An Introduction to the An Introduction to the European Common European Common

Assessment Assessment Framework (CAF)Framework (CAF)

By Dario Quintavalle – By Dario Quintavalle –

Senior Executive Senior Executive

Ministry of Justice, ItalyMinistry of Justice, Italy

Court Manager of the Court Manager of the

Surveillance Court of RomeSurveillance Court of Rome

IntroductionIntroduction

What is CAFWhat is CAF Why is good for usWhy is good for us The PDCA cycleThe PDCA cycle Enablers and Enablers and

resultsresults ScoringScoring The CAF tripThe CAF trip Exercise of self-Exercise of self-

assessmentassessment

CAF, What is it?CAF, What is it? The CAF is an easy-to-use, free tool to assist The CAF is an easy-to-use, free tool to assist

public-sector organizations across Europe in using public-sector organizations across Europe in using quality management techniquesquality management techniques to improve to improve their performance. their performance.

The CAF is a The CAF is a total quality management total quality management (TQM) (TQM) tooltool

It is inspired by the major Total Quality models in It is inspired by the major Total Quality models in general, and by the Excellence Model of the general, and by the Excellence Model of the European Foundation for Quality Management European Foundation for Quality Management (EFQM) in particular.  (EFQM) in particular. 

It is especially designed for public-sector It is especially designed for public-sector organizations, taking into account their organizations, taking into account their characteristics. characteristics.

Its application to Justice were first experimented in Its application to Justice were first experimented in the Surveillance Court of Rome.the Surveillance Court of Rome.

CAF purposes:CAF purposes: To To introduceintroduce public administrations to the public administrations to the

principles of TQM and principles of TQM and gradually guide them, through the use and gradually guide them, through the use and

understanding of self-assessment, from the understanding of self-assessment, from the current “Plan-Do” sequence of activities to a full current “Plan-Do” sequence of activities to a full fledged “Plan-Do-Check-Act (PCDA)” cycle; fledged “Plan-Do-Check-Act (PCDA)” cycle;

To facilitate the To facilitate the self-assessmentself-assessment of a public of a public organization in order to arrive at a diagnosis organization in order to arrive at a diagnosis and and improvement actionsimprovement actions; ;

To act as a To act as a bridgebridge across the various models across the various models used in quality management; used in quality management;

To facilitate To facilitate bench learningbench learning between public- between public-sector organizations. sector organizations.

Key aims and principles of the Key aims and principles of the CAFCAF

A standard European approach

Assessment to support earlier intervention

A process supported by a standard form

Holistic

CAF cannot guarantee service provision

Empowering and a joint process

Simple and practical

Focuses on needs and strengths

Improve joint working and communication

Rationalise assessments

Support the sharing of information

Principles Aims

Help improvement

CAF helps you: CAF helps you:

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 organizationTotal Quality in the organization

Quality of results = Quality of results = Quality of organizationQuality of organization

Two management Two management modelsmodels ISO 9000 ISO 9000

(housekeeping - (housekeeping - employees) “DO employees) “DO THINGS RIGHT”THINGS RIGHT”

TQM (continuous TQM (continuous improvement - top improvement - top management) “DO THE management) “DO THE RIGHT THING” RIGHT THING”

PDCAPDCA

Plan

Do

Act

Check

PDCA PDCA

PLAN: define objectives you want to achieve, PLAN: define objectives you want to achieve, considering your customersconsidering your customers

DO: execute your plans, monitoring indicatorsDO: execute your plans, monitoring indicators CHECK: assess your achievements, CHECK: assess your achievements,

comparing them with your objectives. comparing them with your objectives. Success / failureSuccess / failure

ACT: correct, revise, reconsider, improve, ACT: correct, revise, reconsider, improve, consolidateconsolidate

= Heuristics: solve problems by learning and = Heuristics: solve problems by learning and discoverydiscovery

Key wordsKey words

QualityQuality ImprovementImprovement Communication (Communication (critical success

factor)) Self-consciousnessSelf-consciousness Learning organizationLearning organization

Self - assessmentSelf - assessment ““Check first: learn Check first: learn

about yourself – Why?about yourself – Why? Incentive your HR Incentive your HR

listening them listening them You get impressions, You get impressions,

not only datanot only data You focus on the You focus on the

citizen as a citizen as a protagonistprotagonist

You add value from You add value from existing competenciesexisting competencies

You get info you could You get info you could only get n a market only get n a market systemsystem

Enablers / ResultsEnablers / Results

ACT Plan, Do, Check

Emphasis on LeadershipEmphasis on Leadership It is different from a It is different from a

managerial positionmanagerial position Manager: has defined Manager: has defined

responsibilities, responsibilities, operates in predictable operates in predictable environments, on a environments, on a daily basisdaily basis

Leader: a creative Leader: a creative vision of the future, a vision of the future, a driving force for driving force for change, a talent-scout, change, a talent-scout, adds value to the whole adds value to the whole ensembleensemble

Involves, promotes, Involves, promotes, delegatesdelegates

You always have a choice…You always have a choice…

In public administrations, WHAT to do In public administrations, WHAT to do is defined by laws…is defined by laws…

