2006



Resource
 Centre
 European Institute of
 Public Administration
The Common Assessment Framework (CAF)
Improving an organisation through self-assessment




CAF 2006

Index
Introduction ....
Introduction                                                    e-tools, brochures, CAF users’ events and CAF data
       ...
Customisation of the tool                                   The CAF provides:
As CAF is a generic tool, the customisation ...
cal and administrative culture: legitimacy (democratic,       Cross connection between criteria and sub criteria on the
pa...
Given the nature of “clients” in the public sector howev-   The guidelines on self-assessment and improvement
er, we wish ...
Enablers



Criteria 1-5 deal with the Enabler features of an organisation. These determine what the organisation does and...
Criterion 1: Leadership                                     understanding of who their customers are, their re-
          ...
including internal audits.                              1.4. Manage the relations with politicians
g. Establishing appropr...
Criterion 2: Strategy and planning                         2.2. Develop, review and update strategy
                      ...
TQM principles.
e.   Ensuring the deployment of an efficient change
     management system which includes the monitor-
   ...
Criterion 3: People

Definition
People are the organisation. They are the organisa-         Assessment: Consider evidence ...
partners. This may also include skills training for
   the providing of net services.
d. Developing managerial and leaders...
Criterion 4: Partnerships and resources                        The organisation should also ensure that it shares criti-
 ...
4.3. Manage Finances                                        Award a score using the Enablers Panel

Examples:
a. Aligning ...
Criterion 5: Processes                                              paying social security benefits
                      ...
consideration.                                      5.3. Innovate processes involving
k.   Identifying,   designing  and  ...
Results



From Criterion 6 onwards, the focus of the assessment shifts from Enablers to Results. In the Results criteria
...
Criterion 6: Citizen/customer-oriented                       6.1. Results of citizen/customer satisfaction
results        ...
Criterion 7: People results                                  Results    regarding    satisfaction  with      working
     ...
Criterion 8: Society results                                     tional and international level.
                         ...
Criterion 9: Key performance results                       9.2. Internal results

                                        ...
CAF Scoring and assessment panels


Why score?                                                  1. CAF classical scoring

...
Assessment panels 1




Instructions:
– Choose the level that you have reached: Plan, Do,              –   Give a score be...
2. CAF fine-tuned scoring                                                   Instructions for each sub criterion:
         ...
The above findings have been placed in the following
   EXAMPLE of a fine-tuned scoring: Enablers – sub          Enabler M...
28
Instructions
– Consider separately the trend of your results for 3       EXAMPLE of a fine-tuned CAF scoring:
     years a...
Ipawriting For The Web2
Ipawriting For The Web2
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  1. 1. 2006 Resource Centre European Institute of Public Administration
  2. 2. The Common Assessment Framework (CAF) Improving an organisation through self-assessment CAF 2006 Index Introduction .................................................................................................................. 2 Enablers Criteria ........................................................................................................... 7 Criterion 1: Leadership .................................................................................................. 8 Criterion 2: Strategy and planning .............................................................................. 10 Criterion 3: People ...................................................................................................... 12 Criterion 4: Partnerships and resources ....................................................................... 14 Criterion 5: Processes .................................................................................................. 16 Results Criteria ........................................................................................................... 19 Criterion 6: Citizen/customer-oriented results ............................................................. 20 Criterion 7: People results ........................................................................................... 21 Criterion 8: Society results ........................................................................................... 22 Criterion 9: Key performance results ........................................................................... 23 CAF Scoring and assessment panels ........................................................................... 24 Guidelines for improving organisations using CAF ..................................................... 30 Bench learning ........................................................................................................... 40 Glossary ................................................................................................................... 43
  3. 3. Introduction e-tools, brochures, CAF users’ events and CAF data bases. All these activities assure all the CAF actors in- volved that the target of 2000 registered CAF users in Definition 2010 – set by the United Kingdom presidency – will The Common Assessment Framework (CAF) is a To- be met. tal Quality Management (TQM) tool inspired by the Excellence Model of the European Foundation for The Ministers responsible for Public Administration in Quality Management (EFQM) and the model of the the European Union expressed at the end of the Lux- German University of Administrative Sciences in embourg presidency on 8 June 2005 their apprecia- Speyer. It is based on the premise that excellent results tion for the fruitful exchange of ideas, experiences and in organisational performance, citizens/customers, good/best practices between the Public Administrations people and society are achieved through leadership of the EU Member states within the European Public driving strategy and planning, people, partnerships Administration Network (EPAN) and for the develop- and resources and processes. It looks at the organisa- ment and use of tools such as the Common Assess- tion from different angles at the same time, the holistic ment Framework. They asked to integrate even more approach of organisation performance analysis. the quality approach with the Lisbon agenda. The CAF 2006 revision has taken this demand into account. Origin and growth The CAF is a result of co-operation among the EU Main purpose and support Ministers responsible for Public Administration. The CAF is offered as an easy to use tool to It is jointly developed under the aegis of the assist public sector organisations across Europe Innovative Public Services Group (IPSG), a working to use quality management techniques to improve group of national experts set up by the Directors- performance. The CAF provides a self-assess- General (DG) in order to promote exchanges and ment framework that is conceptually similar to the cooperation where it concerned innovative ways of major TQM models, EFQM in particular, but is modernising government and public service specially conceived for the public sector organisations, delivery in EU Member States. taking into account their differences. A pilot version was presented in May 2000 and The CAF has four main purposes: a first revised version was launched in 2002. 1. To introduce public administration to the principles A CAF Resource Centre CAF (RC) was created at the of TQM and progressively guide them, through the European Institute of Public Administration (EIPA) use and understanding of self-assessment, from in Maastricht following the decision of DGs in the current “Plan-Do” sequence of activities to a charge of public service. In a strategic state- full fledged “Plan-Do-Check-Act (PDCA)” cycle; ment, EIPA pointed out how it wants to play its role 2. To facilitate the self-assessment of a public organi- as a European CAF Resource Centre and what its sation in order to obtain a diagnosis and improve- objectives are in this respect. ment actions; 3. To act as a bridge across the various models used Together with the network of national CAF correspond- in quality management; ents, assisted by the European Foundation for Quality 4. To facilitate bench learning between public sector Management (EFQM) and the University of Speyer, the organisations. CAF RC coached the implementation of the model in many ways and evaluated its use. Between 2000 and A number of components have been worked out in 2005 ca. 900 European public administrations used the support of these purposes and are explained in this CAF to improve their organisations. Also from outside brochure: the structure with 9 criteria, 28 sub crite- Europe there is a lot of interest in using the tool e.g. from ria with examples; assessment panels for the enablers China, Middle East, Dominican Republic and Brazil. and the results, guidelines for self-assessment, im- More than 300 CAF users met at the 1st and 2nd provement actions and bench learning projects and European CAF Users Events in Rome in 2003 a glossary. and in Luxembourg in 2005. Two studies by EIPA, established in the context of these events, give detailed Target organisations information on the use of CAF in Europe and they in- The CAF has been designed for use in all parts of the spired the CAF 2006 revision. A database on CAF ap- public sector, applicable to public organisations at the plications is being further developed at EIPA, allowing national/federal, regional and local level. It may also integrating good practices in public administrations be used under a wide variety of circumstances e.g. as from all over Europe and maybe wider. A CAF e-tool part of a systematic programme of reform or as a ba- will be soon fully available for the CAF community. The sis for targeting improvement efforts in specific public CAF website gives all the available information on the service organisations. In some cases, and especially in European level. The model is now translated in 19 lan- very large organisations, a self-assessment may also guages. But also on the national level, many countries be undertaken in part of an organisation e.g. in a se- developed CAF support structures including training, lected section or department. 2
