and operations. Include"
(1) key practices, measures, and targets for regulatory, legal, and ethical requirements and for risks associated with managing company operations; and
(2) how the company anticipates public concerns, assesses potential impacts on society, and addresses these issues in a proactive manner.

b. Community Involvement
How the company and its employees support and strengthen their key communities.

 

2. Strategic Planning (80 pts)

The Strategic Planning Category examines how the company sets strategic directions, and how it determines key action plans. Also examined is how the plans are translated into an effective performance management system.

2.1 Strategy Development Process (40 pts)

Describe how the company sets strategic directions to better define and strengthen its competitive position. Describe also how the strategy development process leads to an action plan for deploying and aligning key plan and performance requirements.

In your response, address the following Areas:

a. Strategy Development
How the company develops strategy, taking into account the five factors listed below. Provide a brief description of diagram of the strategy development process and an outline of forecasts, models, etc., used to help select strategy.
(1) target customers; market requirements, including price; customer and market expectations; and new opportunites;
(2) the competitive environment;
(3) risks; financial, market, technological, and societal;
(4) company capabilities - human resource, technology, research and development, and business processes - to seek new opportunites and/or to prepare for key new requirements; and
(5) supplier and/or partner capabilities.

b. Strategy Deployment
How strategy is translated into action plans, including a clear basis for communicating and aligning critical requirements, and tracking performance relative to plans.

2.2 Company Strategy (40 pts)

Summarize the company's strategy and action plans and how they are deployed. Include key performance requirements and measures, and outline overall human resource plans. Estimate how the company's performance projects into the future relative to competitors and/or key benchmarks.

In your response, address the following Areas:

a. Strategy and Action Plans
Provide a summary of the action plans derived from the company's strategy and how these plans are deployed. Include performance requirements, key performance measures and/or indicators, and how plans, resources, and measures are deployed to ensure alignment of goals and actions. Note any important differences between short- and longer-term plans.

b. Human Resource Plans
Provide a brief summary of key human resource plans derived from overall strategy. Include the following elements:
(1) changes in work design and/or organization to improve knowledge creation/sharing, flexibility, innovation, and rapid response;
(2) employee development, education, and training;
(3) changes in compensation, recognition, and benefits; and
(4) recruitment, including critical skill categories and expected or planned changes in demographics of the work force.

c. Performance Projection
Provide a two to five year projection of key performance measures and/or indicators from the company's action plans. Include appropriate comparisons with competitors and/or key benchmarks. Briefly explain the comparisons, including any estimates or assumptions made in projecting competitor performance and/or benchmark data.

 

3. Customer and Market Focus (80 pts)

 The Customer and Market Focus Category examines how the company determines requirements and expectations of customers and markets. Also examined is how the company enhances relationships with customers and determines their satisfaction.

3.1 Customer and Market Knowledge (40 pts)

Describe how the company determines longer-term requirements, expectations, and preferences of target and/or potential customers and markets, to understans and anticipate needs and to develop business opportunities.

In your response, address the following Area:

a. Customer and Market Knowledge
Provide a breif outline of how the company learns from its current and potential customers and markets, to support the company's overall business needs and opportunities. Include:
(1) how customer groups and/or market segments are determined or selected, including the consideration of customers of competitors and other potential customers and markets. Describe how the approaches to listening and learning vary for different customer groups.
(2) how key product and service features and their relative importance/value to customers are determined and/or projected. Describe how key information from current customers and markets, including customer retention and complaint information, is used in this determination; and
(3) how the company's approach to listening to and learning from customers and markets is evaluated, improved, and kept current with changing business needs.

3.2 Customer Satisfaction and Relationship Enhancement (40 pts)

Describe how the company determines and enhances the satisfaction of its customers to strengthen relationships, to improve current offerings, and to support customer- and market-related planning.

In your response, address the following:

a. Accessibility and Complaint Management
How the company provides access and information to enable customers to seek assistance, to conduct business, and to voice complaints. Include:
(1) how the company determines customer contact requirements, deploys the requirements to all employees who are involved in meeting the requirements, and evaluates and improves customer contact performance; and
(2) a description of the company's complaint management process. In this description, explain how the company ensures that complaints are resolved effectively and promptly, and that complaints received by all company units are aggregated and analyzed for use throughout the company.

b. Customer Satisfaction Determination
How the company determines customer satisfaction. Include:
(1) how the company follows up with customers on products, services, and recent transactions to receive prompt and actionable feedback;
(2) a brief description of other customer satisfaction determination processes and measurements used. Describe how the measurements capture actionable information that reflects customers' future business with the company and/or positive referral. Indicate significant differences, if any, in methods and/or measurement scales for different customer groups or segments; and
(3) how the company obtains objective and reliable information on customer satisfaction relative to its competitors.

4. Information and Analysis (80 pts) 

 The Information and Analysis Category examines the management and effectiveness of the use of data and information to support key company processes and the company's performance management system.

