NBEM Reference Manual 2016

The Business Excellence Model 2016
Table of Contents
Chapter 1 ...................................................................................................................................................
2
1.0 Objective of Assessment Process .......................................................................................................... 2
2.0 The Model Structure ............................................................................................................................. 2
3.0 Eligibility ................................................................................................................................................ 2
4.0 Assessment ........................................................................................................................................... 2
5.0 Composition of Assessment Team ........................................................................................................ 2
6.0 Release of Assessors from Workplace .................................................................................................. 2
7.0 Incentive to Assessors ........................................................................................................................... 3
8.0 Time Schedule ....................................................................................................................................... 3
9.0 Duration of Assessment ........................................................................................................................ 4
10.0 Logistics & Coordination ....................................................................................................................... 4
11.0 Expenditure and Budget .......................................................................................................................
4
12.0 Jury ........................................................................................................................................................ 4
13.0 Scope of Jury ......................................................................................................................................... 5
14.0 Levels of Excellence ............................................................................................................................... 5
15.0 Presentation of Awards ........................................................................................................................
5
16.0 Ensuring Quality of Assessors ............................................................................................................... 5
Chapter 2 ...................................................................................................................................................
7
Criteria 1 ‐ Station Management ...................................................................................................................
8
Criteria 2 ‐ Planning & Strategy ....................................................................................................................
12
Criteria 3 ‐ Human Resources ......................................................................................................................
15
Criteria 4 ‐ Functional Excellence .................................................................................................................
19
[i]
Criteria 5 ‐ Beneficiaries Results ..................................................................................................................

23
Criteria 6 ‐ HR Result ....................................................................................................................................
27
Criteria 7 ‐ CSR‐CD & Sustainability Results .................................................................................................
31
Criteria 8 ‐ Business Results .........................................................................................................................
35
Chapter 3 .................................................................................................................................................
39
Guidelines for Writing the Position Report ..................................................................................................
39
Abbreviation
[ii]
[iii]
Model Structure
Criteria Sub criteria Weightage
1.1 Actualization of NTPC’s Vision, Mission and Values 25%
Criteria‐1 1.2 Ensuring the effectiveness of management system 25%
Station Management
(100) 1.3 Engaging with external stakeholders 25%
1.4 Promoting a culture of excellence with employees 25%
2.1 Strategy to manage change based on understanding of external 34%
environment, needs and expectations of the stakeholders
Criteria‐2
2.2 Strategy based on analysis of internal performance and 33%
Planning & Strategy (100)
capabilities of Station
2.3 Simplifying and accelerating decision making process 33%
3.1 Productivity and understanding perceptions of employees 25%
Criteria‐3 3.2 Developing knowledge and capabilities of employees 25%
Human Resources (100) 3.3 Involving, aligning and communicating with employees 25%
3.4 Employees are rewarded, recognized and cared for 25%
4.1 Safety 12%
4.2 Environment Management 8%
4.3 Contracts & Materials 12%
Criteria‐4 4.4 Fuel Management 12%
Functional Excellence 4.5 Chemistry 8%
(250) 4.6 Mechanical Maintenance 12%
4.7 Electrical Maintenance 10%
4.8 C&I Maintenance 10%
4.9 Maintenance Planning, Energy Conservation, EEMG & Operations 16%
Criteria‐5 5.1 Perceptions 50%
Beneficiaries Results
(100) 5.2 Performance Indicators 50%

HR Result
6.2 Performance Indicators 50%
(100)
[iv]
CSR‐CD Results 7.2 Performance Indicators 50%

(100)
Criteria‐8 8.1 Key Strategic Outcomes 50%

Business Results (150)
8.2 Key Performance Indicators 50%
Glossary of Terms
The following is a list of terms used throughout the Business Excellence Model guidance manual. It has been
compiled in order to help understanding and use of the model.
Approach ‐ The overall way by which something is made to happen – an approach comprises of processes
and structured actions within a framework of principles and policies.
Assessor – NTPC executives normally at E ‐7 level, trained and selected for assessment process.
Benchmarking ‐ A systematic comparison of approaches with other relevant organizations that gains insights
that will help the organization to take action to improve its performance.
Benchmark – A measured achievement for comparison and target setting purposes.
Business Model ‐ The elements of the business that create and deliver value; these elements normally
include the value proposition, the profit formula, key resources and key processes of the organization.
Business Excellence Model – Framework of criteria and sub criteria against which an organization can be
assessed with respect to excellence requirement. These excellence requirements are as proposed by the
particular model and award instituting body.
Change Management – The approach during which the changes of an organization or system are
implemented in a controlled manner by following a pre‐defined framework or processes, to support the
achievement of the strategic goals. Change management enables the transition from a current state into a
desired future state.
Challenges – Refers to issues emerging out of external environment, needs and expectations of the
stakeholders, which require proper strategy so as to achieve organizational Vision and Mission.
[v]
In typical NTPC generating station’s context some of the challenges in the short and medium term could be‐
poor demand scenario requiring flexibility in operations, stringent environment norms (2017 and beyond),
ash disposal and utilization, zero water discharge, cost of generation, ECR and merit order rating, water
consumption norms, URS management, coal quality and quantity and deviation in billing (due to quantity &
quality), CERC norms, e.g. under recovery, intake water consumption norms, cost of ash transportation
norms (likely futuristic norms e.g. 100 Km free and 500 Km on sharable basis), 100% ash utilization, low
emissions and high efficiency norms, demonstrating PAT cycle‐II targets, with a view to formulate strategies
and plans to meet them
Compendium of Surveys ‐ Compendium of surveys issued vide circular no. CHRC 674/2009 and subsequent
modification in the scheme. The Compendium has eight surveys. The surveys have to be conducted as per
the frequency mentioned in the compendium or notified by Corporate HR.
Continual Management ‐ The ongoing improvement of processes that lead to achievement of higher levels
of performance through incremental change.
Core Competence – A well performed internal activity or capability that is central to the organisation’s
competitiveness, profitability or efficiency.
Corporate Governance ‐ A framework of authority and control within an organization used to help it fulfill
its legal, financial and ethical obligations.
Creativity – The generation of ideas for new or improved products, services, processes, systems or social
interactions.
Critical Success Factors – Limited number (usually between 3 to 8) of characteristics, conditions or variables
that have a direct impact on the effectiveness, efficiency and viability of an organization, programme or
project.
Culture – The specific collection of values and norms that are shared by people and groups in an
organization that control the way they interact with each other and with stakeholders outside the
organization.
Customer – The recipient of products or services provided by the organization.
Empowerment – The process by which individuals or teams are able to take decision making responsibilities,
and operate with a degree of autonomy in their actions.
[vi]
Equal Opportunity – The practices of ensuring that all people receive fair and equal treatment regardless of
gender, age, race, nationality, religion, disability or sexual orientation.
Good / Best Practice – Superior approaches, policies, processes or method that lead to exceptional
achievement. Since it is difficult to find out what is best, the term “good practice” is preferred by most
organizations. Ways to find good practice outside the organization can include benchmarking and external
learning.
Innovation – The practical translation of ideas into new products, services, processes, systems or social
interactions.
Key Processes – The processes that are of the utmost importance for the organization since they deliver and
support the strategy and drive the value chain.
Knowledge – Knowledge is expertise and skills acquired by a person through experience and education,
involving the theoretical and / or practical understanding of a subject. While data are raw facts and
information is data with context and perspective, knowledge is information with guidance / ability for action.
Lead and Lag Indicators – Indicators measuring results, outputs and outcomes are known as lag indicators.
For example number of accidents occurred is lag indicator. However to influence the future, a different type
of measurement is required, one that is predictive rather than a result. For example, if we want to decrease
accidents, we could make safety training mandatory for all employees or force them to wear PPEs at all times.
Measuring these activities provides us with a set of lead indicators. They are in‐process measures and are
predictive.
Leaders – The people who coordinate and balance the interests and activities of all who have a stake in the
organization. In NTPC BE Model context this term is in congruent with Station Management.
Management System & Integrated Management System – In NTPC, it refers to ISO 9001, ISO 14001 & OHSAS
– 18001 certifications. Some stations also have SA 8000 certification. Wherever these certifications have
been clubbed, it is termed as Integrated Management System.
Mission – A statement that described the purpose or “raison deter” of an organization, confirmed by its
stakeholders.
NTPC BE Model – A customized Business excellence Model for NTPC generating stations based on popular
models like EFQM and Malcolm Baldrige.
[vii]
Organizational Agility – The ability to respond and adapt, in a timely way, to an emerging threat or
opportunity.
Partner – An external party the organization strategically chooses to work with, to achieve common
objectives and sustained mutual benefit.
Partnership ‐ A durable working relationship between the organization and partners, creating and sharing
added value for both parties. Partnerships can be formed e.g. with suppliers, distributors, educational bodies
or customers. Strategic partnerships support the strategic objectives of the organization in a particular way.
People – All individuals employed by the organization (full time, part time, including volunteers) including
leaders at all levels.
Perception – The opinion stakeholders have of the organization.
Senior Assessor ‐ NTPC executives normally at E ‐8 level, trained and selected for assessment process.
SMART Target – Specific, Measurable, Attainable, Relevant and Timely targets.
Stakeholder – Person, group or organization that has direct or indirect stake or interest in the organization
because it can either affect the organization or be affected by it. Examples of external stakeholders are
owners (shareholders), customers, suppliers, partners, government agencies and representatives of the
community or the society. Examples for internal stakeholders are people or groups of people.
[viii]
[ix
Stakeholder Engagement – Refers to the methodology or practices to engage with the stakeholders to
understand their needs, expectations and perceptions with a view to remove barriers to the delivery of
strategy. Please refer to related formats available on BE portal pertaining to external stakeholders.
Station Head ‐ Refers to NTPC executive heading the station and reports to Regional ED.
Strategy – A high level plan describing the tactics by which an organization intends to achieve its Mission and
Vision.
Position Report – This is status report prepared by station against guidance points of model within stipulated
page limits.
Process – A set of activities that interact with one another because the output from one activity becomes the
input for another activity. Processes add value by transforming inputs into outputs, using resources.
Products – Commercially distributed goods as a result of a fabrication, manufacturing or production process