  4. 4. Customisation of the tool The CAF provides: As CAF is a generic tool, the customisation of its – an assessment based on evidence, against a set of use can be recommended but respecting its ba- criteria which has become widely accepted across sic elements is compulsory: the 9 criteria, 28 sub the public sector in Europe; criteria and the scoring system. Examples and the – opportunities to identify progress and outstanding process of self-assessment as described in the guide- levels of achievement; lines are free/flexible but it is recommended to take – a means to achieve consistency of direction into account the key elements of the guidelines. and consensus on what needs to be done to improve an organisation; Structure – a link between the different results to be achieved The structure of the CAF is illustrated below: and supportive practices or enablers; Based on the EFQM-Model The nine-box structure identifies the main aspects re- – a means to create enthusiasm among employees quiring consideration in any organisational analysis. by involving them in the improvement process; Criteria 1-5 deal with the Enabler features of an or- – opportunities to promote and share good practice ganisation. These determine what the organisation within different areas of an organisation and with does and how it approaches its tasks to achieve the other organisations; desired results. In the criteria 6-9, results achieved in – a means to integrate various quality initiatives into the fields of citizens/customers, people, society and normal business operations; key performance are measured by perception meas- – a means of measuring progress over time through urements and internal indicators are evaluated. Each periodic self-assessment. criterion is further broken down into a list of sub cri- teria. The 28 sub criteria identify the main issues that Concepts and Values of CAF need to be considered when assessing an organisa- As a tool of Total Quality Management, CAF sub- tion. They are illustrated by examples that explain the scribes to the fundamental concepts of excellence as content of the sub criteria in more detail and suggest defined by EFQM: results orientation, customer focus, possible areas to address, in order to explore how the leadership and constancy of purpose, management by administration answers the requirements expressed in processes and facts, involvement of people, continu- the sub criterion. ous improvement and innovation, mutually beneficial partnerships and corporate social responsibility. It aims Main characteristics to improve the performance of public organisations on Using the CAF provides an organisation with a power- the basis of these concepts. ful framework to initiate a process of continuous im- provement. Public management and quality in the public sector have a number of special unique conditions in com- parison with the private sector. They presume basic preconditions, common to our European socio-politi- 3
  5. 5. cal and administrative culture: legitimacy (democratic, Cross connection between criteria and sub criteria on the parliamentary), the rule of law and ethical behaviour enabler side: since quality of results is to a large extent based on common values and principles such as open- determined by the type and intensity of relationships ness, accountability, participation, diversity, equity, so- between enablers, this type of relationship must be ex- cial justice, solidarity, collaboration and partnerships. plored in self-assessment. In fact their intensity is very dif- ferent between different organisations and their nature Although CAF primarily focuses on the evaluation of determines to a large extent the quality of the organisa- performance management and the identification of its tion. Excellent organisations are, for example, charac- organisational causes to make improvement possible, terised by strong interactions between criterion 1 and contributing to good governance is the ultimate goal. criteria 2/3/4, and between 3 and 4/5. Relationships are obviously not limited to the criteria level. Quite of- So the assessment of performance addresses the fol- ten substantial interaction/relationships materialise at lowing main features of a public sector organisation: sub criterion level. – democratic responsiveness/accountability; – operating within the legislative, legal and regula- Importance of evidence and measurements tory framework; Self-assessment and improvement of public organi- – communicating with the political level; sations is very difficult without reliable information – involvement of stakeholders and balancing of across the different functions of the organisation. CAF stakeholder needs; stimulates public sector organisations to gather and – excellence in service delivery; use information but very often this information is not – value for money; available at a first self-assessment. This is why CAF – achievement of objectives; often is considered to be a zero base measurement. It – management of modernisation, innovation and indicates the areas in which it is essential to start meas- change. uring. The more an administration progresses towards continuous improvement the more it will systematically Cross functions inside the model and progressively collect and manage information, in- The holistic approach of TQM and CAF does not sim- ternally and externally. ply mean that all aspects of the functioning of an or- ganisation are carefully assessed but also that all the Role of the scoring system composing elements have a reciprocal impact on each One of the compulsory elements of the CAF is the scor- other. A distinction should be made between ing system. Although the discovery of strengths and – cause-effect relationship between the left part of areas for improvement and the linked improvement the model (the enablers-causes) and the right part actions are the most important outputs of the self-as- (the results-effects), and sessment, organisations sometimes focus too much – the holistic relationship between the causes (ena- on scores. The scoring system has been retained and blers). elaborated in the new CAF version. Only to the latter can the holistic character be Allocating a score to each sub criterion and criterion of applied. the CAF model has 4 main aims: 1. to give an indication on the direction to follow for Cross connection between the left and right parts of the improvement activities; model: consists in the cause-effect relation between the 2. to measure your own progress; enablers (causes) and the results (effects), as well as 3. to identify good practices as indicated by high in the feedback from the latter to the former. Verifica- scoring for Enablers and Results; tion of cause-effect links is of fundamental importance 4. to help to find valid partners to learn from. in self-assessment, where the assessor should always check for consistency between a given result (or set of New in the CAF 2006 is the provision for two ways homogeneous results) and the “evidence” collected on of scoring. The “classical CAF scoring” and the “fine- the relevant criteria and sub criteria on the enabler tuned CAF scoring”. More information is given in the side. Such consistency is sometimes difficult to verify, chapter on scoring. since due to the holistic character of the organisation, the different causes (enablers) interact with each other Managerial language and the glossary when producing results. In any case, the existence of Many public sector organisations, that use CAF appropriate feedback, from results appearing on the for the first time, are confronted with a terminol- right side to the appropriate criteria on the left side, ogy that is difficult to access. A background in pub- should be checked in the assessment. lic management helps of course to overcome this but some people participating at a CAF self-assess- ment may not have this background. The glossary at the end of this brochure is there to assist them by providing a more precise definition for the main words and concepts. 4
  6. 6. Given the nature of “clients” in the public sector howev- The guidelines on self-assessment and improvement er, we wish to define from the start what we understand action plans give additional advice. by citizen/customer. This term is used to emphasise the dual relationship between public administration and The recent success of bench learning with CAF has in- – the users of public services, and spired new guidelines in this field. – all the members of the public, who as citizens and taxpayers have a stake in the services provided To summarise, self-assessment against the CAF model and their outputs. offers the organisation an opportunity to learn more about itself. Compared to a fully developed Total Qual- Major differences between CAF 2002 and ity Management model, the CAF is designed to be a 2006 user-friendly introductory model. It is assumed that any Users of previous CAF versions will not find it too dif- organisation that intends to go further will select one ficult to find their way in the new version. of the more detailed models. The CAF has the advan- tage of being compatible with these models and may In the context of the Lisbon strategy more emphasis is therefore be a first step for an organisation wishing to placed on modernisation and innovation. This concern go further with quality management. is therefore more explicitly present in the criteria on leadership and strategy whilst the need for permanent We know that “CAF Works”! innovation of the processes is presented in criterion 5. The CAF is in public domain and free of charge. Or- The introduction and many new formulated examples ganisations are free to use the model as they wish. better illustrate the contribution of quality manage- ment in the public sector towards good governance. The scoring system allows organisations to deepen their assessment knowledge and focus more closely on their improvement actions. 5