4.1 Selection and Use of Information and Data (25 pts)

Describe the company's selection, management, and use of information and data needed to support key company processes and improve company performance.

In your response, address the following Area:

a. Selection and Use of Information and Data
Describe:
(1) the main types of information and data, financial and non-financial, and how each type relates to key company processes and goals. Briefly explain how the information and data are integrated into measurements that can be used to track and improve the company's performance.
(2) how the information and data are deployed to users to ensure alignment with key company goals;
(3) how key user requirements, including rapid access and reliability, are met; and
(4) how information and data, their deployment, and effectiveness of use are evaluated, improved, and kept current with changing business needs.

4.2 Selection and Use of Comparative Information and Data (15 pts)

Describe the company's selection, management, and use of comparative information and data to improve the company's overall performance and company position.

In your response, address the following Area:

a. Selection and Use of Comparative Information and Data
Describe:
(1) how needs and priorities for comparative information and data are determined;
(2) the company's criteria for seeking sources of appropriate comparative information and data - from within and outside the company's industry and markets;
(3) how comparative information and data are used to set stretch targets and/or to encourage performance breakthroughs; and
(4) how comparative information and data, their deployment, and effectiveness of use are evaluated, improved, and kept current with changing business needs.

4.3 Analysis and Review of Company Performance (40 pts)

Describe how the company analyzes and reviews overall performance to assess progress relative to plans and to identify key areas for improvement.

In your response, address the following Areas:

a. Analysis of Data
How performance data from all parts of the company are integrated and analyzed to assess overall company performance in key areas. Describe the principal financial and non-financial measures integrated and analyzed to determine:
(1) customer-related performance;
(2) operational performance, including product and service performance;
(3) competitive performance; and
(4) financial and market-related performance.

b. Review of Company Performance
How company performance and capabilities
are reviewed to assess progress relative to goals, plans, and changing business needs. Describe how review findings are translated into improvement priorities and deployed throughout the company and, as appropriate, to the company's suppliers and/or business partners.

 

5. Human Resource Development and Management (100 pts)

The Human Resource Development and Management Category examines how the work force is enabled to develop and utilize its full potential, aligned with the company's objectives. Also examined are the company's efforts to build and maintain an environment conducive to performance excellence, full participation, and personal and organizational growth.

5.1 Work Systems (40 pts)

Describe how the company's work and job design and its compensation and recognition approaches enable and encourage all employees to contribute effectively to achieving the company's performance and learning objectives,

In your response, address the following Areas:

a. Work and Job Design
How work and jobs, including those of managers at all levels in the company, are designed, organized, and managed to ensure:
(1) opportunities for individual initiative and self-directed responsibility in designing, managing, and improving company work processes;
(2) flexibility, cooperation, rapid response, and learning in addressing current and changing customer and operational requirements; and
(3) effective communications, and knowledge and skill sharing across work functions, units, and locations.

b. Compensation and Recognition
How the company's compensation and recognition approaches for individuals and groups, including managers at all levels in the company, reinforce the overall work systems, performance, and learning objectives.

5.2 Employee Education, Training, and Development (30 pts)

Describe how the company's education and training address key company plans and needs, including building knowledge and capabilities, and contributing to improvrd employee performance and development.

In your response, address the following Area:

a. Employee Education, Training, and Development
Describe:
(1) how education and training address the company's key performance plans and needs, including longer-term employee development objectives;
(2) hoe education and training are designed to support the company's approach to work and jobs. Include how the company seeks input from employees and their managers in education and training design;
(3) how education and training, including orientation of new employees, are delivered;
(4) how knowledge and skills are reinforced on the job; and
(5) how education and training are evaluated and improved, taking into account company performance, employee development objectives, and costs of education and training.

5.3 Employee Well-Being and Satisfaction (30 pts)

Describe how the company maintains a work environment and work climate that support the well-being, satisfaction, and motivation of employees.

In your response, address the following Areas:

a. Work Environment
How the company maintains a safe and healthful work environment. Include how employee well-being factors such as health, safety, and ergonomics are included in improvement activities. Briefly describe key measures and targets for each important factor. Note significant differences, if any, based upon different health and safety factors in the work environments of employee groups or work units.

b. Employee Support Services
How the company supports the well-being, satisfaction, and motivation of employees via services, facilities, activities, and opportunities.

c. Employee Satisfaction
How the company determines employee well-being, satisfaction, and motivation. Include:
(1) a brief description of formal and informal methods used. Outline how the company determines the key factors that affect employee well-being, satisfaction, and motivation and assesses its work climate. Note important differences in methods, factors, or measures for different categories or types of employees, as appropriate; and
(2) how the company relates employee well-being, satisfaction, and motivation results to key business results and/or objectives to identify improvement activities.

