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SECTION ONE: GENERAL INFORMATION

NB: 1. All responses to questions must be provided in the context of your initiatives to fulfil the aims of the 2 important strategies of: iKapa Ehlihlumayo and Batho Pele. The focus will in particular be on how you use Batho Pele to achieve the Ikapa Ehlihlumayo strategy of building human and social capital.

2. The following information must be provided specifically in respect of the organization/team entering for the Awards, ie the Applicant and not for the Department as a whole.

1.Name of the Unit/Directorate/District Office/Service Point/Project, ie the Applicant

2.Physical Address: (Record your physical address, ie actual site /location from which you render your services )

3.Number of sites occupied:

(If you occupy multiple sites, list the number and location of all sites, If you occupy a single site, skip this point )

Number of Sites: Location:
4.Vision, strategic goals and mandates for delivering on the aforementioned strategies

(Briefly describe your vision and list your strategic goals and mandates)

Vision:

Strategic Goals and Mandates:

5.Customers and Core Services

(List your customer groups and the services you deliver to them to achieve your vision and mandates)

Customers:Core Services:

6.Organisational Structure

(Provide a brief chart of your main functions and the total staffing allocation to each function. Show which of these posts are currently vacant) – if space is insufficient – attach the chart to this page

8.Contact person and contact details

(Provide the contact details of a person who can give further information on the Applicant if necessary. This person will be contacted to organize a site visit should the Applicant reach the final short list)

Name:

Tel:

Fax:

Cell:

E-mail:

SECTION TWO: CONTEXTUAL INFORMATION

NB: Complete the following sections specifically in respect of the Applicant itself, and not the Department as a whole.

1.What societal factors impact on your service areas?

2.What unique locational factors impact on your service areas?

3.How long has your unit been in existence?

4.How long have you offered the services listed in Section 1. above?

ServiceDuration of Service:

5.In a brief SWOT analysis identify your four major strengths, weaknesses, opportunities and threats for achieving your goals

Strengths:
1.
2.
3.
4. / Weaknesses:
1.
2.
3.
4.
Opportunities:
1.
2.
3.
4. / Threats:
1.
2.
3.
4.

6.Describe/ give a brief overview in not more than 100 words of your main achievements, ie what your organisation has done to transform itself into an organisation that inculcates the culture of Batho Pele, and fulfils the goals of the iKapa Elihlumayo and the human and social capital strategies. You may use bullet points.

7.What is your principle reason for entering the Awards? (Tick whichever option is the most appropriate)


A: Because you believe you have progressed sufficiently to win an award?
B: To obtain an independent assessment of the extent to which you are fulfilling the required criteria?

SECTION THREE: ASSESSMENT CRITERIA

1.INTRODUCTION

The primary assessment criteria are the 8 Batho Pele principles (ie Principles 1 to 8 below), with the addition of two new criteria (ie Principles 9 and 10), mediated by the results achieved versus the applicability of the approaches taken to the achievement of your strategic goals and the extent of deployment of those good approaches. Rate how you would assess your Unit (ie the Applicant) against each question according to the following rating scale:

Numerical scale / Descriptive scale / Interpretation
5 / Excellent / Able to consistently and constantly present high quality services in accordance with mandate and customer needs, or exceeds compliance/is leader in field
4 / Very Good / Able to offer high quality services 80% - 100% of the time, or meets all provisions – ie fully compliant
3 / Good / Able to offer quality services in respect of most mandates most of the time, or meets most provisions - ie Compliant 50% – 80% of the time.
2 / Average / Able to offer reasonable services most of the time, or meets some provisions, ie compliant 25% – 50% of the time
1 / Needs Improvement / There are often breaks in service and/or problems with service provision, or meets few requirements, ie compliant <25% of the time
0 / Not done / No evidence to demonstrate meeting of criteria.