  7. 7. Enablers Criteria 1-5 deal with the Enabler features of an organisation. These determine what the organisation does and how it approaches its tasks to achieve the desired results. The assessment of actions relating to the Enablers should be based on the Enablers Panel (see CAF scoring and Assessment panels). 7
  8. 8. Criterion 1: Leadership understanding of who their customers are, their re- quirements, and how these can be balanced with po- litical imperatives, demonstrating clear commitment to Definition citizens/customers, as well as to other stakeholders. The behaviour of an organisation’s Leaders can help to create clarity and unity of purpose and an environment in which the organisation and its Assessment: Consider the evidence of what the people excel. organisation’s leadership is doing to: Leaders provide direction for the organisa- 1.1. Provide direction for the organisation by tion. Leaders develop the mission, vision and the developing its mission, vision and val- values required for the organisation’s long-term suc- ues. cess. They motivate and support people in the or- ganisation by acting as role models and through Examples: appropriate behaviours which are consistent with the a. Formulating and developing the mission (what our expressed and implied values. goals are) and the vision (where we want to go) of the organisation involving relevant stakeholders Leaders develop, implement, and monitor the and employees. organisation’s management system and review per- b. Translating the mission and vision into strategic formance and results. They are responsible for im- (long-term and medium-term) and operational proving performance and prepare for the future by or- (concrete and short-term) objectives and actions. ganising the changes necessary to deliver its mission. c. Establishing a value framework, including in it transparency, ethics and citizen service, and a In the public sector, leaders are the main interface be- code of conduct involving stakeholders. tween the organisation and politicians and manage d. Strengthening of mutual trust and respect between their shared responsibilities and are also responsible leaders/managers/employees (e.g. defining for managing relationships with other stakeholders norms of good leadership). and ensuring that their needs are met. e. Creating conditions for effective communication. Ensuring the wider communication of the mission, Key implications vision, values, strategic and operational objectives In a representative democratic system, elected politi- to all employees in the organisation and to other cians make the strategic choices and define the goals stakeholders. they want to achieve in the different policy areas. The f. Reviewing periodically the mission, vision and values leadership of public sector organisations assists politi- reflecting changes in the external environment. cians in formulating policy by giving advice in terms of g. Managing “conflicts of interest” by identifying po- analysis, horizon-scanning, or visioning, and is also tential areas of conflicts of interest and providing responsible for policy implementation and realisation. guidelines for employees. Therefore a distinction needs to be drawn within the Award a score using the Enablers Panel public sector between the role of the political leader- ship and that of the leaders/managers of organisa- tions. The CAF focuses on the management of public 1.2. Develop and implement a system for the organisations rather than on the “quality“ of public management of organisation, perform- policies which is a political responsibility. ance and change Beside their proper values, European public sector or- ganisations share a number of common values such Examples: as the legality, transparency, equity, diversity and the a. Developing processes and organisational struc- refusal of conflicts of interest. Leaders communicate tures in accordance with strategy, planning and these values throughout the organisation and may needs and expectations of stakeholders using translate them, for example, into codes of conduct that available technologies. guide people’s professional behaviour. b. Defining appropriate management forms (levels, functions, responsibilities and competencies) and Leaders create the optimal conditions for their organi- ensuring a system for managing processes. sation to adapt itself to the continuously changing so- c. Developing and agreeing on measurable objec- ciety they serve. They are themselves looking for op- tives and goals for all levels of the organisation. portunities to innovate and modernise. They actively d. Giving direction on output and outcome targets integrate e-government approaches. balancing the needs and expectations of different Leaders in public service organisations typically are re- stakeholders. quired to work within allocated resources to achieve e. Formulating and aligning the net/e-gov strategy goals and targets. This sometimes necessitates bal- with the strategic and operational objectives of the ancing the needs of citizens, politicians and other organisation. stakeholders. Therefore leaders need to show a clear f. Establishing a management information system 8
  9. 9. including internal audits. 1.4. Manage the relations with politicians g. Establishing appropriate enablers/assumptions and other stakeholders in order to en- (frameworks) for project management and team- sure shared responsibility work. h. Permanent application of TQM-system principles such Examples: as the CAF Model or the EFQM Excellence Model. a. Identifying the public policies affecting the i. Developing a system of measurable strategic and organisation. operational goals/performance measuring in the b. Maintaining proactive and regular relations with organisation (e.g. Balanced Scorecard). the political authorities of the appropriate execu- j. Developing systems of quality management such tive and legislative areas. as ISO 9001-2000, Service Level Agreements c. Ensuring that objectives and goals of the organi- (SLAs) and different kinds of certification. sation are aligned with public policies. k. Identifying and setting priorities for necessary d. Developing and maintaining partnerships and changes regarding the organisational design and networks with important stakeholders (citizens, business model. Non-Government Organisations (NGOs), interest l. Communicating change initiatives and the reasons groups, industry and other public authorities). for change to employees and relevant stakehold- e. Involving political and other stakeholders in the set- ers. ting of output and outcome targets and the develop- ment of the organisation’s management system. Award a score using the Enablers Panel f. Seeking public awareness, reputation and recog- nition of the organisation and its services. g. Developing a concept of marketing (product and 1.3. Motivate and support people in the or- service targeted) and its communication in rela- ganisation and act as a role model tion to stakeholders. h. Taking part in the activities of professional asso- Examples: ciations, representative organisations and interest a. Leading by example thus acting in accordance groups. with established objectives and values. b. Demonstrating personal willingness of leaders/ Award a score using the Enablers Panel managers to accept change by acting on construc- tive feedback. c. Keeping employees regularly informed about key issues related to the organisation. d. Supporting employees by helping them to car- ry out their duties, plans and objectives in sup- port of the achievement of overall organisational objectives. e. Stimulating, encouraging and creating conditions for the delegation of authority, responsibilities and competencies including accountability (empower- ment). f. Promoting a culture of innovation and improve- ment by encouraging and supporting employees to make suggestions for innovation and improve- ment and to be proactive in their daily work. g. Recognising and rewarding the efforts of teams and individuals. h. Respecting and addressing individual needs and personal circumstances of employees. Award a score using the Enablers Panel 9
  10. 10. Criterion 2: Strategy and planning 2.2. Develop, review and update strategy and planning taking into account the needs of stakeholders and available Definition resources The way an organisation effectively combines its inter- related activities determines its overall performance. Examples: The organisation implements its mission and vision a. Developing and applying methods to monitor, via a clear stakeholder-focused strategy aligning pub- measure and/or evaluate the performance of the lic policies/goals and other stakeholders needs, sup- organisation at all levels ensuring the monitoring ported by a continuously improving management of of the strategy‘s implementation. resources and processes. The strategy is translated b. Systematically reviewing risks and opportunities into plans, objectives and measurable targets. Plan- (e.g. SWOT-analysis) and identifying critical suc- ning and strategy reflects the organisation’s approach cess factors by regularly assessing these factors in to implementing modernisation and innovation. the organisation’s environment (including political changes). Key implications c. Evaluating existing tasks in terms of outputs (re- Strategy and planning is part of the PDCA (Plan Do sults) and outcomes (impacts) and the quality of Check Act) cycle, starting by gathering information the strategic and operations plans. on the present and future needs of stakeholders and d. Balancing tasks and resources, long and short also from outcomes and results in order to inform the term pressures and stakeholder requirements. planning process. This includes the use of reliable in- e. Assessing the need to reorganise and improve formation, including perceptions from all stakeholders strategies and methods of planning. to inform operational policies, planning and strategic direction. Feedback from an internal review process is Award a score using the Enablers Panel also fundamental to producing planned improvements in organisational performance. 