that passes through a distribution channel before being consumed or used. In a broad sense, products include
a wide range of goods, from commodities to complex installations such as facilities, plants or factories.
Quality Champion – He is normally a senior person with rich industrial experience in leadership positions and
also experienced as Senior Assessor in the CII EXIM Bank Award process. The support from Quality Champion
is envisaged for a few more years till the process matures in the Company. He will act as a mentor and guide
to the team and assist in finalizing strengths, opportunities for improvements and marks in consultation with
members of the team.
Society ‐ The social infrastructure outside the organization that can be affected by the organization.
Station and Station Management – Refers to Station Head and HoDs. Normally participants of Site
Management Committee (SMC) are responsible for actionable against relevant guidance points in model. This
could be joint responsibility or specific to HoD. For example conducting employees’ perception surveys can
be considered as responsibility of Head HR but action plan based on survey could be join responsibility of
Station Head and HoDs.
Values – Operating philosophies or principles that guide an organization’s internal conduct as well as its
relationship with the external world. Values provide guidance for people on what is good or desirable and
what is not. They exert major influence on the behavior of individuals and teams and serve as broad
guidelines in all situations.
x
Vision – Description of what the organization is attempting to achieve in the long term future. It is intended to
serve as a clear guide for choosing current and future courses of action and, along with the Mission; it is the
basis for strategies and policies.
xi
Policy and Administration

Chapter 1
xii
xiii
Chapter 1
xiv
Policy and Administration
1.0 Objective of Assessment Process
 Unified measure of excellence across the Organization.

 Balanced set of results with MoU and non MoU parameters.
 Holistic approach towards all stakeholders.
 Triggering thought process towards meeting future challenges and sustained good performance.
 Emphasis on Safety, Health and Environment (SHE).
 Triggering internal and external benchmarking process.
2.0 The Model Structure
Model structure consists of eight main criteria and 28 sub criteria. Each sub criteria focuses on important
areas to address.
3.0 Eligibility
Generating stations (coal & gas), which have completed three years of commercial operation. The objective
of assessment is a journey towards excellence and hence the focus is on continuous improvement rather than
awards and accolades. Therefore all eligible stations are required to undergo assessment.
4.0 Assessment
This will be carried out by an “Assessment Team” appointed by Corporate BE group.
5.0 Composition of Assessment Team
Business Excellence group at Corporate Centre shall form Assessment Team for each station and composition
of the Assessment Team shall be as follows: i. Quality Champion ii. Senior Assessor
iii. Assessors ( three to four)
The team shall have members from various locations other than the host Station & Region.
6.0 Release of Assessors from Workplace
xv
SN: Activity Description Target Date

i) Position Report preparation, finalization of assessment 1st October
period and communication of date by station to
Assessment Team.*
ii) Receipt of Position Report by Quality Champion and 15th October
Assessment Team (to be dispatched by station directly)
iii) Receipt of Position Report by BE at CC & RHQ (Soft copy) 15th October
xvi
iv) Assessment window 15th November ‐ 31st

December
v) Submission of feedback report 7th January
vi) Jury meeting January
vii) Declaration of results & presentation of awards February
xvii
The eligible assessors for each year will be shortlisted by CBE group. A list of shortlisted assessors from each
xviii
Region will be sent to respective Regional Executive Director (with a copy to Station Head) for information
and request to release concerned executive(s). In case particular executive(s) can’t be released, Stations /
Regions have to intimate CBE within 15 days of communication. Head of BE at Station / Region will carry out
necessary coordination for release of assessors.
7.0 Incentive to Assessors
In order to attract talented people to become assessors and to ensure that the quality of the assessment
process is further improved, the following incentives have been decided:
i. Linkage to PACE under special projects. ii. Felicitation at respective station /

location (during 15th August / 26th January).
iii. Ceremonial dinner by Station Head along with family members. iv.
Coverage in Newsletter, House Journal, local communication channels.
v. Blazer and tie (colour ‐ Navy Blue) may be given to each eligible assessor as per actual but limited to a
maximum of rupees five thousand.
a. Eligibility: Assessors nominated for assessment team by CBE for the first time and completing assessment
duty are eligible. However assessors who have already claimed for blazer and tie in the previous year(s)
under the scheme will become eligible for fresh set only after completing three assessments. (Respective
BE Heads to maintain a record).
b. Individual assessor nominated for assessment has to take approval from Station Head / competent
authority for expenditure towards purchase of blazer and tie, routing the note through BE group at station
/ respective location. After approval, assessor may purchase blazer and tie prior to proceeding for site
visit.
c. The claim for expenses towards blazer and tie may be submitted after completion of assessment duty
under the head contingent claim. In each case the claim has to be routed through BE group at station /
respective location.
8.0 Time Schedule
Important dates of the assessment process are given in the table below. These dates are to be strictly adhered
to in order to complete the process in time. The months indicated in the table pertain to the relevant financial
year of assessment cycle.
xix
xx
*BE group at station has to prepare assessment schedule and communicate the same to Quality Champion
xxi
and Senior Assessor.
9.0 Duration of Assessment
Duration of assessment shall be of five working days.
10.0 Logistics & Coordination
i. Boarding and lodging arrangements for the Assessment Team members are to be made by the station
BE group.
ii. Travel arrangements for Quality Champions will have to be made by BE group at station. iii. Two AC cars
to be arranged for local movement of Assessment Teams during the assessment period.
iv. AC cars for Quality Champions and Assessment Team for their (to & fro) journey from nearest airport /
railway station to be arranged. A separate room for meeting purpose with necessary infrastructure e.g.
LCD projector, computer etc. for team.
v. Complete coordination with Assessment Team including the Quality Champion is to be done by BE group
at station.
11.0 Expenditure and Budget
i. All expenses towards making of Position Report will be borne by station.

ii. The expenses towards Quality Champion (tour, travel, lodging, boarding and fee) will be borne by the
station. BE group at station to take prior approval from Station Head to this effect. Prior to
commencement of site visit, BE group at station should ensure and complete vendor registration of
Quality Champion (in case same is not registered in SAP). BE group at station to complete payment
formalities and ensure timely payment of fee to Quality Champion.
iii. Tour & Travel expenses of NTPC assessors will be borne by respective place of posting as normal tour.
iv. Assessment Team including the Quality Champion shall be treated as Company guest during assessment
period.
v. Expenses for conducting Jury meeting and awards ceremony will be borne by BE group, CC. vi. BE group
at station has to keep budget provision for above under head miscellaneous expenses either in
Maintenance Planning (MTP) or Technical Services (TS) budget.
vii. BE group at station and RHQ must also ensure provision of budget for business excellence related training
and workshops.
12.0 Jury
The Jury shall consist of NTPC’s Directors and one to two eminent professionals. Each year the formation of
the Jury shall be done by CBE, with the approval of CMD. ED / HoD (BE) shall act as a secretary to the Jury.
xxii
Excellence Level Score Band