 

 6. Process Management (100 pts)

The Process Management Category  examines the key aspects of process management, including customer-focused design, product and service delivery processes, support processes, and supplier and partnering processes involving all work units. The Category examines how key processes are designed, effectively managed, and improved to achieve better performance.

6.1 Management of Product and Service Processes (60 pts)

Describe how new, significantly modified, and customized products and services are designed. Describe how production/delivery processes are designed, implemented, and improved.

In your response, address the following Areas:

a. Design Processes
How products, services, and production/delivery processes are designed. Include:
(1) how changing customer requirements and technology are incorporated into product and service designs;
(2) how production/delivery processes are designed to meet quality and operational performance requirements; and
(3) how design and production/delivery processes are coordinated to ensure trouble-free introduction and delivery of products and services.

b. Production/Delivery Processes
How the company's key product and service production/delivery processes are managed and improved. Include:
(1) a description of the key processes and their principal requirements;
(2) how the processes are managed to maintain process integrity and to ensure products and services will meet operational and customer requirements. Include a description of key in-process measurements and customer interactions, as appropriate; and
(3) how product and service processes are evaluated and improved to achieve better performance, including improvements to products and services, and the transfer of learning to other company units and projects.

6.2 Management of Support Processes (20 pts)

Describe how the company's key support processes are designed, managed, and improved.

In your response, address the following Area:

a. Management of Support Processes
How key support processes are designed, managed, and improved so that current and future requirements are met. Include:
(1) how key requirements are determined or set, incorporating input from internal and external customers;
(2) how key support processes are designed to meet overall performance requirements;
(3) a description of the key support processes and their principal requirements;
(4) how the processes are managed to maintain process performance and to ensure results will meet operational and customer requirements. Include a description of key in-process measurements and customer interactions, as appropriate; and
(5) how the processes are evaluated and improved to achieve better performance, including cycle time.

6.3 Management of Supplier and Partnering Processes (20 pts)

Describe how the company's supplier and partnering processes, relationships, and performance are managed and improved.

In your response, address the following Area:

a. Management of Supplier and Partnering Processes
Describe:
(1) how supplier and partnering processes are designed to meet overall performance requirements, including how perfered suppliers and partners are selected, as appropriate. Include a brief summary of the principal performance requirements for key suppliers and partners;
(2) how the company ensures that these requirements are met. Include a description of key measures, expected performance levels, and how performance information is fed back to suppliers and partners; and
(3) how the company evaluates and improves its management of supplier and partnering processes to achieve better performance. Discuss current actions and plans to improve suppliers' and partners' abilities to contribute to achieving your company's performance goals. Include actions to minimize costs associated with inspection, test, or other performance audits; and actions to enhance supplier and partner knowledge of your company's needs and their ability to respond to those needs.

 

 7. Business Results (450 pts)

The Business Results Category examines the company's performance and improvement in key business areas - customer satisfaction, financial and marketplace performance, human resource, supplier and partner performance, and operational performance. Also examined are performance levels relative to competitors.

7.1 Customer Satisfaction Results (130 pts)

Summarize the company's customer satisfaction and dissatisfaction results.

In your response, address the following Area:

a. Customer Satisfaction Results
Summarize current levels and trends in key measures and/or indicators of customer satisfaction and dissatisfaction, including satisfaction relative to competitors.

7.2 Financial and Market Results (130 pts)

Summarize the company's key financial and marketplace performance results.

In your response, address the following Area:

a. Financial and Market Results
Provide results of:
(1) financial performance, including aggregate measures of financial return and/or economic value, as appropriate; and
(2) marketplace performance, including market share, business growth, and new markets entered, as appropriate.
For all quantitative measures and/or indicators of performance, provide current levels and trends. Include appropriate comparative data.

7.3 Human Resource Results (35 pts)

Summarize the company's human resource results, including employee well-being, satisfaction, development, and work system performance.

In your response, address the following Area:

a. Human Resource Results
Summarize current levels and trends in key measures and/or indicators of employee well-being, satisfaction, development, work system improvement, and effectiveness. Address all categories and types of employees, as appropriate. Include appropriate comparative data.

7.4 Supplier and Partner Results (25 pts)

Summarize results of the company's supplier and partner performance.

In your response, address the following Area:

a. Supplier and Partner Results
Summarize current levels and trends in key measures and/or indicators of supplier and partner performance. Include company cost and/or performance improvements attributed to supplier and partner performance, as appropriate. Include appropriate comparative data.

7.5 Company-Specific Results (130 pts)

Summarize key company operational performance results that significantly contribute to key compant goals - customer satisfaction, operational effectiveness, and financial/marketplace performance.

In your response, address the following Area:

a. Company-Specific Results
Summarize key company-specific results derived from:product and service quality and performance; key process performance; productivity, cycle time, and other effectiveness and efficiency measures; regulatory/legal compliance; and other results supporting the company's strategy, such as new product/service introductions. For all quantitative measures and/or indicators of performance, provide current levels and trends. Include appropriate comparative data.