2.3. Implement strategy and planning in the Identifying critical success factors – conditions that whole organisation must be fulfilled to achieve strategic goals – and set- ting goals plays a crucial part to ensure an effective Examples: follow-up and measurement of the results. Goals need a. Implementing strategy and planning by reaching to be formulated in such a way that a distinction is agreement and setting priorities, establishing time made between outputs and outcomes. frames, appropriate processes and the organisa- tional structure. Organisations should consistently and critically moni- b. Involving stakeholders in the process of deploying tor the implementation of their strategy and planning, strategy and planning and prioritising stakehold- and update and adapt them whenever necessary. ers’ expectations and needs. c. Translating strategic and operational objectives of the organisation into relevant plans and tasks for Assessment: Consider evidence of what the departmental units and individuals within the or- organisation is doing to ganisation. 2.1. Gather information relating to the Award a score using the Enablers Panel present and future needs of stakehold- ers 2.4. Plan, implement and review modernisa- Examples: tion and innovation a. Identifying all relevant stakeholders. b. Systematically gathering and analysing informa- Examples: tion about stakeholders, their needs and expecta- a. Creating and developing a new culture/readiness tions. for innovation by training, benchmarking, estab- c. Regularly gathering and analysing information, lishment of learning laboratories, focusing on the its source, accuracy and quality. This may include role of strategic thinking and planning. information about important variables such as so- b. Systematic monitoring of internal indicators/driv- cial, ecological, economic, legal and demograph- ers for change and external demands for mod- ic developments. ernisation and innovation. d. Systematically analysing internal strengths and weak- c. Planning of changes leading towards the process nesses (e.g. TQM-diagnosis with CAF or EFQM or of modernisation and innovation (e.g. applying SWOT analysis). net services) on the basis of discussions with stake- holders. Award a score using the Enablers Panel d. Integration of instruments and measures; e.g. in- put + output + outcome – measurement; use of 10
  11. 11. TQM principles. e. Ensuring the deployment of an efficient change management system which includes the monitor- ing of progress in innovation. f. Ensuring the availability of necessary resources to implement the planned changes. Award score using the Enablers Panel 11
  12. 12. Criterion 3: People Definition People are the organisation. They are the organisa- Assessment: Consider evidence on what the tion’s most important asset. The way in which employ- organisation is doing to ees interact with each other and manage the available resources ultimately decides organisational success. 3.1. Plan, manage and improve human Respect, dialogue, empowerment and also providing resources transparently with regard to a safe and healthy environment are fundamental to strategy and planning ensure the commitment and participation of people on the organisational route to excellence. The organisa- Examples: tion manages, develops and releases the competences a. Regularly analysing current and future human re- and full potential of its people at individual and organ- source needs, taking into account the needs and isation-wide levels in order to support its strategy and expectations of stakeholders. planning and the effective operation of its processes. b. Developing and communicating the human re- sources management policy based on the strategy Key implications and planning of the organisation. Criterion 3 assesses whether the organisation aligns c. Ensuring HR capability (recruitment, allocation, its strategic objectives with its human resources so that development) is available to achieve tasks and they are identified, developed, deployed and cared balancing tasks and responsibilities. for to achieve optimum utilisation and success. Con- d. Monitoring of invested human resources in pro- sideration should be given to widening the scope of ducing and developing net services. people management to the advantage of both the or- e. Developing and agreeing on a clear policy con- ganisation and its people. People should be assisted taining objective criteria with regard to recruit- to achieve their full potential. Taking care of people’s ment, promotion, remuneration, rewards and the well-being is an important aspect of people manage- assignment of managerial functions. ment. f. Ensuring good environmental working conditions throughout the organisation including taking care When organisations create frameworks to allow em- of health and safety requirements. ployees to continually develop their own competen- g. Managing recruitment and career development cies, to assume greater responsibility and to take more with regard to fairness of employment, equal op- initiative, employees contribute to the development of portunities and diversity aspects (e.g. gender, sexual the workplace. This can be enabled by making sure orientation, disability, age, race and religion). they associate their own performance goals with the h. Ensuring that conditions are conducive towards strategic objectives of the organisation and also by in- achieving a reasonable work-life balance for em- volving them in the establishment of policies related to ployees. the recruitment, training, and reward of people. i. Paying particular attention to the needs of disadvantaged employees and people with Finally, criterion 3 spotlights the ability of managers/ disabilities. leaders and employees to actively cooperate on devel- oping the organisation, breaking down organisational Award score using the Enablers Panel silos by creating dialogue, making room for creativity, innovation and suggestions for improving perform- ance. This also helps to increase employee satisfac- 3.2. Identify, develop and use competencies tion. of employees, aligning individual and organisational goals The proper execution of people policies is not just of concern to the HR department, it depends upon all Examples: leaders, managers and department heads throughout a. Identifying current competencies at the individual the organisation, demonstrating that they care about and organisational levels in terms of knowledge, people issues and they actively promote a culture of skills and attitudes. open communication and transparency. b. Discussing, establishing and communicating a Organisations may, in assessing their performance, strategy for developing competencies. This in- take account of any restrictions on their freedom of cludes an overall agreed training plan based on action resulting from national/general public person- current and future organisational and individual nel policies, pay policies, etc., and indicate how they needs (with for example distinctions between man- work within these restrictions to optimise their people’s datory and optional training programmes). potential. c. Developing and agreeing on personal training and development plans for all employees with a special emphasis on managerial, leadership, abil- ities to deal with diverse customers/citizens and 12
  13. 13. partners. This may also include skills training for the providing of net services. d. Developing managerial and leadership skills as well as relational competences of management regarding the people of the organisation, the citi- zens/customers and the partners. e. Supporting and assisting new employees (e.g. by means of mentoring, coaching, tutoring). f. Promoting internal and external mobility of employees. g. Developing and promoting modern training meth- ods (e.g. multimedia approach, on the job train- ing, e-learning). h. Planning of training activities and developing communication techniques in the areas of risk and conflict of interest management. i. Assessing the impacts of training and develop- ment programmes in relation to the costs of the activities through monitoring and the provision of cost/benefit analyses. Award a score using the Enablers Panel 3.3. Involve employees by developing open dialogue and empowerment Examples: a. Promoting a culture of open communication and dialogue and the encouragement of team work- ing. b. Proactively creating an environment for gain- ing ideas and suggestions from employees and developing appropriate mechanisms (e.g. sugges- tion schemes, work groups, brainstorming). c. Involving employees and their representatives in the development of plans, strategies, goals, the design of processes and in the identification and implementation of improvement activities. d. Seeking agreement/consensus between managers and employees on goals and on ways of measur- ing goal achievement. e. Regularly conducting staff surveys including pub- lishing results/summaries/interpretations. f. Ensuring the employees have an opportunity to give feedback on their line managers/directors. g. Consulting with the representatives of employees (e.g. Trade Unions). Award a score using the Enablers panel 13