But it is up to you to decide HOW to But it is up to you to decide HOW to do itdo it

1.1. Focus on vision and missionFocus on vision and mission

2.2. Attention to client and stakeholders’ Attention to client and stakeholders’ needsneeds

3.3. Translate into achievable goals and Translate into achievable goals and strategiesstrategies

Other enablersOther enablers

Personnel: Your Human Resources, a Personnel: Your Human Resources, a hidden treasury (Internal Synergy)hidden treasury (Internal Synergy)

Partnership: those who can help you Partnership: those who can help you and have interest in your success and have interest in your success (External Synergy)(External Synergy)

Processes: actions organized and Processes: actions organized and finalized to a scopefinalized to a scope

ResultsResults Output: Processes deliver OUTPUTS.  In other Output: Processes deliver OUTPUTS.  In other

words, what pops out of the end of a process is words, what pops out of the end of a process is an output. Outputs are concrete and measurable. an output. Outputs are concrete and measurable.

Outcomes: Outputs are produced because there Outcomes: Outputs are produced because there is a customer of the process who wants them.  is a customer of the process who wants them.  Customers usually have expectations about both Customers usually have expectations about both the process and the output (how they get what the process and the output (how they get what they want, and what they actually get).  An they want, and what they actually get).  An OUTCOME is a level of performance, or OUTCOME is a level of performance, or achievement.  It may be associated with the achievement.  It may be associated with the process, or the output.  Outcomes imply process, or the output.  Outcomes imply quantification of performance.quantification of performance.

Impact: non-intended resultsImpact: non-intended results

Results criteriaResults criteria

Citizen-orientedCitizen-oriented Personnel-orientedPersonnel-oriented Society-orientedSociety-oriented Key performance –Key performance –

orientedoriented.

1. Leadership1. Leadership 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. 2. Strategy and planning 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. People3. People Assessment: Consider evidence on what

the organization is doing to:

3.1. Plan, manage and improve humanresources transparently with regard tostrategy and planning3.2. Identify, develop and use competenciesof employees, aligning individual andorganizational goals3.3. Involve employees by developing opendialogue and empowerment

3. People3. People Judges and Court Clerks: a pyramid or a Judges and Court Clerks: a pyramid or a

team?team? Respect, dialogue, empowerment: a safe

and healthy environment

4: Partnerships and resources

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

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-orientedresults

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

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

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

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

SCORINGSCORING

IMPROVEMENT is the scope of CAFIMPROVEMENT is the scope of CAF The way to improve is self-The way to improve is self-

assessment (check)assessment (check) The output of a self-assessment The output of a self-assessment

process is to have a framework of process is to have a framework of WEAKNESSESS and CAUSES. WEAKNESSESS and CAUSES.

Scoring helps defining prioritiesScoring helps defining priorities

Results first!Results first!

““Results”Results” are objective data and are objective data and have a quantitative have a quantitative measurementmeasurement

Results are symptoms, the Results are symptoms, the problem is in Enablersproblem is in Enablers

How to score “Enablers”How to score “Enablers”

We are not We are not active active

0- 100- 10

PlanPlan We plan to do We plan to do thisthis

11-3011-30

DoDo We are doing itWe are doing it 31-5031-50

CheckCheck We check what We check what we are doingwe are doing

51-7051-70

ActAct We adjust if We adjust if necessary necessary

71-9071-90

PDCAPDCA We are We are continuously continuously improvingimproving

91-10091-100

How to score “Enablers”How to score “Enablers”

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”How to score “Results”Trends / TargetTrends / Target

No results measuredNo results measured 0- 100- 10Negative trends /don’t meet Negative trends /don’t meet targetstargets

11-3011-30

Flat trends/ some targets are metFlat trends/ some targets are met 31-5031-50Improving trends /most targets Improving trends /most targets are metare met

51-7051-70

Substantial progress /most of Substantial progress /most of relevant targets are metrelevant targets are met

71-9071-90

Excellent + sustained results/ all Excellent + sustained results/ all targets met/positive comparison targets met/positive comparison with other Courtswith other Courts

91-10091-100

How to score “Results”How to score “Results”

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…Note on scoring…

Pease note that this is the simplified Pease note that this is the simplified 2002 scoring system. It is good to start. 2002 scoring system. It is good to start.

A more sophisticated scoring system was A more sophisticated scoring system was defined in 2006defined in 2006

And now start the process…And now start the process…

1. Start the trip….1. Start the trip….

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…2. Communicate…

Step 2 Communicate the self-assessment 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 group3. Compose a group

Step 3 Compose one or more self-assessment 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 self-assessment group

4. training4. training

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! 5. Do it!

Step 5 Undertake the self-assessment

Undertake individual assessment Undertake consensus in group Score

6-8. ...report…6-8. ...report…

step 6 draw up a report describing the results of self-assessment

step 7 draft an improvement plan

step 8 communicate the improvement plan

9-10 …and improve!9-10 …and improve!

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

self-assessment

And now, let’s do an exerciseAnd now, let’s do an exercise

More info on..More info on..

European Institute of Public European Institute of Public Administration (EIPA) Administration (EIPA)

www.eipa.eu