2.GUIDELINES FOR GATHERING EVIDENCE AND COMPLETING THE QUESTIONNAIRE

The information provided in response to the assessment questions below should be as complete as possible when you are entering to win an award. Remember the assessment questionnaire can also be used for self-assessment of your services. In completing the questionnaire and collecting appropriate evidence it is important to ensure that you adhere to the following guidelines:

  1. Your whole team must be part of the process information and evidence gathering process.
  1. All team members need to fully understand what the requirements of the main instruments for assessment are, viz.:
  • The Batho Pele White Paper,
  • IKapa Ehlihlumayo Strategy with particular emphasis on Human and Social Capital.
  1. Collect and consolidate all the evidence you have demonstrating what you have done to fulfil the criteria. Your team must individually and collectively identify what has been done to achieve your goals through implementing the above strategies.
  1. Decide through collective team input to what extent your initiatives/ the collected evidence fulfills each of the criteria in the questionnaire and choose an appropriate self-assessment score for each question. The evidence provided should be able to support the score chosen in your self-assessment. Therefore, evidence for scores of Good, Very Good and Excellent should be much more substantial than lower scores. Unless well substantiated it will not be easy to justify a score of ‘excellent’, which is for leaders in their field or for those who have greatly exceeded requirements. If you feel that you are a leader in your field in respect of any of the criteria, you will need to provide the necessary documentary and graphic evidence which will demonstrate how you compare against other relevant organizations in order to receive scores at this level.
  1. Using the information gathered, briefly describe what has been done to meet each question asked. Responses can be either typed or hand-written. If the questionnaire is completed in writing, please write clearly and distinctly. Use the right-hand column to list your supporting evidence with appropriate indexed references. Please note: All evidence should be properly indexed and cross-referenced to the covering motivation.
  1. It is important to refer to appropriate attached evidence to support each of the claims you make in response to questions. Please note: Claims which are not supported by appropriate evidence provided with the application questionnaire will not be scored.
  1. We suggest that you use the electronic version of the questionnaire if possible as this will enable you to manipulate the space available for responses. You may however, make additional copies of questions where space does not permit.
  1. REMEMBER - your responses to questions should be brief and succinct. Your responses serve merely to clarify and provide a context for the evidence attached to assist assessors in their task of interpreting the evidence. You will not be scored on your writing skills but rather on the substance of the evidence provided.

See below for assessment questions…

3.ASSESSMENT QUESTIONS:

NB: A summarized list of questions can be found at the end of the Guide for Applicants

1.Consultation

1.1What consultation initiatives have been undertaken with the customer groups listed in Section 1 above and/or their representatives on their service needs/ expectations in respect of our important strategies?

Customer Group / Consultation Initiative / Frequency of Consultation / Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

1.2List the top 3 service delivery priority issues/customer needs identified from the above consultation initiatives relating to each of your service areas?

Priority Issues Identified:1.
2.
3. / Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

1.3List the main results achieved in terms of meeting the priorities you listed above which were identified through your consultation initiatives?

Results achieved against Priority Issues Identified:1.
2.
3. / Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

1.4What is being done to empower citizens to participate in setting appropriate goals and evaluating your services.

Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:
  1. Service Standards

2.1List the customer care service standards that apply to your service delivery areas in terms of the services listed in Section 1 above according to quality, quantity, cost, and time factors and show evidence of how each of the standards listed was arrived at through consultation with the relevant customer groups?

Customer Care Service Standards per service rendered: / Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

2.2What systems are being applied to regularly measure whether you are meeting each of the above standards and to allow for corrective action where necessary? Give examples of where corrective action has been taken in the event of standards not having been achieved.

Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

2.3Provide comparative details of the monthly level of achievement against each of the standards listed above over the last 2 years, both internally and from your customers’ perspective. Attach your evaluation reports and customer feedback as evidence. Note: if your initiatives have been in place for less than 2 years, provide comparative figures over 6 month periods.