  14. 14. Criterion 4: Partnerships and resources The organisation should also ensure that it shares criti- cal information and knowledge with key partners and other stakeholders according to their needs. Definition How the organisation plans and manages its key part- nerships – especially with citizens/customers – in order Assessment: Consider evidence on what the to support its strategy and planning and the effective organisation is doing to operation of its processes. In this way partnerships are important resources for the well-functioning of the or- 4.1. Develop and implement key partnership ganisation. relations Next to partnerships, organisations need the more Examples: traditional resources – such as finances, technology, a. Identifying potential strategic partners and the na- facilities – to assure their effective functioning. These ture of the relationship (e.g. purchaser-provider, are used and developed to support an organisation’s co-production, net services). strategy and its most important processes in order to b. Establishing appropriate partnership agreements achieve the organisation’s goals in the most efficient taking into account the nature of the relation- way. Presented in a transparent way, organisations ship (e.g. purchaser – provider, collaborator/ can assure accountability towards citizens/customers co-provider/co-producer of products/services, on the legitimate use of available resources. co-operation, net services). c. Defining each party’s responsibilities in managing Key implications partnerships including controls. In our constantly changing society with growing com- d. Regularly monitoring and evaluating processes, plexity, public organisations are required to manage results and the nature of partnerships. relationships with other organisations in both the pub- e. Stimulating and organising task-specific partner- lic and private sectors in order to realise their strategic ships and developing and implementing joint objectives. projects with other public sector organisations. f. Creating conditions for exchange of employees Another consequence of this complexity is the need with partners. for an increasing active role of citizens/customers as g. Stimulating activities in the area of corporate so- key partners. The terms citizens/customers refers to the cial responsibility. citizens’ varying role between stakeholder and service- user. In this criterion, CAF focuses on the involvement Award a score using the Enablers Panel of citizens in public matters and the development of public policies and on the openness to their needs and expectations. 4.2. Develop and implement partnerships with the citizens/customers Public organisations are often subject to constraints and pressures, when managing their resources, over Examples: and above those normally encountered in the private a. Encouraging the involvement of citizens/customers sector. The ability of public organisations to gener- in public matters and in political decision-making ate additional financial resources may be limited as processes (e.g. consultation groups, survey, opin- may its freedom to allocate, or reallocate, its funds ion polls, quality circles). to the services it wishes to deliver. It is therefore criti- b. Being open to ideas, suggestions and complaints cal that they measure the efficiency and effectiveness of citizens/customers and developing and using of the services they are charged to deliver. Full finan- appropriate mechanisms to collect them (e.g. by cial management, internal control and accountan- means of surveys, consultation groups, question- cy systems are the basis for sound cost accounting. naires, complaints boxes, opinion polls, etc.). Although public organisations often have little say c. Ensuring a proactive information policy (e.g. about in resource allocation, demonstrating the organisa- the competencies of the several public authorities, tions ability to deliver more and improved services for about their processes, etc.). less cost, creates the opportunity for more innovative d. Ensuring transparency of the organisation as well services or products to be introduced more quickly. as its decisions and development (e.g. by publish- It is important to identify the organisation’s knowledge ing annual reports, holding press conferences and and information requirements and these should feed posting information on the Internet). into the strategy and planning process reviews. The or- e. Actively encouraging citizens/customers to organ- ganisation should ensure that appropriate knowledge ise themselves, express their needs and require- and information is made available timeously and in ments and supporting citizen groups. easily accessible formats to enable employees to do their jobs effectively. Award a score using the Enablers Panel 14
  15. 15. 4.3. Manage Finances Award a score using the Enablers Panel Examples: a. Aligning financial management with strategic ob- 4.5. Manage Technology jectives. b. Ensuring financial and budgetary transparency. Examples: c. Ensuring the cost efficient management of a. Implementing an integrated policy of tech- financial resources. nology management in accordance with the d. Introducing innovative systems of budgetary and strategic and operational objectives. cost planning (e.g. multi-annual budgets, pro- b. Efficiently applying appropriate technology to: gramme of project budgets, gender budgets). – Manage tasks. e. Permanently monitoring the costs of delivery and – Manage knowledge. service standards of products and services offered – Support learning and improvement activities. by the organisation including the involvement of – Support the interaction with stakeholders and organisational units. partners. f. Delegating and decentralising financial responsi- – Support the development and maintenance of bilities and balancing them with central controlling. internal and external networks. g. Basing investment decisions and financial control on cost/benefit-analysis. Award a score using the Enablers Panel h. Developing and introducing modern financial controlling (e.g. through internal financial audits, etc.) and promoting transparency of the financial 4.6. Manage facilities control for all employees. i. Creating parallel financial and cost account- Examples: ing systems including balance sheets (capital a. Balancing effectiveness and efficiency of physical accounts). locations with the needs and expectations of us- j. Ensuring internal cost allocation (e.g. transfer pric- ers (e.g. centralisation versus decentralisation of es: units are charged for internal services). buildings). k. Including non-financial performance data in b. Ensuring a safe, cost efficient and ergonomically budget documents. suitable use of office facilities based on strategic l. Introducing comparative analyses (e.g. bench- and operational objectives, accessibility by pub- marking) between different actors and organisa- lic transport, the personnel needs of employees, tions. local culture and physical constraints (e.g. open plan offices vs. individual offices, mobile offices) Award a score using the Enablers Panel and technical equipment (e.g. number of PCs and copy-machines by service). c. Ensuring an efficient, cost effective, planned and 4.4. Manage information and knowledge sustainable maintenance of buildings, offices and equipment. Examples: d. Ensuring an efficient, cost effective and sustain- a. Developing systems for managing, storing and able use of transport and energy resources. assessing information and knowledge in the or- e. Ensuring appropriate physical accessibility of ganisation in accordance with strategic and op- buildings in line with the needs and expectations erational objectives. of employees and citizens/customers (e.g. disa- b. Ensuring that externally available relevant informa- bled access to parking or public transport). tion is gained, processed and used effectively. f. Developing an integrated policy for managing c. Constantly monitoring the organisation’s informa- physical assets, including their safe recycling/dis- tion and knowledge, ensuring its relevance, cor- posal, e.g. by direct management or subcontract- rectness, reliability and security. Also aligning it ing. with strategic planning and the current and future needs of stakeholders. Award a score using the Enablers Panel d. Developing internal channels to cascade informa- tion throughout the organisation to ensure that all employees have access to the information and knowledge relevant to their tasks and objectives. e. Ensuring access and exchange of relevant infor- mation with all stakeholders and presenting infor- mation and data in a user-friendly way. f. Ensuring, as far as is practicable, that key informa- tion and knowledge of employees is retained with- in the organisation in the event of their leaving the organisation. 15
  16. 16. Criterion 5: Processes paying social security benefits – providing customer service through enquiry handling Definition – formulation and implementation of legislative How the organisation identifies, manages, improves policy and develops its key processes in order to support * Management processes strategy and planning. Innovation and the need to – assessment of the quality of tax collection generate increasing value for its citizens/customers – decision-making processes and other stakeholders are two of the main drivers in * Support processes process development. – budgeting and planning – processes for human resource management Key implications Each organisation that performs well is run by For support units, key processes will be linked to their many processes, each process being a set of con- support function of the organisation which is responsi- secutive activities that transform resources or in- ble for the delivery of the core business. puts into results or outputs and outcomes, there- by adding value. These processes can be of a It is essential that processes are continually reviewed as different nature. The core processes are critical to the design, innovation and new technologies arrive at an delivery of products or services. Management process- increasing pace to the market. In order to take advan- es steer the organisation and support processes de- tage of potential improvements public organisations liver the necessary resources. Only the most important need to ensure that they have mechanisms in place to of these processes, the key processes, are the object enable them to receive feedback from all stakeholders of the assessment in the CAF. A key to the identifica- on product and service enhancements. tion, evaluation and improvement of key processes is how effectively they contribute in achieving the mis- Assessment: Consider evidence on what the sion of the organisation. Involving citizens/customers organisation is doing to in the different stages of process management and taking into account their expectations contributes to their overall quality and reliability. 