World Class 700+
EL‐8 – 700
EL‐7 – 650
EL‐6 – 600
EL‐5 – 550
EL‐4 – 500
EL‐3 – 450
EL‐2 – 400
EL‐1 – 350
xxiii
13.0 Scope of Jury
xxiv
The strengths, opportunities for improvements (OFIs) and marks of the assessment will be presented to the
Jury. The scope of the Jury shall be:
i. Normalization of marks
ii. Finalization of results
iii. Decision about the awards
14.0 Levels of Excellence
The final scores are awarded out of maximum 1000 marks and based on score band following levels of
excellence are envisaged:
15.0 Presentation of Awards
The results of the assessment process shall be announced and awards as decided by the Jury shall be
presented during O&M Conference, which is held every year on 13 th February.
16.0 Ensuring Quality of Assessors
All assessors are required to submit their complete assessment report at least 15 days before start of the site
visit. Assessors who are not adhering to this timeline and / or are getting poor rating from Quality Champion
shall not be considered for assessment duty from the subsequent cycles.
xxv
Criteria Response Guidelines

Chapter 2
xxvi
Criteria‐1
xxvii
(Station Management)
Sub‐criteria
1.1 Actualization of NTPC’s Vision, Mission and Values
1.2 Ensuring the effectiveness of management system
1.3 Engaging with external stakeholders
1.4 Promoting a culture of excellence with employees
Key Themes
• Setting and communicating direction and norms of behavior
• Champion the NTPC’s Values & ethics
• Develop a shared leadership culture & leading by example
• Review progress based on balanced results & risk assessment
• Develop and improve the management system and development of capability for sustainable benefits to
stakeholders
• Go beyond regulatory compliance
• Develop approaches to know, understand and respond to external stakeholders
• Develop approaches to engage with stakeholders to generate new ideas & innovation
• Promote a culture of involvement
• Promote culture that supports generating new ideas & innovation
• Responding with new ways of working
• Allocate resources for long term plans for sustainable competitiveness
xxviii
Criteria 1 ‐ Station Management
xxix
1.1 Actualization of NTPC’s Vision, Mission and Values
a. Has the station developed its own Vision cascaded from NTPC’s Vision? Has it been translated into
actionable and understandable deliverable down to functional and departmental levels?
[Cr 4]†
b. What steps have been taken by station to reinforce practice of core values? [Cr 6.1]
c. What efforts have been made to improve merit order rating , improve marginal contribution and
mitigate under recovery with respect to new CERC norms? Give specific examples to demonstrate effect
of the efforts. [Cr 8, Cr 5]
d. What steps are taken to undertake self‐learning and ensure learning of employees on new ways of
working to continuously innovate and improve the performance of station? For example promoting
safety, health, environment, cost reduction and driving Business
Excellence etc. [Cr 3‐4, Cr 5‐8]
1.2 Ensuring the effectiveness of management system
a. How Integrated Management System (IMS) is leveraged to incorporate latest developments in business
and systems (like CERC norms etc)? [Cr 4, Cr 7‐8]
b. How non conformities (NCs) of IMS are reviewed for quality of NCs so as to ensure
implementation of these standards in letter and spirit? [Cr 4, Cr 7‐8]
c. What steps are being taken to ensure effectiveness of IMS (OHSAS‐18001 being part of IMS) so that best
in class occupational health and safety practices are implemented? How 5S is leveraged to this
objective.[Cr 4.1]
d. How result parameters defined in the BE Model are understood, monitored through proper target
setting and reviewed so that these parameters are addressing long term plan & MoU?
Give examples of such review mechanism. [Cr 2.2 b, Cr 4, Cr 5‐8]
e. How it is ensured to conduct various surveys listed in the BEM and its analysis. How this process is
integrated with IMS for review, analysis, responsibility matrix, timelines and frequency? [Cr 3‐4, Cr 5‐8]
f. How the issues flagged in various audits and bipartite forums are reviewed for their timely resolution
and escalation in case of non‐resolution? Please also mention pendency (aging) of important issues. [Cr
4, Cr 7.2, 8.2]
g. How employees are engaged and encouraged to give suggestions for refinements in policies, systems
and procedure for accelerating decision making? List suggestions / proposals which have been
implemented in the station or sent to Region / CC for consideration in the last one year. [Cr 2.3]
† [Sub criteria guidance points are cross referred with other criteria/sub criteria guidance points]
xxx
1.3 Engaging with external stakeholders
xxxi
a. How the Station Head and respective HoDs interact with customers, vendors, representatives of society
and Government agencies for (i) Smooth operational management (ii) Building long term relationship
and (iii) Undertaking joint improvements? How top issues and concerns of key stakeholders are
identified for response. [Cr 2.1, Cr 4]
b. Describe the effectiveness of stakeholder engagement by giving data of issues & concerns flagged,
analyzed, resolved and also status of pending issues for each stakeholder segment. [Cr
2.1, Cr 4‐7]
c. What actions are being taken for selling of URS, Ash disposal and other business aspects? [Cr
5, Cr 8]
d. How employees are encouraged to participate as speakers in professional forums for brand image
building, policy advocacy, and knowledge dissemination on new technology? Give supporting data of
last one year. [Cr 6, Cr 7]
e. Is there any approach to identify particular CSR theme for long term to create lasting impact on society?
What are the unique or innovative activities done towards fulfillment of this theme in last two years?
[Cr 7.2 b(v)]
f. How Government agencies, NGOs, employees and members of the community are involved in the
implementation of CSR activities? Give examples supported with data. [Cr 7]
g. How the brand image is analyzed through press coverage, news items in print & electronic media,
internet etc., what are the areas identified for brand image improvement? What actions have been
taken to address causes of negative reporting about station in last one year? [Cr 7.1 e]
h. How the relevant information is shared with external stakeholders? [Cr 2.1e]
1.4 Promoting a culture of excellence with employees
a. How employees are encouraged and recognized to successfully develop and deploy lead and lag
indicators through detailed process mapping? [Cr 6.2]
b. How it is ensured that SMART targets are set for various parameters as described in BEM? [Cr
1.2d & Cr 5‐8]
c. How employees are motivated to involve in improvement activities (including generating new ideas and
innovation)? [Cr 6.2d, e]
d. How employees at appropriate levels are motivated to excel at external awards / recognition forums
e.g. meritorious performance awards of GoI, CEA ranking based on PLF and energy conservation award
by BEE? Support with data on number of awards applied, awards received.
[Cr 8.1d]
e. How employees are motivated to excel at internal award / recognition forums e.g. Swarn Shakti Awards
and ranking based on PEM? Support with data on number of awards applied, awards / ranking received.
[Cr 8.1d]
xxxii
f. How effective implementation of reward and recognition policy is ensured? [Cr 6.2e ]
xxxiii
g. How job rotation policy is being implemented? [Cr 3.2f]

h. What initiatives are being taken to sensitize employees for water conservation, energy conservation and
protection of environment including paper consumption? [Cr 4.2, 4.9, 7.2d]
i. Has the key opportunities for improvements from the previous year BE assessments are identified,
prioritized and acted upon? Support with examples of actions taken and effects of the actions.
j. How the right employees are selected for developing them as NTPC BEM assessors and their release is
ensured for assessment of other stations? How many employees have actually done assessment of
other NTPC stations in the last three years? [Cr 3.2e, 6.2b]
xxxiv
Criteria‐2
xxxv
(Planning & Strategy)

