Transcript Common Assessment Framework

An Introduction to the
European Common
Assessment
Framework (CAF)
By Dario Quintavalle –
Senior Executive
Ministry of Justice, Italy
Court Manager of the
Surveillance Court of Rome
Introduction
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What is CAF
Why is good for us
The PDCA cycle
Enablers and results
Scoring
The CAF trip
Exercise of selfassessment
CAF, What is it?
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The CAF is an easy-to-use, free tool to assist publicsector organizations across Europe in using quality
management techniques to improve their
performance.
The CAF is a total quality management (TQM) tool
It is inspired by the major Total Quality models in
general, and by the Excellence Model of the European
Foundation for Quality Management (EFQM) in
particular.
It is especially designed for public-sector organizations,
taking into account their characteristics.
Its application to Justice were first experimented in the
Surveillance Court of Rome.
CAF purposes:
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To introduce public administrations to the principles
of TQM and
gradually guide them, through the use and
understanding of self-assessment, from the current
“Plan-Do” sequence of activities to a full fledged “PlanDo-Check-Act (PCDA)” cycle;
To facilitate the self-assessment of a public
organization in order to arrive at a diagnosis and
improvement actions;
To act as a bridge across the various models used in
quality management;
To facilitate bench learning between public-sector
organizations.
Key aims and principles of the
CAF
Aims
A standard European
approach
Principles
A process supported by a
standard form
Assessment to support
earlier intervention
Holistic
Improve joint working and
communication
Focuses on needs and
strengths
Support the sharing of
information
Simple and practical
Rationalise assessments
Empowering and a joint
process
Help improvement
CAF cannot guarantee
service provision
CAF helps you:
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Effective identification of the strengths of the
organization and the areas where improvement
is needed
Identification of relevant improvement actions
Increased level of awareness and
communication throughout the organization
to make your people become aware and
interested in quality issues
Total Quality in the organization
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Quality of results =
Quality of organization
Two management models
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ISO 9000 (housekeeping employees) “DO THINGS
RIGHT”
TQM (continuous
improvement - top
management) “DO THE
RIGHT THING”
PDCA
Act
Plan
Check
Do
PDCA
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PLAN: define objectives you want to achieve,
considering your customers
DO: execute your plans, monitoring indicators
CHECK: assess your achievements, comparing
them with your objectives. Success / failure
ACT: correct, revise, reconsider, improve,
consolidate
= Heuristics: solve problems by learning and
discovery
Key words
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Quality
Improvement
Communication (critical success factor)
Self-consciousness
Learning organization
Self - assessment
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“Check first: learn about
yourself – Why?
Incentive your HR
listening them
You get impressions, not
only data
You focus on the citizen
as a protagonist
You add value from
existing competencies
You get info you could
only get n a market
system
Enablers / Results
ACT
Plan, Do, Check
Emphasis on Leadership
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It is different from a
managerial position
Manager: has defined
responsibilities, operates
in predictable
environments, on a daily
basis
Leader: a creative vision
of the future, a driving
force for change, a
talent-scout, adds value
to the whole ensemble
Involves, promotes,
delegates
You always have a choice…
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1.
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In public administrations, WHAT to do is
defined by laws…
But it is up to you to decide HOW to do
it
Focus on vision and mission
Attention to client and stakeholders’
needs
Translate into achievable goals and
strategies
Other enablers
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Personnel: Your Human Resources, a
hidden treasury (Internal Synergy)
Partnership: those who can help you and
have interest in your success (External
Synergy)
Processes: actions organized and finalized
to a scope
Results
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Output: Processes deliver OUTPUTS. In other words,
what pops out of the end of a process is an output.
Outputs are concrete and measurable.
Outcomes: Outputs are produced because there is a
customer of the process who wants them. Customers
usually have expectations about both the process and
the output (how they get what they want, and what they
actually get). An OUTCOME is a level of performance, or
achievement. It may be associated with the process, or
the output. Outcomes imply quantification of
performance.
Impact: non-intended results
Results criteria
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Citizen-oriented
Personnel-oriented
Society-oriented
Key performance –
oriented.
1. Leadership
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Assessment: Consider evidence of what the
organization is doing to:
1.1. Provide direction for the Court by
developing its mission, vision and values.
1.2 Develop and implement a system for the
management of the Court organization,
performance and change
1.3. Motivate and support people in the Court
and act as a role model
1.4. Manage the relations with politicians and
other stakeholders in order to ensure shared
responsibility
2. Strategy and planning
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Assessment: Consider evidence of what the
organization is doing to:
2.1. Gather information relating to the present
and future needs of stakeholders
2.2. Develop, review and update strategy and
planning taking into account the needs of
stakeholders and available resources.
2.3. Implement strategy and planning in the
whole organization
2.4. Plan, implement and review modernization
and innovation
3. People
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Assessment: Consider evidence on what the
organization is doing to:
3.1. Plan, manage and improve human
resources transparently with regard to
strategy and planning
3.2. Identify, develop and use competencies
of employees, aligning individual and
organizational goals
3.3. Involve employees by developing open
dialogue and empowerment
3. People
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Judges and Court Clerks: a pyramid or a team?