5.1. Identify, design, manage and improve processes on an ongoing basis The nature of processes in public service organisations may vary greatly, from relatively abstract activities such Examples: as support for policy development or regulation of a. Identifying, describing and documenting key proc- economic activities, to very concrete activities of serv- esses on an ongoing basis. ice provision. In all cases, an organisation needs to be b. Identifying process owners and assigning able to identify the key processes, which it performs responsibilities to them. in order to deliver its expected outputs and outcomes, c. Involving employees and other external stakehold- considering the expectations of citizens/customers and ers in the design and development of key proc- other stakeholders. esses. d. Allocating resources to processes based on the The role of citizens/customers could operate at 3 lev- relative importance of their contribution to the els: 1) the involvement of representative citizens/cus- strategic aims of the organisation. tomers, associations or ad hoc panels of citizens in the e. Gathering, recording and understanding le- design of the organisation’s services and products, 2) gal requirements and other regulations relevant collaboration with citizens/customers in the implemen- to the processes of the organisation, analys- tation of services and products, 3) empowerment of ing them and making proposals for streamlin- citizens/customers in order to realise or access services ing legally integrated processes aimed at elimi- and products themselves. nating unnecessary administrative burdens and bureaucracy. Cross-functional processes are common in public f. Implementing process indicators and setting citi- administration. It is vital to successfully integrate the zen/customer-oriented performance goals. management of such processes, since from that inte- g. Co-ordinating and synchronising processes. gration the effectiveness and efficiency of processes h. Monitoring and evaluating impacts of net serv- greatly depend. To that aim, well experimented forms ices/e-gov on the organisation‘s processes (e.g. of organisational integration should be pursued, such efficiency, quality, effectiveness). as the creation of cross-functional process manage- i. In conjunction with relevant stakeholders, improv- ment teams with the appointment of team leaders. ing processes on the basis of their measured ef- ficiency, effectiveness and results (outputs and out- Examples of Public Administration processes are: comes). * Core processes j. Analysing and evaluating key processes, risks and – core service provision related to the mission(s) critical success factors taking the objectives of the of the organisation, e.g. collecting taxes and organisation and its changing environment into 16
  17. 17. consideration. 5.3. Innovate processes involving k. Identifying, designing and implementing citizens/customers process changes leading to one-stop-principle services. Examples: l. Measuring and reviewing the effectiveness of a. Active approach to learning from innovations of process changes and carrying out benchmarking other organisations nationally and internationally. to drive improvement. b. Involving stakeholders in process innovations e.g. by piloting new services and e-government solu- Award a score using the Enablers Panel tions. c. Involving citizens/customers and stakeholders in process innovations. 5.2. Develop and deliver citizen/customer- d. Providing the resources necessary for process in- oriented services and products novations. e. Actively identify, analyse and overcome obstacles to Examples: innovation. a. Involving citizens/customers in the design and improvement of services and products (e.g. by Award a score using the Enablers Panel means of surveys/feedback focus-groups/inquiries / concerning the suitability of services or products and whether they are effective taking into account gender and diversity aspects). b. Involving citizens/customers and other stakehold- ers in the development of quality standards for services, products and information for citizens/ customers. c. Develop clear guidelines and regulations using plain language. d. Involving citizens/customers in the design and development of information sources and channels. e. Ensuring the availability of appropriate and reliable information with an aim to assist and sup- port citizens/customers. f. Promoting accessibility of the organisation (e.g. flexible opening hours and documents in a variety of formats e.g. appropriate languages, internet, posters, brochures, Braille). g. Promoting electronic communication and interac- tion with citizens/customers. h. Developing sound response query handling and complaint management systems and procedures. Award a score using the Enablers Panel 17
  18. 18. Results From Criterion 6 onwards, the focus of the assessment shifts from Enablers to Results. In the Results criteria we measure perceptions: what our people, citizens/customers and society think of us. We also have internal performance indicators which show how well we are doing against the targets we may have set for ourselves – the outcomes. The assessment of results requires a different set of responses, so the responses from this point onwards are based on the Results Assessment Panel (see CAF scoring and Assessment panels). 19
  19. 19. Criterion 6: Citizen/customer-oriented 6.1. Results of citizen/customer satisfaction results measurements Examples: Definition a. Results regarding the overall image of the organi- The results the organisation is achieving in relation to sation (e.g. friendliness and fairness of treatment; the satisfaction of its citizens/customers with the or- flexibility and ability to address individual solu- ganisation and the products/services it provides. tions). b. Results regarding involvement and participation. Key implications c. Results regarding accessibility (e.g. opening and Public sector organisations can have a complex rela- waiting times, one-stop-shops). tionship with the public. In some cases it can be char- d. Results relating to products and services (e.g. acterised as a customer relationship – especially in the quality, reliability, compliance with quality stand- case of direct service delivery by public sector organi- ards, processing time, quality of advice given to sations – and in other cases may be described as a citi- the customers/citizens). zen relationship, where the organisation is involved in determining and enforcing the environment in which Award a score using the Results Panel economic and social life is conducted. Since the two cases are not always clearly separable, this complex relationship will be described as a citizens/customers 6.2. Indicators of citizen/customer-oriented relationship. Citizens/customers are the recipients or measurements beneficiaries of the activity, products or services of the public sector organisations. Citizens/customers need Examples: to be defined but not necessarily restricted to only the Indicators regarding the overall image of the primary users of the services provided. Public organi- organisation sations deliver services according to local and/or cen- a. Number and processing time of complaints (e.g. tral government policy and are held accountable for resolution of conflict of interest cases). their performance to political stakeholders. Perform- b. Extent of public trust towards the organisation and ance against statutory requirements is covered under its services or products. organisational results (Criterion 9). Public policy tar- c. Waiting time. gets are those set by national, regional and local gov- d. Handling/processing time of services delivery. ernments which may or may not be citizens/customers e. Extent of employee training in relation to the ef- driven. Citizens/customers satisfaction measures are fective handling of citizen/customer relationships normally based on areas that have been identified as (e.g. professionalism and friendly communication important by customer groups and based on what the with, and treatment of, citizens/customers). organisation is able to improve within its specific area f. Indicators of complying with diversity and gender of service. aspects. It is important for all kinds of public sector organisa- Indicators regarding involvement tions to directly measure the satisfaction of their citi- g. Extent of involvement of stakeholders in zens/customers with regard to the overall image of the the design and the delivery of services and organisation, the products and services the organisa- products and/or the design of decision-making tion provides, the openness of the organisation and processes. the extent to which it involves citizens/customers. Or- h. Suggestions received and recorded. ganisations typically use citizen/customer question- i. Implementation and extent of use of new and in- naires or surveys to record levels of satisfaction, but novative ways in dealing with citizens/customers. they may also use other complementary tools such as focus groups or user panels. Indicators regarding products and services j. Adherence to published service standards (e.g. Some examples of information which may be collected citizens‘ charters). include data on products and services, image of the k. Number of files returned back with errors organisation, politeness, helpfulness and friendliness and/or cases requiring repeated processing/com- of staff. pensation. l. Extent of efforts to improve availability, accuracy Assessment: Consider what results the organisation and transparency of information. has achieved to meet the needs and expectations of citizens and customers, through: Award a score using the Results Panel 20