Sub‐criteria
2.1 Strategy to manage change based on understanding of external environment, needs and expectations
of the stakeholders
2.2 Strategy based on analysis of internal performance and capabilities of Station
2.3 Simplifying and accelerating decision making process
Key Themes
• Understanding customers, employees, partners, society, and investors’ needs and expectations over
different time horizons
• Understanding opportunities and threats in the environment over different time horizons
• Picking up lead indicators from market search, surveys, needs and expectations
• Understanding strengths and weaknesses of station
• Benchmarking to understand relative strengths & weaknesses
• Process simplification and reengineering Removing bottle necks in the system
xxxvi
Criteria 2 ‐ Planning & Strategy
xxxvii
2.1 Strategy to manage change based on understanding of external environment, needs and
expectations of the stakeholders
a. How station understands, anticipates and analyses the long and short‐term impact of changes to
relevant political, legal, economic and regulatory compliance requirements, volatility and uncertainties
faced by power sector and derive challenges for the station which are likely to impact station’s
competitiveness and relative position in the power market?
b. How station predicts, gathers and analyzes the present and future needs and expectations of
Government, customers, regulators, society, employees (including retired employees), vendors and
suppliers, for development and review of station’s strategy and supporting policies? [Cr 1.3a, b]
c. How station identifies, understands and anticipates opportunities and threats, based on analysis of the
needs and expectations of stakeholders? How these inputs are fed back to the planning and strategy
formulation process at station and to the concerned Corporate function(s)?
d. In line with the challenges(refer Glossary of terms), needs, expectations and threats :‐
i. What changes, plans and initiatives have been started at the station? ii. How employees are encouraged to
provide creative ideas? iii. How OEM, coal supplier, customers and other stakeholders are involved to seek
their ideas and commitment?
iv. What initiatives are being taken for developing requisite competencies of employees to prepare them for
meeting these challenges?
v. How suitable budget provisions (including resources) are made available?
e. How anticipated changes (as relevant) are communicated to employees, customers, society, and
partners etc?
f. What actions are taken to contribute to renewable energy portfolio of NTPC and use of renewable
energy for in house requirement?
2.2 Strategy based on analysis of internal performance and capabilities of station
a. How the performance trends of key parameters (including lead and lag indicators given under results
criteria 5‐8) are reviewed for monitoring the performance? How are these analyzed to understand
causes of negative / flat / fluctuating trends to derive learning and concerns for development of suitable
action plans to bridge the performance gap? Give examples of improvement planned and achieved for
important performance indicators for last one year.
[Cr 1.2d, Cr 5‐8]
xxxviii
b. How the concerns derived from (i) Analysis of internal performance, (ii) Benchmarking performance
xxxix
with peer stations & other IPPs, (iii) Review forums like ROPR, RMC & apex meetings at CC are prioritized
for developing set of lead and lag indicators and defining targets thereof? [Cr 1.2d, Cr 5‐8]
c. Based on analysis of internal performance what is the action plan to improve or sustain the
ECR? [Cr 5.2]
d. Based on analysis of internal performance, what is the prioritized action plan for renovation and
modernization to aim for achieving design value of efficiency and availability? [Cr 4.9]
e. Based on analysis of performance, what strategies have been developed to reduce FO, APC,
Inventory, Non Moving Items (NMIs) and Demurrage? [Cr 4, Cr 8.2]
f. What are the strategies to achieve GoI meritorious performance award, achieve top rank in PEM,
achieve ranking based on PLF by CEA, and Swarn Shakti award under different categories? [Cr 8.1d]
2.3 Simplifying and accelerating decision making process
a. What issues have been identified for simplifying and accelerating decision making process, what actions
have been taken locally, and what have been escalated to Corporate function(s) for resolving these
issues? Give examples of last one year. [Cr 1.2g, Cr 4]
b. Based on analysis of internal performance, challenges, what suggestions / proposals have been given to
Corporate function(s) for the refinement of systems, procedures, policies, manuals (e.g. O&M manual,
purchase manual etc)? Give examples of last one year. [Cr1.2g, Cr
2.1d]
c. What constraints have been identified in achieving the set targets and implementing the action plans?
[Cr 1.4b]
xl
xli
Criteria‐3
(Human Resources)
Sub‐criteria
3.1 Productivity and understanding perception of employees
3.2 Developing knowledge and capabilities of employees
3.3 Involving, aligning and communicating with employees
3.4 Employees are rewarded, recognized and cared for
Key Themes
• Development & alignment of HR policies, strategies, structure & plans with business strategy & processes
• Feedback for improvement
• Identification of gap in knowledge and skills, present / future
• Development & empowerment
• Forums for involvement (communication, consultation)
• Co‐problem solving Co‐decision making
• Co‐creating
• Recognition to promote and sustain improvement.
• Safety, health, work environment, welfare activities & work life balance
xlii
xliii
Criteria 3 ‐ Human Resources
3.1 Productivity and understanding perceptions of employees
a. How it is planned to optimize manpower utilization (including contract manpower) in tandem with CC‐
HR to enhance employee productivity as defined by measures given at Cr 6.2a?
b. Based on employee perception surveys, what action plans have been developed and implemented to
improve the perception during the next cycle of respective surveys? Has there been any measurable
impact? [Cr 6.1a]
c. How the feedback gathered from employee perception surveys is used in improving HR policies, systems
and procedures? Give examples of improvements implemented at local level and also those forwarded
to Corporate for needful in last one year.
d. How feedback from bipartite forums (involving TU, Association) and various participative forums, like
Regional Joint Participative Council (RJPC), House Allotment Committee (HAC), Township Advisory
Committee (TAC), and Canteen Committee etc are utilized? Please share some improvements made in
last one year.
3.2 Developing knowledge and capabilities of employees
a. How the skills and competencies gaps are analyzed to link it to Training Need Assessment
(TNA).
b. How is it ensured that training is provided as per the individual Training Need Assessment
(TNA)? [Cr 6.2 b]
c. What efforts are made to ensure that eligible employees are sent for planned career development
interventions and leadership development programs? How feedback from such programs is used to
bridge the gap in competencies of the employees? [Cr 6.2 b & c]
d. How effectiveness of training and development programs is measured? Has the feedback on training
effectiveness been used to improve the training policy / philosophy, training modules, training
methodologies etc? Support with examples of the last one year. [Cr 6.2b]
e. How employees are encouraged to take part in BE Assessment Process as assessors to other stations.
How selection of employees for sending to assessor training is done? How it is ensured that assessors
are released from station for assessment duty? [Cr 6.2b]
f. Is job rotation taken up in a planned way? Is there any measurable target for this activity?
Please share the targets vis‐a‐vis the achievement for past one year. [Cr 1.4g]
g. Steps taken to optimize contract employees? Give brief about any training provided to contract
employees?
xliv
xlv
3.3 Involving, aligning and communicating with employees
a. How innovation and creativity is being promoted at workplace? Do employees actively participate in
various forums / initiatives meant to enhance knowledge sharing and creativity? Please share best
practices that have been implemented in last one year as per the format suggested in BEM. (Maximum
three practices). [Cr 1.4c, Cr 6.2]
b. How good practices / learning from other stations (within NTPC and outside) and from different forums
(e.g. functional heads meets, workshops, conferences, visits etc) are captured and disseminated among
employees. Give examples of implementation of such practices in last one year. (Maximum three
practices).
c. How employees are encouraged to give suggestion(s) for improvement? [Ref in Cr 6.2b]
d. How contract workers and contracting agencies are encouraged to give suggestions? [Cr 6.2]
e. What efforts have been made to increase awareness about Knowledge Management Portal (KM Portal)
and encouragement to use it? What good practices / innovations have been uploaded to the KM Portal
/ station intranet in last one year?
f. How effectiveness of communication mechanism is ensured by the station? Give data for last one year
on
i. Number of communication meeting held with TUs and Association.
ii. Number of agreed issues resolved as % with TUs and Association.
iii. Number of open forums for employees held by HR to elicit employee feedback on HR services and number
of agreed issues resolved as %.
iv. Number of agreed issues of TU and Associations not resolved with duration of pendency.
v. Number of grievances (under grievance policy) received versus resolved.
3.4 Employees are rewarded, recognized and cared for
a. What steps have been taken to promote work‐life balance? Give few examples. What new welfare
initiatives have been implemented to improve quality of life in the last one year? [Cr
6.2 f].
b. How workplace health, safety and ergonomics are being addressed? Bring out the practices adopted to
ensure the safety and health of people including contract labour. [Cr 4.1]
c. What steps have been taken to promote occupational health awareness among employees based on
the analysis of percentage of employees diagnosed under obesity, diabetes, hypertension, low backache
and other occupational diseases? Present results of measurable impact of the actions taken in the last
one year.
d. How effectiveness of reward & recognition system is ensured to improve motivation of the employees
to take part in improvement activities? Give examples where reward and recognition scheme was
invoked to felicitate such cases in last one year. [Cr 6.1, Cr 6.2]
xlvi
e. What initiatives are taken to retain employees, especially young work force / ETs? [Cr 6.2 g]
xlvii
f. Practices followed to reward / recognize contract agency. [Cr 6.2h (ii) ]
xlviii
Criteria‐4
xlix
(Functional Excellence) Sub‐criteria

