2005 Baldrige ARTICULATED Criteria: 1.2 Governance and Social Responsibilities
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| 1.2 Governance and Social Responsibilities (50 pts.) |
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Describe your organization’s GOVERNANCE SYSTEM. Describe HOW your organization addresses its responsibilities to the public. Describe HOW your organization ensures ETHICAL BEHAVIOR. Describe HOW your organization practices good citizenship. Within your response, include answers to the following questions: 1.2a. Organizational Governance (1) HOW does your organization address the following KEY factors in your GOVERNANCE SYSTEM: • accountability for management’s actions • fiscal accountability • transparency in operations and selection and disclosure policies for GOVERNANCE board members, as appropriate • independence in internal audits • independence in external audits • protection of STAKEHOLDER interests, as appropriate • protection of stockholder interests, as appropriate (2) HOW do you evaluate the PERFORMANCE of your SENIOR LEADERS, including the chief executive? HOW do you evaluate the PERFORMANCE of members of the GOVERNANCE board, as appropriate? HOW do SENIOR LEADERS these PERFORMANCE reviews to improve both their personal leadership EFFECTIVENESS ? HOW do SENIOR LEADERS use these PERFORMANCE reviews to improve the EFFECTIVENESS of your board, as appropriate? HOW do SENIOR LEADERS use these PERFORMANCE reviews to improve the EFFECTIVENESS of your LEADERSHIP SYSTEM? HOW does the GOVERNANCE board use these PERFORMANCE reviews to improve both their personal leadership EFFECTIVENESS ? HOW does the GOVERNANCE board use these PERFORMANCE reviews to improve the EFFECTIVENESS of your board, as appropriate? HOW does the GOVERNANCE board use these PERFORMANCE reviews to improve the EFFECTIVENESS of your LEADERSHIP SYSTEM, as HOW does the GOVERNANCE board use these PERFORMANCE reviews to improve the EFFECTIVENESS of your LEADERSHIP SYSTEM, as appropriate? 1.2b. Legal and Ethical Behavior (1) HOW do you address any adverse impacts on society of your products? HOW do you address any adverse impacts on society of your services? HOW do you address any adverse impacts on society of your operations? HOW do you anticipate public concerns with current products? HOW do you anticipate public concerns with current services? HOW do you anticipate public concerns with current operations? HOW do you anticipate public concerns with future services? HOW do you anticipate public concerns with future operations? HOW do you anticipate public concerns with future operations? HOW do you prepare for these concerns in a proactive manner, including using resource-SUSTAINING PROCESSES, as appropriate? What are your KEY compliance PROCESSES for achieving and surpassing regulatory and legal requirements, as appropriate? What are your KEY compliance MEASURES for achieving and surpassing regulatory and legal requirements, as appropriate? What are your KEY compliance GOALS for achieving and surpassing regulatory and legal requirements, as appropriate? What are your KEY PROCESSES for addressing risks associated with your products, services, and operations? What are your KEY MEASURES for addressing risks associated with your products, services, and operations? What are your KEY GOALS for addressing risks associated with your products, services, and operations? (2) HOW does your organization promote and ensure ETHICAL BEHAVIOR in all your interactions? What are your KEY PROCESSES for enabling ETHICAL BEHAVIOR in your GOVERNANCE structure? What are your KEY PROCESSES for enabling ETHICAL BEHAVIOR throughout your organization? What are your KEY PROCESSES for enabling ETHICAL BEHAVIOR in interactions with CUSTOMERS? What are your KEY PROCESSES for enabling ETHICAL BEHAVIOR in interactions with PARTNERS? What are your KEY PROCESSES for monitoring ETHICAL BEHAVIOR in your GOVERNANCE structure? What are your KEY PROCESSES for monitoring ETHICAL BEHAVIOR throughout your organization? What are your KEY PROCESSES for monitoring ETHICAL BEHAVIOR in interactions with CUSTOMERS? What are your KEY PROCESSES for monitoring ETHICAL BEHAVIOR in interactions with PARTNERS? What are your KEY MEASURES or INDICATORS for enabling ETHICAL BEHAVIOR in your GOVERNANCE structure? What are your KEY MEASURES or INDICATORS for enabling ETHICAL BEHAVIOR throughout your organization? What are your KEY MEASURES or INDICATORS for enabling ETHICAL BEHAVIOR in interactions with CUSTOMERS? What are your KEY MEASURES or INDICATORS for enabling ETHICAL BEHAVIOR in interactions with PARTNERS? What are your KEY MEASURES or INDICATORS for monitoring ETHICAL BEHAVIOR in your GOVERNANCE structure? What are your KEY MEASURES or INDICATORS for monitoring ETHICAL BEHAVIOR throughout your organization? What are your KEY MEASURES or INDICATORS for monitoring ETHICAL BEHAVIOR in interactions with CUSTOMERS? What are your KEY MEASURES or INDICATORS for monitoring ETHICAL BEHAVIOR in interactions with PARTNERS? HOW do you monitor and respond to breaches of ETHICAL BEHAVIOR? 1.2c. Support of Key Communities HOW does your organization actively support your KEY communities? HOW does your organization actively strengthen your KEY communities? HOW do you identify KEY communities organizational involvement and support? HOW do you determine areas of emphasis for organizational involvement and support? What are your KEY communities? HOW do your SENIOR LEADERS contribute to improving these communities? HOW do your employees contribute to improving these communities? |
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Notes: N1. Societal responsibilities in areas critical to your business also should be addressed in Strategy Development (Item 2.1) and in Process Management (Category 6). KEY RESULTS, such as RESULTS of regulatory and legal compliance or environmental improvements through use of “green” technology or other means, should be reported as Leadership and Social Responsibility RESULTS (Item 7.6). N2. Transparency in operations (1.2a[1]) should include your internal controls on GOVERNANCE PROCESSES. N3. Leadership PERFORMANCE evaluation (1.2a[2]) might be supported by peer reviews, formal PERFORMANCE management reviews (Item 5.1b), and formal or informal employee and other STAKEHOLDER feedback and surveys. N4. MEASURES or INDICATORS of ETHICAL BEHAVIOR (1.2b[2]) might include the percentage of independent board members, MEASURES of relationships with stockholder and non-stockholder constituencies, instances of ethical conduct breaches and responses, survey RESULTS on employee perceptions of organizational ETHICS, ETHICS hotline use, and RESULTS of ETHICS reviews and audits. N5. Areas of community support appropriate for inclusion in Item 1.2c might include your efforts to strengthen local community services, education, and health; the environment; and practices of trade, business, or professional associations. N6. The health and safety of employees are not addressed in Item 1.2; you should address these employee factors in Item 5.3. |
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For additional description, see 1.2 Governance and Social Responsibilities Description. |
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2005 ARTICULATED Item Links: 1.1 - 1.2 - 2.1 - 2.2 - 3.1 - 3.2 - 4.1 - 4.2 - 5.1 - 5.2 - 5.3 - 6.1 - 6.2 - 7.1 - 7.2 - 7.3 - 7.4 - 7.5 - 7.6 - P.1 - P.2 |
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