  20. 20. Criterion 7: People results Results regarding satisfaction with working conditions: g. The working atmosphere and the organisation‘s Definition culture (e.g. how to deal with conflict, grievances The results the organisation is achieving in relation to or personnel problems). the competence, motivation, satisfaction and perform- h. The approach to social issues (e.g. flexibility of ance of its people. working hours, balance between work and per- sonal matters, health). Key implications i. The handling of equal opportunities and fairness This criterion addresses the satisfaction of all the peo- of treatment and behaviour in the organisation. ple in the organisation. Organisations typically use people (employee) surveys to record satisfaction lev- Results regarding motivation and satisfaction with ca- els, but they may also use other complementary tools reer and skills development: such as focus groups, termination interviews and ap- j. The ability of the management to promote HRM- praisals. They may also examine the performance of strategy and systematic competency development people and the level of skills development. and the employees’ knowledge about the goals of Sometimes external constraints may limit the organi- the organisation. sation’s freedom in this area. The constraints and how k. Results regarding people‘s willingness to accept the organisation overcomes or influences constraints changes. should therefore be clearly presented. Award a score using the Results Panel It is important for all kinds of public sector organisa- tions to directly record people results concerning the employees’ image of the organisation and its mission, 7.2. Indicators of people results the working environment, the organisation’s leader- ship and management systems, career development, Examples: the development of personal skills and the products a. Indicators regarding satisfaction (e.g. levels of and services the organisation provides. absenteeism or sickness, rates of staff turnover, Organisations should have a range of internal people- number of complaints). related performance indicators through which they can b. Indicators regarding performance (e.g. measures measure the results they have achieved in relation to of productivity, results of evaluations). targets and expectations in the areas of people over- c. Levels of using information and communication all satisfaction, their performance, the development of technologies by employees. skills, their motivation and their level of involvement in d. Indicators regarding skills development (e.g. par- the organisation. ticipation and success rates in training activities, effectiveness of training budgets). e. Evidence on the ability to deal with citizens/cus- Assessment: Consider what results the organisation tomers and to respond to their needs. has achieved to meet the needs and expectations f. Degree of employee rotation inside the organisa- of its people, through: tion (mobility). g. Indicators regarding motivation and involvement 7.1. Results of people satisfaction and (e.g. response rates for staff surveys, number of motivation measurements proposals for innovation, participation in internal discussion groups). Examples: h. Amount/frequency of rewarding individuals and Results regarding overall satisfaction with: teams. a. The overall image and the overall performance of i. Number of reported possible conflict of interest the organisation (for society, citizens/customers, cases. other stakeholders). b. The level of employees´ awareness of conflicts of Award a score using the Results Panel interest. c. The level of employees´ involvement in the organ- isation and its mission. Results regarding satisfaction with management and management systems: d. The organisation‘s top management and middle management ability to steer the organisation (e.g. setting goals, allocating resources, etc.) and com- munication. e. Rewarding individual and team efforts. f. The organisation‘s approach to innovation. 21
  21. 21. Criterion 8: Society results tional and international level. h. General public‘s view about the organisation’s openness and transparency. Definition i. Organisation‘s ethical behaviour. The results the organisation is achieving in satisfying the j. The tone of media coverage received. needs and the expectations of the local, national and international community. This may include the percep- Award a score using the Results Panel tion of the organisation‘s approach and contribution to quality of life, the environment and the preservation of global resources and the organisations‘ own internal 8.2. Indicators of societal performance es- measures of its effectiveness in contributing to society. tablished by the organisation Key Implications Examples: Public Sector organisations have an impact on society a. Relationship with relevant authorities, groups and by the very nature of their primary business or statutory community representatives. mandate, and the outputs of these core activities will b. The amount of media coverage received. affect direct and indirect beneficiaries. These analyses c. Support dedicated to socially disadvantaged citi- of the immediate effects on the beneficiaries should be zens. presented in the citizen/customer satisfaction (Cr. 6) d. Support for integration and acceptance of ethnic and key performance results criteria (Cr. 9). minorities. Criterion 8 will measure the intended or unintended e. Support for international development projects. impacts on society, i.e. the global effects of the organi- f. Support for civic engagement of citizens/custom- sation’s policies beyond its primary missions/ statutory ers and employees. mandate or core activities. In this direction, the analy- g. Productive exchange of knowledge and informa- sis will consider the impacts derived from planned ob- tion with others. jectives as well as the unintended consequences i.e. h. Programmes to prevent citizens/customers and side effects which may have positive and/or negative employees from health risks and accidents. effects on society. i. Organisation activities to preserve and sustain the resources (e.g. degree of compliance with environ- The measures cover both qualitative measures of per- mental standards, use of recycled materials, use ception and quantitative indicators. of environmentally friendly modes of transport, They can be related to reduction of nuisance, harms and noise, reduction – economic impact in use of utilities e.g. water, electricity, gas). – social dimension e.g. disabled people – quality of life Award a score using the Results Panel – impact on the environment – quality of democracy. Assessment: Consider what the organisation has achieved in respect of impact on society, with reference to 8.1. Results of societal measurements per- ceived by the stakeholders Examples: a. General public‘s awareness of the impact of how the organisation´s performance affects the quality of citizens/customers´ life. b. General reputation of the organisation (e.g. as an employer/contributor to local/global society). c. Economic impact on society at the local, regional, national and international level. d. The approach to environmental issues (e.g. pro- tection against noise, air pollution). e. Environmental impact on society at the local, re- gional, national and international level. f. Impact on society with regard to sustainability at the local, regional, national and international level. g. Impact on society taking into account quality of democratic participation at the local, regional, na- 22
  22. 22. Criterion 9: Key performance results 9.2. Internal results Examples: Definition Results in the field of management and innovation The results the organisation is achieving with regard a. Evidence of involvement of all stakeholders in the to its strategy and planning related to the needs and organisation. demands of the different stakeholders (i.e. external re- b. Results of the establishment of partnerships and sults); and the results the organisation has achieved in results of joint activities. relation to its management and improvement (internal c. Evidence of ability to satisfy and balance the needs results). of all the stakeholders. d. Evidence of success in improving and innovating Key implications organisational strategies, structures and/or proc- Key performance results relate to whatever the or- esses. ganisation has determined are essential, measurable e. Evidence of improved use of information technol- achievements for the success of the organisation in the ogy (in managing internal knowledge and/or in short and longer term. internal and external communication and net- They represent the capacity of policies and processes working). to reach goals and objectives including specific tar- f. Results of inspections and audits. gets, which are politically driven. g. Process performance. Key performance results can be divided into: Financial results 1) External results: the measures of the effectiveness h. Extent to which budgets and financial targets are of policies and services/products in terms of the met. capacity to improve the condition of direct ben- i. Extent or trend to which part the organisation re- eficiaries: the achievement of key activities’ goals lies on own fiscal resources and revenues from in terms of a) outputs – services and products and fees and earnings from selling services/goods. b) outcomes – effects of the organisation’s core j. Evidence of ability to satisfy and balance the activities on external stakeholders (effectiveness). financial interests of all stakeholders. 2) Internal results: the measures of the internal func- k. Measures of effective use of operating funds. tioning of the organisation: its management, im- l. Results of financial inspections and audits. provement and financial performance (efficiency and economy). Award a score using the Results Panel These measures are likely to be closely linked to policy and strategy (Criterion 2), partnerships and resources (Criterion 4) and processes (Criterion 5). Assessment: Consider the evidence of defined goals achieved by the organisation in relation to 9.1. External results: outputs and outcomes to goals Examples: a. The extent to which the goals are achieved in terms of output (delivery of products or services). b. Improved quality of service or product delivery with respect to measurement results. c. Cost efficiency (outputs achieved at the lowest pos- sible cost). d. Results of inspections and audits. e. Results of participation in competitions, quality awards and the quality management system certi- fication (Excellence Awards – League table/Bench- mark). f. Results of benchmarking/bench learning activi- ties. g. Cost effectiveness (outcomes achieved at the low- est possible cost). Award a score using the Results Panel 23