4.1 Safety
4.2 Environment Management
4.3 Contracts & Materials
4.4 Fuel Management
4.5 Chemistry
4.6 Mechanical Maintenance
4.7 Electrical Maintenance
4.8 C&I Maintenance
4.9 Maintenance Planning, Energy Conservation, EEMG & Operations
l
li
Criteria 4 ‐ Functional Excellence
4.1 Safety
a. Present data to show timeliness of audits. Brief on findings of latest audits (external and internal safety
audits).
b. How effectiveness of deployment of safety standards is checked? (e.g. analysis of NCs of
OHSAS and safety audits).
c. Severity rate, frequency rate, incident rate, unsafe acts / conditions reported, unsafe acts / conditions
acted upon, non‐reportable accidents, near miss, fire incidents (plant & township), number of safety
reviews done for agencies and action plan thereof, safety awards / accolades received, audit actionable
‐ % open points (YTD), aging of open points (no of open points less than 60 days old, more than 60 days
old ), number of safety training programs conducted, health check up conducted on employees working
on hazardous areas, number of mock drills conducted, % actionable implemented from mock drills.
d. Case dissemination based on NTPC internal report, relevant external reports.
e. Initiatives for increasing involvement of employees and associates through measures like case studies,
suggestion scheme, competitions and publicity etc.
f. Number of checklist, formats revised based on issues raised from equipment, human safety, and
ergonomics standpoint.
g. Planning and monitoring for competency development of employees towards handling of safety
function in professional and effective manner at stations through measures like training, interactive
sessions, industrial visits, professional lectures etc.
h. Review and updation of safety systems to meet current and future needs of NTPC.
i. Benchmarking of safety performance and practices for continual improvement.
4.2. Environment Management
a. Lead and lag indicators that have bearing on business results. Station shall pick up suitable lead and lag
indicator from exhaustive list available on BE Portal. The idea is to present critical few indicators with
their target, trend, comparison and comment on cause and effect of such trend.
b. Some of the recommended areas are: ‐ renewal of statutory requirements, statutory compliance, water
cess, afforestation, AAQMS, letters / show cause notices from Central/State Pollution Control Board
(CPCB / SPCB), penalties imposed, BGs submitted, BGs encashed, rebates not allowed, compliance of
National Green Tribunal (NGT) orders. [Note: In each case (NGT) give brief account of compliance level
and corrective measures taken to avoid recurrence in case of default.]
c. Present data of environment budget (target versus utilized).
lii
d. What improvements have been made to conserve natural resources through benchmarking studies,
liii
energy audits and improvement projects? Briefly comment on the effectiveness of ISO
14001 and improvements made based on audit findings.
e. What new technologies have been introduced during the last one year in the field of energy
conservation, water conservation, measurement of emissions and pollution control?
f. Present data of paper consumption for last three years.
4.3. Contracts & Materials
a. What steps are taken to reduce procurement cycle time? How the overdue indents are being reviewed
for accelerating their progress?
b. Average lead time for Limited Tender cases.
c. Average lead time for Open Tender cases
d. Give data on aging of Indents in three categories i.e. purchase requisitions (PRs) pending for purchase
order (PO) conversion (number of PRs older than 90 days but less than 120 days, older than 120 days
but less than 180 days and older than 180 days).
e. Number of POs pending for delivery beyond delivery period (at the end of financial year).
f. Number of POs placed each year (trend for last three years).
g. Average cost of placing PO (last year data).
h. Efforts to optimize NMI. Give last three years data of number and value of NMI in store.
i. Efforts to optimize inventory. Give trend of Inventory Turnover Ratio, and Inventory Value.
Also indicate inventory item groups having increasing trend.
j. Scrap disposal and analysis and actions taken on obsolete items.
k. Details of outcome of vendor satisfaction survey conducted as per approved format.
l. Is there any approach to meet with vendors / suppliers & service providers? Present the analysis and
outcome of such meet and suitable course of action based on this.
m. How vendors / suppliers / partners are recognized for their contribution to business through formal /
informal means? Supplement with data of vendors / suppliers recognized.
n. How Small to Medium Enterprise (SME) vendors are managed as per statutory requirements?
4.4. Fuel Management
liv
b. Some of the recommended indicators are:‐ generation loss due to coal, HFO used due to nonavailability
lv
of coal and / or poor quality of coal, coal required versus coal tied up, demurrage (claimed by Railways,
paid, waived off), rake turn over time, number of times coal inventory was less than desired stock as per
norms or criticality, deviation in coal quality and quantity, deviation in billed amount (due to quality and
quantity), under recovery with respect to norms on coal quantity, belt mapping, CHP Safety Index as per
OS CHP Index, coal transportation cost (Rs / ton / km) for MGR & Railways, incidences of coal mill
performance poor (based on output sieve analysis) due to coal quality in a month, number of incidences
of foreign objects in mills in a month.
c. Meeting schedule with coal suppliers, Railways and OEMs. Structured feedback and survey from coal
suppliers, Railways and OEMs. Analysis, outcome and actions based on such interactions and feedback.
4.5. Chemistry
b. Some of the recommended indicators are:‐ DM water supply, DM water cost, clarified water production
cost, zero water discharge, cooling water chemistry, critical chemical parameters and safety.
4.6. Mechanical Maintenance
a. Lead and lag indicators that have bearing on business results. Station to pick up suitable lead and lag
indicator from exhaustive list available on BE Portal and similarly develop lead and lag indicators for
other important areas for which the indicators are not available on BE Portal. The idea is to present
critical few indicators with their target, trend, comparison and comment on cause and effect of such
trend.
b. Stations shall include indicators around:‐ Boiler, Turbine, Cooling Tower, Ash Handling and CW pump
house.
4.7. Electrical Maintenance
a. Lead and lag indicators that have bearing on business results. Station to develop suitable lead and lag
indicator for Electrical Maintenance function on the basis of lead and lag indicators of other areas which
are already available on BE Portal. The idea is to present critical few indicators with their target, trend,
comparison and comment on cause and effect of such trend.
b. Stations shall include indicators around main plant and offsite.
lvi
4.8. C&I Maintenance
lvii
b. Stations shall include indicators around main plant and offsite.
4.9. Maintenance Planning, Energy Conservation, EEMG & Operations
a. What are the priority areas / equipment (in short / medium / long term) from reliability and
maintainability point of view? [This could be based on Predictive maintenance (PdM) results, repeat
break down work orders and Reliability centered maintenance (RCM)].
b. How risk plots and risk grids are being used to decide maintenance priorities of each unit? Give
examples.
c. Present comparative data (for efficiency, capability and availability etc) of pre and post renovation and
modernization for units for which renovation and modernization was done in the last one year.
d. Gap analysis and improvement action plan for – efficiency, auxiliary power consumption, forced outage,
specific oil consumption, partial loading, draft power and condenser vacuum.
e. Critical parameter deviations from plant life maximization standpoint and action plan implementation.
f. 105% capacity gap analysis and action plan implementation.
g. Multiple unit tripping analysis and action plan implementation.
h. Present data on number of RCM projects taken and number of PdM measurements added as a result of
recommendations thereof in the last one year.
i. Present data on number of breakdown WOC after implementation of RCM recommendations.
j. What new technology equipment and machinery have been installed in last one year to improve
availability, capability, reliability, cost of generation, and ease of operation? What are their expected
benefits?
k. What new technologies have been introduced in the last one year in the field of energy conservation,
water conservation, measurement of emissions, and pollution control?
l. How many operation checklists / formats have been revised in last two years? Relate the changes made
with triggers of change. (e.g. start up time reduction and quality of startup).
m. How interface with other functions is managed. (Deployment of internal customer satisfaction
approach).
lviii
lix
Criteria‐5
(Beneficiaries Results)
Sub‐criteria
5.1 Perceptions
5.2 Performance Indicators
Key Themes
• Reputation and image
• Customer relationship and support
• Customer engagement
• Complaints and compliments
• External recognition
lx
Criteria 5 ‐ Beneficiaries Results
lxi
5.1 Perceptions
These are the beneficiaries’ perceptions of NTPC. They may be obtained from a number of sources, including
beneficiary surveys, focus groups, compliments and complaints. These perceptions should give a clear
understanding of the effectiveness, from the beneficiary’s perspective, of the deployment and execution of
the NTPC’s beneficiary strategy and supporting policies and processes.
a. Give tabular data of any improvement, refinement, changes made in approach or initiative started based
on beneficiary feedback (based on last one year interaction) from structured forums listed below:
i. OCC ii. Regional Power Committee meeting iii.
Commercial Committee meeting iv. Regional Customer
meet,
v. Customer support workshops, one to one interaction
b. Give details of outcome of beneficiaries’ perception (customer survey) conducted by RHQ as per
Corporate Commercial guidelines (any amendment thereof), its analysis, comparison of scores of last
two consecutive surveys , its comparisons with other regions, action plan and action taken.
c. How relationship building approach with beneficiaries is conducted in structured way at station? Give
details of new initiatives / best practices undertaken by the station to enhance customer relationship.
d. Give details of outcome of perception survey ( if any) conducted for RLDC by the station on technical
and other boundary management issues, its analysis and action plan and action taken.
e. Give beneficiary wise tabular data on benefits or commendation received from customers for technical
support like efficiency improvement services to customers, sharing of best practices and other likewise
customer support services.
f. Explain “intention to repurchase” by supporting facts like:‐ demand supply gap in the region (beneficiary
/ state wise), increase in capacity addition by NTPC in the region vis‐à‐vis capacity added by other
players in last two years, dependency of beneficiaries on NTPC (beneficiary wise NTPC’s total MUs
purchased in total portfolio of beneficiary for the last three years).
g. Give brief note to understand about customer accolades & appreciation based on :
i. Impression Book / Visitor Books / Meets / Forums ii.
View of dicoms / State Utility Chairman iii. View of
State / Central Government. iv. Media Coverage.
lxii
lxiii