Respect, dialogue, empowerment: a safe and
healthy environment
4: Partnerships and resources
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How the organization plans and manages its key
partnerships?
4.1. Develop and implement key partnership
relations
4.2. Develop and implement partnerships with
the citizens/customers
4.4. Manage information and knowledge
4.3. Manage Finances
4.5. Manage Technology
4.6. Manage facilities
5: Processes
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How the organization identifies, manages,
improves and develops its key processes
in order to support strategy and planning?
5.1. Identify, design, manage and improve
processes on an ongoing basis
5.2. Develop and deliver citizen/customer
oriented services and products
5.3. Innovate processes involving
citizens/customers
6. Citizen/customer-oriented
results
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what results the organization has achieved
to meet the needs and expectations of
citizens and customers?
6.1. Results of citizen/customer
satisfaction measurements
6.2. citizen/customer-orientation
measurements
7: People (HR) results
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What results the organization is achieving
in relation to the competence, motivation,
satisfaction and performance of its people.
7.1. Results of people satisfaction and
motivation measurements (welfare)
7.2. Indicators of people results
(satisfaction, productivity, skills
development, mobility)
8: Society results
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The results the Court is achieving in
satisfying the needs and the expectations
of the local community.
8.1. Results perceived by the stakeholders
(e.g.: reputation)
8.2. Indicators of societal performance
established by the Court (e.g.: amount of
media coverage)
9: Key performance results
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9.1. External results: The results the Court
is achieving with regard to the needs and
demands of the different stakeholders
9.2. Internal results: results the
organization has achieved in relation to its
management and improvement
SCORING
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IMPROVEMENT is the scope of CAF
The way to improve is self-assessment
(check)
The output of a self-assessment process is
to have a framework of WEAKNESSESS
and CAUSES.
Scoring helps defining priorities
Results first!
“Results” are objective data and have
a quantitative measurement
 Results are symptoms, the problem is
in Enablers
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How to score “Enablers”
We are not active
0- 10
Plan
We plan to do this 11-30
Do
We are doing it
Check
We check what we 51-70
are doing
We adjust if
71-90
necessary
Act
PDCA
We are
continuously
improving
31-50
91-100
How to score “Enablers”
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Choose the level that you have reached:
Plan, Do, Check or Act.
Give a score between 0 and 100 according
to the level that you have reached inside
the phase. The scale on 100 allows you to
specify the degree of deployment and
implementation of the approach.
How to score “Results”
Trends / Target
No results measured
0- 10
Negative trends /don’t meet targets
11-30
Flat trends/ some targets are met
31-50
Improving trends /most targets are
met
51-70
Substantial progress /most of relevant
targets are met
71-90
Excellent + sustained results/ all
targets met/positive comparison with
other Courts
91-100
How to score “Results”
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Give a score between 0 and 100 for each
sub criterion on a scale divided in 6 levels
(corresponding to the results panel of the
CAF 2002).
For each level, you can take into account
either the TREND, either the
ACHIEVEMENT of the target or both.
Note on scoring…
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Pease note that this is the simplified 2002
scoring system. It is good to start.
A more sophisticated scoring system was
defined in 2006
And now start the process…
1. Start the trip….
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Step 1 Decide how to organize and
plan the self-assessment (SA)
Assure a clear management decision in
consultation with the organization
Define the scope and the approach of the
SA
Choose the scoring panel
Appoint a project leader
2. Communicate…
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Step 2 Communicate the selfassessment project
Define and implement a communication
plan
Stimulate involvement of the staff in the
SA
Communicate during the different phases
to all the stakeholders
3. Compose a group
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Step 3 Compose one or more selfassessment groups
Decide on the number of self assessment groups
Create a self assessment group that is relevant
for the whole organization in all its aspects,
respecting a set of criteria
Choose the chair of the group(s)
Decide if the manager should be part of the selfassessment group
4. training
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Step 4 Organize training
Organize information and training of the
management team
Organize information and training of the self
assessment group
The project leader provides a list with all
relevant documents
Define the key stakeholders, the products and
services that are delivered and the key
processes
5. Do it!
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Step 5 Undertake the selfassessment
Undertake individual assessment
Undertake consensus in group
Score
6-8. ...report…
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step 6 draw up a
report describing the
results of selfassessment
step 7 draft an
improvement plan
step 8 communicate
the improvement plan
9-10 …and improve!
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Step 9 Implement the improvement Plan
Define a consistent approach of monitoring and
assessing the improvement actions, based on
the Plan-Do-Check-Act cycle
Appoint a responsible person for each action
Implement the appropriate management tools
on a permanent basis
Step 10 Plan next self-assessment
Evaluate the improvement actions by a new selfassessment
And now, let’s do an exercise
More info on..
European Institute of Public Administration
(EIPA)
www.eipa.eu