Service Standard / Level of Achievement / Supporting Evidence
Exceeds 100% / 80 -100% / 50% – 80% / 25% - 50% / Below 25% / Nil
1.
2
3.
4.
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

3.Access

3.1What provision has been made to ensure that people with disabilities, women, youth, children, the aged and others previously denied access to services, have easy access to your services and are receiving equal quality of service provision, ie provision devoid of fragmentation, whether social, racial or geographical?

List of Initiatives to provide access
/ Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

3.2What targets have been set for improving access to services in general? What targets for increasing access to services have been met?

Targets Set / Level of Achievement / Supporting Evidence
Above Target 100% / 80% -100% / 50% – 80% / 25% - 50% / Below 25% / Not Met
1.
2
3.
4.
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

3.3Describe how you have worked in partnership with others to increase accessibility to your services and programmes.

Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

3.4What has been done to remove barriers such as a lack of skills and competencies amongst staff which could impede access to services and achievement of goals?

Supporting Evidence:
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

4.Courtesy

4.1Do you have a documented Code of Conduct on how customers are to be treated? What are the major principles contained in that Code of Conduct? Note: This refers specifically to the courtesy code stipulated in the Batho Pele White Paper, it is thus in addition to the normal Public Service Code of Conduct.

Principles contained in customer care code of conduct: /
Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

4.2How is compliance with this code promoted and monitored in the workplace, eg training initiatives, customer feedback and staff evaluation etc.

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

4.3How satisfied are customers with the level of courtesy provided by your organisation? List and attach your relevant feedback reports from customers as supporting evidence.

Customer Group / Level of Satisfaction / Supporting Evidence
Exceeds expectations / Completely satisfied / Mostly satisfied / Not yet evaluated/or done via ad hoc letters
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

5.Providing More and Better Information

5.1What media do you use to communicate your services and service standards, especially those in respect of our important strategies, to your customers and staff so that they know what to expect and what is expected of them?

Media used for customers (list per customer group):
Media used for staff: /
Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

5.2How and where is the information, especially that on our important strategies, made available, ie what special efforts have been made to ensure that the information reaches your customers and staff?

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

5.3List the efforts you have made to date to put in place a Service Commitment Charter.

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

6.Increasing Openness and Transparency

6.1How do you ensure that all customers know about your annual organizational performance, ie how the organization is run, who is in charge, how much it costs and whether standards and targets are being achieved, particularly in implementing your goals in respect of our important strategies?

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

6.2How do you promote openness and transparency with customers and staff on a daily basis?

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

7.Dealing with Complaints

7.1What mechanisms to deal with customer complaints exist? Is/are the mechanism/s documented and given to customers and staff?

Customer complaints mechanisms: /
Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

7.2How does the documented mechanism meet the Batho Pele standards of accessibility, speed, fairness, confidentiality, responsiveness and objectivity?

Accessibility:
Speed:
Fairness:
Confidentiality:
Responsiveness:
Objectivity: /
Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

7.3How have complaints been evaluated and used to improve services? Note: Attach your complaints register and trends graphs as evidence and give actual examples with supporting evidence of service improvements.

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

8.Providing Best Value

8.1Describe and show how you have unpacked your strategies for iKapa Elihlumayo and Human and Social Capital in a Service Delivery Programme in line with the Batho Pele Principles.

Supporting Evidence
Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

8.2What is the actual level of achievement (reflected as a percentage) against target of the Unit’s key service delivery outputs over the last 3 years? Provide your relevant performance reports as evidence.

2000/1 / 2001/2 / 2002/3 /

Supporting Evidence

Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

8.3What efficiency mechanisms/processes have been put in place to optimize resources, prevent wastage, effect savings and improve service delivery?

Supporting Evidence

Self Assessment
5. Excellent / 4. Very Good / 3. Good / 2. Average / 1. Needs Improvement / 0. Not done

For Official Use Only:

Assessors Comments: / Score:
Moderators Comments: / Score:

8.4What measures are in place to prevent and /or address fraud and corruption? Give examples, if any of where fraud has been detected and addressed or potential fraud uncovered.