These are the internal measures used by NTPC in order to monitor, understand, predict and improve its
performance and to predict their impact on the perceptions of external customers. These indicators should
give a clear understanding of the efficiency and effectiveness of the deployment and execution of the
customer strategy and supporting policies and processes.
a. Give chart, graph, tables to understand ‘Competitiveness’ from NTPC’s perspective covering but not
limiting to the following :
i. Beneficiary state wise merit order rating of the station for the last year.
ii. Comparison of average power purchase price (Rs/unit) of the Station beneficiaries from
NTPC stations and other power suppliers (last financial year). iii. Variation in ECR
(annual average) for last three years.
iv. Trend of ECR component in cost of generation of NTPC stations.
b. Give details of the following parameters to understand business challenges with respect to sell of
power :
i. URS trend. Give bar graph showing availability of URS month wise in MUs vis‐à‐vis URS sold. Reason for
the gap if any and action plan to mitigate this.
ii. Projected URS for current and next financial year. iii. Backing down of NTPC power (in MUs) and purchase
of power by beneficiaries (in MUs) from other sources for the same period in last one year. Instances of
beneficiaries purchasing costly power and backing down NTPC’s power.
c. Give tabular data on number and type of complaints / grievances, their handling and response time
based on:
i. Commissions / omissions, where Commercial division has not complied with the provisions of PPA, Tariff
notification and other statutory & regulatory requirement (ISO
Document: CC: CD.QP.GEN – 13). ii. Entire process of billing and realization
including soft skills. iii. Any other forum of interaction.
d. Give tabular data of any improvement, refinement, changes made or initiatives started based on input
/ feedback (which is worth considering for customer perception improvement) captured during formal
/ informal interaction through touch points like :
i. SEB manger for respective beneficiaries. ii. Head of Commercial and RED as a single window.
lxiv
e. Brief account of strategic triggers emerging from analysis of beneficiaries health based on aspects like
lxv
realization data for each beneficiary, beneficiary’s capacity to pay, beneficiary’s profit /loss as per
audited accounts, T&D loss reduction, beneficiary’s insight and intelligence report etc.
f. Give realization data for each beneficiary.
g. Total rebate offered and comparison of total rebate with other power generators like NHPC, DVC etc.
lxvi
Criteria‐6
lxvii
(HR Results) Sub‐criteria

6.1 Perceptions
Key Themes
• Satisfaction, involvement and engagement
• Target setting, performance management and productivity
• Competency, training and career development
• Effective communications & internal communication
• Working conditions
• Involvement and engagement
• Rewarding and recognizing
• Leadership performance
• Welfare and quality of life
lxviii
Criteria 6 ‐ HR Result
lxix
6.1 Perceptions
These are the people’s perception of the Organization. They may be obtained from a number of sources,
including surveys, focus groups, interviews and structured appraisals. These perceptions should give a clear
understanding of the effectiveness, from the people’s perspective, of the deployment and execution of the
station’s people strategy and supporting policies and processes.
a. Give graphs / bar charts / tables to explain how scores of various attributes changed / improved in last
consecutive surveys with respect to target scores (covering a span of three years). How these surveys
have been analyzed and compared with other stations. Brief account of action plan made to improve
perception. Indicate the number of improvement projects undertaken based on surveys. Following
listed surveys* (station may also add if required) may be addressed :
i. Employee relations climate ii. Core values iii. Training and development iv. Service effectiveness for HR, IT
and F&A v. Township and welfare facilities vi. Reward and recognition vii. PACE(PMS) viii. Empowerment ix.
Medical satisfaction survey results (as being done for “Best Health Services Award under Swarn Shakti” but
not included in compendium of surveys).

These are the internal measures used by the Organization in order to monitor, understand, predict and
improve the performance of the station’s people and to predict their impact on perceptions. These indicators
should give a clear understanding of the efficiency and effectiveness of the deployment and execution of the
station’s people strategy and supporting policies and processes.
a. Employee productivity ( last three years trend)

i. Give data of manpower in position vis‐à‐vis sanctioned
strength. Also give data of contract workers.
ii. Profit per employee iii. Value added per employee iv.
Man/MW ratio
v. Productivity award ( as per Swarn Shakti )
lxx
lxxi
b. Training, development and competency management

i. Give data on NTPC BEM assessors trained, assessors selected for assessment of other stations, number
of assessors who were released for assessment ( last three years trend).
ii. Give data of TNA actualization department wise. Also supplement with tabular information on
department wise number of employees with less than 3 or more than 10 training man days for last
financial year.
iii. Give data on % of eligible employees participated in planned career interventions viz. Foundation
Course, Capsule Course, Enhancing Management Competencies (EMC) and
Advance Management Program (AMP) etc. (last three years trend). iv. Give data on training
effectiveness of various training programs ( last one year).
c. Leadership development ( last two years trend)

i. % of eligible employees participated in Assessment development center (ADC). ii. % implementation of
Individual Development Plans (IDPs ) for ADC participants
d. Employee involvement, participation and engagement

i. Give data on suggestions per employee, suggestions received, suggestions accepted and implemented
in last one year. Also present best three suggestions which were implemented and rewarded in last one
year. [Cr 3]
ii. Give data on response rates to various people surveys (last two years trend).
e. Reward and recognition ( last two years trend)

i. Give department wise data on reward & recognition given as per scheme ii. Give data on appreciation
letters, recognitions given to employees for developing / deploying lead and lag indicators [Cr 1.4]
f. Employee welfare, safety, quality of life (last two years trend)

i. Bar graph of actual expenditure versus budgeted of employee welfare head. Supplement with welfare
expenditure as a percentage of salaries, wages and benefits and welfare expenditure per employee
ii. Give data on number of people diagnosed with obesity, diabetes, hypertension, low backache, and other
occupational diseases.
g. Employee retention
i. Give data on attrition rate for last three years for young executives ( result to show attrition rate
for fresh employees / ETs).
lxxii
ii. Number of applications received ( cumulative ) for transfer from station to other location
lxxiii
( total number as on 31st March of last financial year)
h. Contract labour and agencies ( last two years trend)

i. Give data on ratio of contract labour to full time employees in unskilled, semi‐skilled and skilled
categories. This ratio for each category may be calculated as:‐ ( Average contract labour per month for
the calendar year ÷ average number of full time employees during the year).
ii. Give data on suggestions received from contract workers / contracting agencies for improvements, de‐
bottlenecking, and workplace improvement. Reward / recognition of contract workers / contracting
agencies on 15th August / 26th January for commendable job.
i. Legal cases pending ( last three years trend)

Give data on legal cases pending with age. Service matter / contempt cases, contract labour / labour cases,
land acquisition related cases and other miscellaneous cases.
lxxiv
Criteria‐7
lxxv
(CSR‐CD & Sustainability Results) Sub‐criteria

7.1 Perceptions
Key Themes
• Environmental Impact
• Societal Impact
• Grievance & feedback
• Awards and media coverage
• Statutory & governance compliance
• Environmental & sustainability performance
• Societal performance
• Ash handling & utilization
• Water & energy conservation
• Audits & reviews
lxxvi
Criteria 7 ‐ CSR‐CD & Sustainability Results
lxxvii
7.1 Perception
This is society’s perception of the Organization. This may be obtained from a number of sources, including
surveys; reports, press articles, public meetings, NGO’s, public representatives and Government authorities.
These perceptions should give a clear understanding of the effectiveness, from the society’s perspective; of the
deployment and execution of the Organization’s CSR‐CD, environmental, sustainability strategy and supporting
policies and processes. a. Surveys
i. Third party community perception survey (last 2 surveys, frequency of survey as decided by
local management).
ii. Need assessment survey (NAS) (last 2 years). iii. Third party social impact evaluation (SIE)
survey (last 2 years).
[Note: Based on the outcomes of these surveys, present the top five implemented projects / programs showing
cross reference to the survey outcome indicating such needs; also present immediate and long term benefits of
these projects / programs, sustainability status of the programs / benefits after 6 months of completion and
upscale ability of the programs for beneficiaries].
b. Human development (From last two SIE surveys for top 3 beneficiary villages) [Refer Cr 1.3] i. Literacy
rate (15‐24 years) ii. Net enrolment ratio in schools (Class I‐V) iii. Infant mortality rate iv. Maternal
mortality rate v. Under 5 mortality rate
vi. Cases of major diseases‐ e.g. Malaria, TB
c. Awards & accolades