  23. 23. CAF Scoring and assessment panels Why score? 1. CAF classical scoring Allocating a score to each sub criterion and criterion of This cumulative way of scoring helps the organisation the CAF model has 4 main aims: to become more acquainted with the PDCA-cycle and 1. to provide information and give an indication on the directs it more positively towards a quality approach. direction to follow for improvement activities. 2. to measure your own progress, if you carry out The scores as defined in the CAF 2002 version are CAF assessments regularly, each year or eve- presented in the column “level 2002”. In the enablers ry two years, considered to be good practice assessment panel the PDCA phase is in place only according to most quality approaches. when bench learning activities are part of the continu- 3. to identify good practices as indicated by high ous improvement cycle. scoring for Enablers and Results. High scoring of Results are usually an indication of the existence of In the results assessment panel a distinction is made good practices in the Enablers field. between the trend of the results and the achievement 4. to help to find valid partners to learn from (bench- of the targets. marking: How we compare; and bench learning: What we learn from each other). With regard to bench learning however, it should be noted that comparing CAF scores has limited value and carries a risk, particularly if it is done without experienced external assessors trained to validate the scores in a homogeneous way in different public organisations. The main aim of bench learning is to compare the different ways of managing the enablers and achieving results. The scores, if validated, can be a starting point in this regard. That is how bench learn- ing can contribute to improvement. How to score? New in the CAF 2006 is that it provides two ways of scoring. The “classical” CAF scoring is the updated version of the CAF 2002 assessment panels. The “fine- tuned” CAF scoring is suitable for organisations that wish to reflect in more detail the analysis of the sub criteria. It allows you to score – for each sub criterion – all phases of the Plan Do Check Act (PDCA) cycle simultaneously. The PDCA-cycle is the fundament of both ways of scor- ing. Compared to 2002 when the scale was set at 0-5, the scale has been revised and set at 0-100, this scale being more widely used and generally accepted at an international level. 24
  24. 24. Assessment panels 1 Instructions: – Choose the level that you have reached: Plan, Do, – Give a score between 0 and 100 according to the Check or Act. This way of scoring is cumulative: level that you have reached inside the phase. The you need to have accomplished a phase (e.g.: scale on 100 allows you to specify the degree of Check) before reaching the next phase (e.g.: Act). deployment and implementation of the approach. RESULTS PANEL 1 SCORE LEVEL 2002 No results are measured 0-10 0 and / or no information is available. Results are measured and show negative trends 11-30 1 and / or results do not meet relevant targets. Results show flat trends 31-50 2 and / or some relevant targets are met. Results show improving trends 51-70 3 and / or most of the relevant targets are met. Results show substantial progress 71-90 4 and / or all the relevant targets are met. Excellent and sustained results are achieved. All the relevant targets are met. 91-100 5 Positive comparisons with relevant organisations for all the key results are made. Instructions: – Give a score between 0 and 100 for each sub cri- – For each level, you can take into account either terion on a scale divided in 6 levels (correspond- the trend, either the achievement of the target or ing to the results panel of the CAF 2002). both. 25
  25. 25. 2. CAF fine-tuned scoring Instructions for each sub criterion: – Read the definition of each phase (Plan, Do, Check The fine-tuned scoring is a simultaneous way of scor- and Act); ing closer to the reality where e.g. many public organi- – Find evidence of strengths and weaknesses and sations are doing things (Do) but sometimes without give a global judgement for each phase in the ap- enough planning (Plan). propriate box. This judgement can be illustrated by – In the enablers panel, the emphasis lays more on some examples or evidence in order not to over- the PDCA as a cycle and progress can be repre- complicate the scoring exercise. However, those sented as a spiral where in each turn of the cir- who want to go further can put all the examples or cle improvement may take place in each phase: evidence in the different boxes of the 4 phases and PLAN, DO, CHECK and ACT. calculate the average for each phase. – Bench learning activities are normally taken into – Calculate the sum of the four phase scores and account at the highest level of all the phases. divide by 4 in order to obtain a score on 100 for – This way of scoring gives more information on the the enabler sub criterion. This score should be areas where improvement is mostly needed. plausible and consistent e.g. total scoring should – The results panel shows you if you have to acceler- not exceed 40 if any of the four evaluation criteria ate the trend or focus on the targets achievement. (Plan, Do, Check, Act) is lower than or equal to 20. It should not exceed 60 if any of the criteria is lower than 30. Assessment panels 2 Enablers Panel 2 SCALE 0-10 11-30 31-50 51-70 71-90 91-100 EVIDENCE EVIDENCE EVIDENCE EVIDENCE EVIDENCE EVIDENCE EVIDENCE No Some weak Some good Strong Very strong Excellent evidence evidence, evidence evidence evidence evidence, PHASE or just related to related to related to related to compared some ideas some areas relevant most areas all areas with other areas organisations, related to all areas. Planning is based on stakeholders’ needs and expectations. Planning is PLAN deployed throughout the relevant parts of the organisation on a regular basis. SCORE Execution is managed through defined processes and responsibilities and DO diffused throughout the relevant parts of the organisation on a regular basis SCORE Areas of improvement Defined processes are monitored with relevant indicators and reviewed CHECK throughout the relevant parts of the organisation on a regular basis SCORE Correction and improvement actions are taken following the check results ACT throughout the relevant parts of the organisation on a regular basis SCORE TOTAL / 400 SCORE / 100 26
  26. 26. The above findings have been placed in the following EXAMPLE of a fine-tuned scoring: Enablers – sub Enabler Matrix, to help elaborate a global scoring for criterion 1.1: the sub criterion: Notice: that does not necessarily mean giving scores to the individual examples; the Provide direction to the organisation by developing blank boxes of the matrix are used as a memo pad, its mission, vision and values to pass from the evidences collected during the sub criterion assessment to a global sub criterion scoring, and as a way to guide the discussion in the consensus meeting. Synthesis of the evidence emerged in self-assessments (starting points for improvement planning and basis for scoring). 1.1.a. A vision and a mission for the administration was elaborated three years ago. It was re- quested by the director general and the dis- cussion involved all the first line managers. An elegant, coloured card with the vision and mis- sion statement was distributed to all employ- ees. 1.1.b Nothing has been done yet in the area of val- ues statement and code of conduct. The Hu- man Resources Manager has developed a project to this end. Middle management will be invited to a seminar to reflect together on the values of the organisation. The values will be crystallised into teaching what positions have to be taken in difficult situations. 1.1.c Employees, customers/citizens and other stakeholders have not been involved up to now in the vision and mission definition proc- ess. However, awareness of the importance of such involvements arose two years ago, when some managers of our administration partici- pated in TQM Seminars, particularly one dedi- cated to the CAF model. The decision was then taken to make internal and external surveys to collect employees’ and citizens perceptions. Results indicated that middle managers and employees considered the vision and mission as “image” statements, totally detached from reality and that the objectives quite often did not seem in tune with such statements. As far as customers are concerned, surveys indicated that alignment of management perceptions with customer perceptions is needed. Meet- ings with managers and employees and with representatives of citizens have been planned and will take place soon. The decision was also taken to conduct employees and custom- er surveys every year. An administration wide self-assessment is also being planned. 1.1.d The above mentioned surveys should guaran- tee that in the future the vision and mission statements will be periodically reviewed and updated taking into accounts customer/stake- holder needs and expectations; that employ- ee’s involvement will increase as well as com- munication within the organization. 27
  27. 27. 28
  28. 28. Instructions – Consider separately the trend of your results for 3 EXAMPLE of a fine-tuned CAF scoring: years and the targets achieved in the last year. Results – sub criterion 9.1: – Give a score for the trend between 0 and 100 on Key performance results. External results. a scale divided in 6 levels. – Give a score for the targets achievement of the last year between 0 and 100 on a scale divided in 6 Synthesis of the evidence emerged in self-as- levels. sessments (starting points for improvement – Calculate the sum for the trends and targets planning and basis for scoring). achievement and divide by 2 in order to obtain a In preparation on the strategic meeting in the begin- score on 100 for the result sub criterion. ning of the new working year, a report was prepared for the board of directors on the key performance results of last year in order to optimise the strategic planning for the next year. The conclusions of the re- port were clear: the performance’s goals were met for more than 50% and in comparison with the year be- fore a progress of 10% was established. The apprecia- tion of these conclusions was far from anonymous and gave way to intensive discussions among the members of the board. 29

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