i. Sustainability awards / accolades in 3 three years. ii. CSR
awards / accolades in last 3 years
[Note: In each case give ratio of the total number of awards received to awards applied.]
d. Grievance & feedback
i. Grievance received and resolved ii. Feedback received and

acted
[Note: Briefly comment on the response time for preventive / corrective measures.]
e. Appreciation letters and media coverage

i. Appreciation letters
lxxviii
ii. Positive media coverage iii. Negative media coverage
lxxix
[Note: In case of negative media coverage, give brief account of corrective measures taken by the Station to avoid
recurrence].
These are the internal measures used in order to monitor, understand, predict and improve the performance
and to predict the impact on the perceptions of society. These indicators should give a clear understanding
of the effectiveness and efficiency of the approaches adopted to manage the Organization’s societal and
environmental responsibilities.
a. Environmental & sustainability performance

i. CO2 emission (metric ton) and CO2 emission intensity (gm / Kwh) ii. ESP efficiency before and after R&M
iii. Volume / instances of significant spills related to oil and hazardous chemicals. iv. Waste disposal quantity
(ferrous, non ferrous, used oil, batteries, hazardous chemicals and e‐waste etc.)
v. Bio waste generated and % of the same used for methanation and vermicomposting. vi. Total waste paper
generated and % of the same recycled
vii. Solar PV modules & LED lights installed.
viii. Training of employees, contract labour, vendors, suppliers, local communities on aspects of sustainability
development
b. Societal performance
i. Budget allocated versus utilized for the various community initiatives. Also present the number of people
benefited per thousand rupees spent.
ii. Details of affirmative actions taken in respect of local hiring of workforce, both incompany and
outsourced, outlining the number of persons benefitted.
iii. Details of vocational training / livelihood training given to the local community members and the number
of persons benefited
iv. Employee volunteerism initiatives undertaken including the number of employees involved in
implementation of CSR activities. Also give details of the number of community persons benefited
v. List standout CSR activities well received by the society from impact standpoint. [Cr 1.3 point g]
c. Ash handling & utilization
i. Ash utilization % target versus actual ii. Ash water ratio design versus actual iii. Ash leaks reported
iv. Compensation paid due to ash leaks
v. Ash dyke management & balance life of ash dyke in months
lxxx
lxxxi
d. Water & energy conservation
i. Water balance study, specific water consumption reduction & water audit action plan implementation
ii. Total water intake iii. Water cycled & reused [%] iv. Water saved
v. Energy saved (MU).
e. Audits & review
i. Energy audit ii. Environment audit iii. Water audit iv. CSR audit
[Note: Present the data of % open points and also some critical comments of the audit outcomes in the last three
years.]
lxxxii
Criteria‐8
lxxxiii
(Business Results) Sub‐criteria

8.1 Key Strategic Outcomes
8.2 Key Performance Indicators
Key Themes
• Generation, profit
• Performance against budget
• Recognitions
• Cost indicators
• Operations management indicators and CERC norms
• Maintenance management indicators Audits and reviews
lxxxiv
Criteria 8 ‐ Business Results
lxxxv
8.1 Key Strategic Outcomes
These measures are key results defined and agreed in policy and strategies. The measures contained herein
for guidance are to be taken as key performance outcomes.
a. Generation
i. Annual sales ii. Annual generation (Solar also, if applicable)
b. Profit
i. PBT (Indexed)
ii. Net profit / unit
c. Budget utilization (target versus actual)

i. Revenue budget (i.e. O&M, CSR, EC and SD budget)
ii. Capital budget including Renovation & Modernization budget
d. Recognition for meritorious performance (during last three years)

i. Meritorious performance award received from the GoI ii. Ranking based on PEM, iii. Swarn shakti awards
iv. Ranking by CEA based on PLF
v. Energy conservation award by BEE
8.2 Key Performance Indicators
These measures are the operational ones used in order to monitor and understand the processes and predict
and improve key performance outcomes. The measures contained herein for guidance are to be taken as key
performance indicators:
a. Cost indicators
i. O&M cost with components:‐ repair & maintenance cost, employee cost and other station
overheads
ii. Ratios:‐ spares cost / total routine maintenance cost, Spares cost / total overhauling cost, variable
cost / energy charge (without DSM), total overhaul cost / total cost
iii. Average cost of generation per unit iv. Average annual fuel cost (domestic and imported) v.
Water Bill
lxxxvi
b. Operations management indicators and CERC norms
lxxxvii
i. Declared Capacity ii. Machine Availability (for gas stations) iii. PLF iv.
Deviation of O&M expenses vis‐à‐vis CERC norms (under recovery)
v. Additional deviation charges paid when frequency was => 50.1 Hz (Break Even frequency) and <= 49.7 Hz
vi. Net deviation charges paid (excluding fuel cost) vii. Stage wise annual marginal contribution viii.
Opportunity versus actual gain / loss in rupees and its ratio as per deviation settlement mechanism
ix. Net Heat Rate (PAT Cycle‐II target demonstration) x. APC
c. Maintenance management indicators
i. Overhauling start and completion time (scheduled versus actual). ii. Total
outage % iii. Partial loading loss % iv. Forced Outage (%) unit wise within 12
months of overhauling
v. Number of tripping, number of repetitive tripping or failures of same nature vi. Give data of total
avoided cost (notional) as result of PdM case studies
d. Audits and reviews
i. Data on % open points in Technical audit ii. Data on % open points in LMI
audit
Note
(i) Station may compare result parameters (5‐8) with station best, region best and NTPC best value wherever
external benchmark values are not available.
(ii) Coal / Gas stations may exclude parameters which are not applicable to them and mention so against
such parameters. Any additional parameters which are considered important for the station may also be
presented.
(iii) Any additional parameter in any criteria presented by station should have distinctly different numbers i.e.
should not replace existing parameters.
lxxxviii
Guidelines for writing the Position Report

Chapter 3
lxxxix
Chapter 3
xc
Guidelines for writing the Position Report
1.0 Position Report must contain a section titled “Organizational Profile”, containing a summary of up to 3
pages of information about the station and it should address the following areas:
a. Years of Operation
b. Station Vision & NTPC’s Mission
c. Station & Departmental Objectives
d. Employee Profile
• Executives, workman, supervisors and contract employees
• Average age of each category
• Educational levels breakup of each category: ITI, Diploma, Graduate/Post Graduates/MBA,
SSC or below
e. Knowledge Sharing
• IT infrastructure for KM
• With external stakeholders – vendors, customers etc.
f. Plant Technologies
• Number, size, type and age of units
• R&M plans for aging unit
• Type of technology & operator Interface
g. Organizational Structure
h. Customer Segments
• Discoms
• Others including potential customers
i. Customer Requirements
• Cost competitive power
• Reliable power
• Others as appropriate for the station
j. Critical Success Factors
xci
For example least cost generation, reliable generation, availability, fuel security, spares security or others
as appropriate for the station
k. Competition
• Existing
xcii
SN: Position No. of
Report Pages
1 Organisational Profile
03
2 Criteria 1 05
3 Criteria 2 04
4 Criteria 3 04 5
Criteria 4.1 04
6 Criteria 4.2 03
7 Criteria 4.3 05
8 Criteria 4.4 05
9 Criteria 4.5 03 10 Criteria
4.6 04
11 Criteria 4.7 04
12 Criteria 4.8 04
13 Criteria 4.9 05
14 Criteria 5 04
15 Criteria 6 04
xciii
16 Criteria 7 06
17 Criteria 8 05
15 Best Practices 03
Total (maximum) 75 Pages
xciv
• Potential competitors in future
xcv
l. Management System Certifications ISOs, OHSAS etc.
m. Business Environment & Risk

• Key challenges
• Business risks for station
• Effect of changes in the sector and entry of private players on station performance
• Effect of tightening of regulations and tariffs on station performance
• Stringent environment norms and CERC norms
• Ash disposal & utilization
• Perennial issues of critical importance
n. Planning
• Major goals set with milestones in the long term plan
• Major goals set in the MoU and non MoU
2.0 There will be eight criteria to be addressed in all. Accordingly, the structure of the Position Report will be
as given below:
Table 1: Coal stations
xcvi
Station may change number of pages allocated to different criteria but sum total of pages should be same as
xcvii
stipulated.
For gas stations page limit is 60 pages further Criteria 4.4 may have limited applicability. Gas stations may
suitably apportion pages to criterion so that total pages remain 60.
3.0 The Core committee shall consist of members who are participants of Station Management Committee
(SMC). The composition of the committee shall be duly approved by Station Head. The Core committee
will prepare station level Position Report for station as a whole, addressing all eight criteria. For this
Position Report, the Core committee should respond based on guidance points available in BEM against
each sub criterion. Criteria 4 shall be prepared by the respective function. Core committee should ensure
that no redundant or superfluous information is presented in the Position Report and page limit
mentioned above is strictly complied with. Core committee shall also furnish at the end, maximum three
best practices adopted by station in the last one year.
4.0 BE at RHQ to get concerned executive(s) from CRM group nominated from RED for response to criteria 5
and interaction with respective Assessment Team during on site assessment of stations. The station
commercial group in consultation with CRM group at Regional HQ will prepare the Position Report
addressing criteria 5. BE at RHQ to coordinate interface issues between station commercial and CRM
group at RHQ for this purpose.
5.0 The Position Report prepared by Core committee and CRM group shall address the guidance points against
each relevant sub criteria from NTPC Business Excellence Reference Manual and the focus should be on
results achieved with enabling actions, improvements made and challenges faced.
6.0 The complete process drill down and lead and lag indicators of functions should not be included in the
Position Report in total. However, they must be available with respective functions either as part of their
ISO document or a separate reference document.
xcviii
xcix
7.0 The size and font of Position Report should be:
20mm
Area for text and figure
mm
20mm
mm 15 mm
NOTE
15mm
c
 Text in 11 point Arial font and figure in 9 point Arial narrow.

 Page should be A4 size and loose bound.
 Number of pages should be strictly as per stipulated limit.
A4 size paper
Spiral
binding
area
Note: It was observed during previous cycles of assessment that Position Report has contained
as many as
150 pages. This has severely affected time devotion for assessment and quality of
assessment. Any Position Report having 10% more than stipulated pages will fetch negative
marks for exceeding page limit by as much percentage as it exceeds the specified limit. In any
case position reports containing more than 20% extra pages will not be considered for assessment.
ci
Abbreviation
A&R : Assessment and Review / Assessment and Refinement

AG : Actual Generation
APC : Auxiliary Power Consumption
AVF : Availability Factor
BA : Bottom Ash
BE : Business Excellence
BEM : Business Excellence Model
BM : Benchmarking
BP ; Business Plan
CBM : Condition Based Maintenance
CC : Corporate Centre
CEA : Central Electricity Authority
CFTs : Cross Functional Teams
CII : Confederation of Indian Industry
CISF : Central Industrial Security Force
COD : Commercial Operation Declaration
CRM : Customer Relationship Management
CSFs : Critical Success Factors
CSI / CGSI : Customer Satisfaction Index / Customer & Grid Operator
Satisfaction Index
CSR‐CD : Corporate Social Responsibility and Community Development
CTC : Cost to Company
DC : Declared Capacity
ECR : Energy Charge Rate
EDC : Employee Development Centre
EFQM : European Federation of Quality Management
EMD, BG : Earnest Money Deposit, Bank Guarantee
ESS : Employee Satisfaction Survey
EXIM BANK : Export Import Bank
FICCI : Federation of Indian Chambers of Commerce and Industry
FO : Forced outage
FRM ; Finance Review Meeting
HAC : House Allotment Committee
HoD : Head of Department
HoS : Head of the Section
ICH : Indian Coffee House
IOC ; Indian Oil Corporation
IMS : Integrated Management System

IPPs : Independent Power Producers
IR ; Industrial Relationship
IT : Information Technology
JVs : Joint Ventures
KM : Knowledge Management
KPI : Key Performance Indicator
LEADS : Leadership Evaluation and Development System
LMIs : Local Management Instructions
MIS : Management Information System
MoU : Memorandum of Understanding
MTP : Maintenance Planning
MUs : Million Units
NGO : Non Governmental Organization
OCC : Operation Coordination Committee
OCS : Organizational Climate Survey
OEM : Original Equipment Manufacturer
OES : Original Equipment Supplier
OFIs : Opportunities for Improvement
OH : Overhauling
OPI : Overhauling Preparedness Index
P&S : Planning and Strategy
PACE / PMS : Performance Management System
PBT : Profit Before Tax
PCs : Professional Circles
PCC : Protection Coordination Committee
PEM : Performance Evaluation Matrix
PI : Purchase Indent
PIPs : Performance Improvement Projects
PIs : Performance Indicators
RJPC : Regional Joint Participative Council
PLC : Plant level Council
PM : Preventive Maintenance
PdM : Predictive Maintenance (As applicable)
PO : Purchase Order
POG : Performance Optimization Group
PPA : Power Purchase Agreement
QCs : Quality Circles
R&M : Repair and Maintenance (As applicable)
R&M : Renovation and Modernisation ( As applicable)
RCA : Root Cause Analysis

RCM : Reliability Centre Maintenance
REAP : Risk Evaluation & Prioritisation
RHQ : Regional Headquarter
RLA : Residual Life Assessment
RMC : Regional Management Committee
ROCE : Return on Capital Employed
ROS : Regional Operation Services
RPCC, RLDC : Regional Power Coordination Committee / Regional Load
Dispatch Centre
SBU : Strategic Business Unit
SBU HEAD, HoP, Station : Head of the Strategic Business Unit / Head of Station / Head of
Head Project
SG : Scheduled Generation
SHE : Safety, Health, Environment
SLC : Shop Level Council
SMC : Station / Site Management Committee
SPCB : State Pollution Control Board
SWOT : Strength, Weakness, Opportunities, Threat
TAC : Township Advisory Committee
TBEM : Tata Business Excellence Model
TNA : Training Need Assessment
TUs : Trade Unions
UI : Unscheduled Interchange
UPL : Utility Power Limited
VC : Variable Cost
VDAC : Village Development Advisory Committee

NBEM Reference Manual 2016

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

NBEM Reference Manual 2016

Uploaded by

Copyright:

Available Formats

The Business Excellence Model 2016

Criteria 5 ‐ Beneficiaries Results ..................................................................................................................

Criteria‐6 6.1 Perceptions 50%

Criteria‐7 7.1 Perceptions 50%

CSR‐CD Results 7.2 Performance Indicators 50%

Criteria‐8 8.1 Key Strategic Outcomes 50%

Benchmark – A measured achievement for comparison and target setting purposes.

Customer – The recipient of products or services provided by the organization.

Perception – The opinion stakeholders have of the organization.

SMART Target – Specific, Measurable, Attainable, Relevant and Timely targets.

Products – Commercially distributed goods as a result of a fabrication, manufacturing or production process

Policy and Administration

Policy and Administration

1.0 Objective of Assessment Process

 Unified measure of excellence across the Organization.

2.0 The Model Structure

This will be carried out by an “Assessment Team” appointed by Corporate BE group.

5.0 Composition of Assessment Team

6.0 Release of Assessors from Workplace

SN: Activity Description Target Date

iv) Assessment window 15th November ‐ 31st

7.0 Incentive to Assessors

i. Linkage to PACE under special projects. ii. Felicitation at respective station /

8.0 Time Schedule

and Senior Assessor.

9.0 Duration of Assessment

Duration of assessment shall be of five working days.

10.0 Logistics & Coordination

11.0 Expenditure and Budget

i. All expenses towards making of Position Report will be borne by station.

Excellence Level Score Band

13.0 Scope of Jury

14.0 Levels of Excellence

15.0 Presentation of Awards

16.0 Ensuring Quality of Assessors

Criteria Response Guidelines

Criteria 1 ‐ Station Management

1.1 Actualization of NTPC’s Vision, Mission and Values

1.2 Ensuring the effectiveness of management system

1.3 Engaging with external stakeholders

1.4 Promoting a culture of excellence with employees

g. How job rotation policy is being implemented? [Cr 3.2f]

(Planning & Strategy)

Criteria 2 ‐ Planning & Strategy

2.2 Strategy based on analysis of internal performance and capabilities of station

2.3 Simplifying and accelerating decision making process

Criteria 3 ‐ Human Resources

3.1 Productivity and understanding perceptions of employees

3.2 Developing knowledge and capabilities of employees

3.3 Involving, aligning and communicating with employees

3.4 Employees are rewarded, recognized and cared for

f. Practices followed to reward / recognize contract agency. [Cr 6.2h (ii) ]

(Functional Excellence) Sub‐criteria

Criteria 4 ‐ Functional Excellence

4.2. Environment Management

4.3. Contracts & Materials

4.4. Fuel Management

4.6. Mechanical Maintenance

4.7. Electrical Maintenance

4.8. C&I Maintenance

4.9. Maintenance Planning, Energy Conservation, EEMG & Operations

Criteria 5 ‐ Beneficiaries Results

5.2 Performance Indicators

(HR Results) Sub‐criteria