CAF Improvement identification, prioritisation and implementation · Paper2 (July 2016 - July 2019)...

CAFImprovementidentification,prioritisationandimplementation

Astudyofinspiringpracticesinstalledin20PublicSectororganisationsthroughoutEuropeandthemethodologiesforprioritisation.PatrickStaes,NickThijs,DorinaClaessens

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Executivesummary

UndertheItalianPresidencyoftheCounciloftheEUduringthesecondsemesterof2014,thefocuswas

ontheimpactoftheuseoftheCommonAssessmentFrameworkCAFonpublicsectororganisations,inparticularintheSectorofEducation.Oneofthemostremarkableconclusionsofthestudy,undertakenby EIPA on demand of the Italian Presidency1, was that scores of all eight CAF results sub-criteria

increasedaftereachCAFimplementationin12cases.

The present study builds further on the findings of the Italian study, broadening the scope toorganisationsofthewholepublicsectoranddescribingmoreindetailthedifferentgoodpracticesthatwere installed in 20 organisations from 13 different countries. As the CAF stimulates the holistic

approach of the Total Quality Management to improve the performance of the public sectororganisations, based on the Plan Do Check and Adapt (PDCA) circle of continuous improvement, theinterconnectionbetween theenablersand the results criteria is fundamental. Tounderstandpossible

impactlines,theoretical insightisnotsufficient.Examplesofconcretesuccessstories,evidence-based,describedbytheprocessownersthemselves,indicatingwhatkindofeffortstheyundertooktoimprovetheir performance are indispensable. Thanks to the engagement of all our European National CAF

correspondents,theSlovakpresidencyandtheEuropeanCAFResourceCentreattheEuropeanInstituteof Public Administration EIPA received 43 cases and had the difficult task to select 20 of them. Theselectedorganisationswerefoundtobe inspiringand innovative,dealingwiththemesof theStrategy

Paper2(July2016-July2019)oftheEuropeanPublicAdministrationNetwork(EUPAN)andtheRollingProgrammeofthedifferentpresidenciesinthecoming3years3.

PART1:20improvementactionsleadingtobetterperformanceastheresultofCAF

The study presents the 20 cases in-depth per country. Each time, after a short introduction of theorganisation,thecasedescriptionstartswiththedescriptionoftheimprovedresultsoftheorganisation

because these are the final criteria for successof the improvement efforts. In chapter 2, the authorsdeal with the implemented improvement or their change project(s) after the CAF self-assessment,leading to the resultsmentioned. Finally, they explain how theymade their strategic choices for the

undertakenactions,sometimesbasedonaEuropeanornationalprioritisationmethodology,sometimesbasedontheirownapproach.

1RefereCAFintheEducationSector.Successfulstoriesofperformanceimprovement.2014.ItalianPresidencyoftheCounciloftheEuropeanUnion.http://www.eipa.eu/files/File/CAF/CAF%20Education%20Research%20Report_20150601.pdf2EUPANStrategyPaper(July2016-July2019)http://www.eupan.eu/files/repository/20160801161004_First_EUPAN_Strategy_Paper.pdf3Goodgovernance,HR Innovationandorganisationaldevelopment,service innovationanddeliveryandnearlyall thetopicsundereachdomainaredealtwithinCAFthatprovidesadequateoperationalapproachesatorganisationallevel.

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For this executive summary, the cases are clustered according to the relevant domains of publicmanagement.

Cluster1:Theeffectivenessofstakeholderinvolvement

The education and guidance needs of the Italian Secondary Education Institute Galilei-Artiglio,Viareggio,Italy

Gatheringinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagement

information is thebasisof success for thiseducation institute.20% increaseof thenewentrees,40%increase of the attendances to seminars of in depth study and 20% increase of good reports bycompanies where students have done their internship. This shows that themain strategic initiatives

takenweresuccessful.Mostimportantwerethesurveysaboutthefutureemploymentofthegraduatesfromthisschoolintheemploymentmarkettheirchoicesatuniversity,theorganisationofseminarsandscientificpost-graduatecourses.

Increased stakeholder involvement in the planning of the Consumer Ombudsman’s work andpriorities.ConsumerOmbudsman,Norway

The organisation has installed a more systematic approach to obtain relevant information fromstakeholders in the planning of the organisation’s priorities for the coming year. It held a series of

meetingswithrelevantstakeholdersduringtheplanningphaseoftheactionplan.Selectedstakeholderswhere invited to give presentations to the organisation. The foreword of the organisation's plan ofaction2016highlightstheincreasedinfluenceofitsstakeholders.

Cluster2:HumanResourcesManagement

HRManagementattheDistrictofUpperBavaria,Germany

The installedHRManagementat theDistrictconsiders theemployeeas the foundationof itssuccess.The most relevant components that were established were a standardised feedback system for the

executive staff by the employees to improve theirmanagement skills, a curriculum for the executivestaffandmiddlemanagement,theintroductionofanoperationalhealthmanagementsystemwithinthedistrict and external assessment of the organisation and key processes at the HR department.

InnovativeHumanResourcesManagementintheLisbonMunicipality,Portugal

ByusingCAFasaguide,thisMunicipalitywasabletoprovideaclearvisiononHRresponsibilitiesandbuilduptheHRFunctionbycreatingtrainingteamsthatworkwithmanagers,promotingvoluntaryand

short-termparticipationonprojects,aligningorganisationalandindividualcompetenceswithrespectivedevelopment plans and creating a learning community for performance management. Employees'participationlevelsontrainingincreasedby21%andmorethan126employees(250hoursoftraining)

weretrainedontopicssuchasHRFunctionandininternalclientrelations.

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Cluster3:PerformanceandStrategicManagement

Consequences of the implementation of Performance Management in the entire FederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery,Austria

The comprehensive introduction of performancemanagement in the Federal Administration in 2013hadabig impacton theCAF results in LeadershipandStrategicmanagement inDG III of theFederalChancellery. With the introduction of the new system of performance management, the Federal

Chancelleryhasdevelopedamissionstatement,outcome-goals,measures, indicatorsonall levelsandanevaluationsystem.

StrategicplanningintheFlemishDepartmentofAgricultureandFisheries,Belgium

The outcome of the CAF exercise at the Flanders Department of Agriculture and Fisheries can be

summarised as the need for one overall ‘strategic exercise’. Several SWOT analysiswith internal andexternal stakeholders prepared the exercise and identified trends. A two-day strategic seminar withmanagementrepresentativesandkeypersonsresulted inthenewstrategic frameworkwithamission

statement, vision, strategy and values for the neworganisation.Within this strategic framework, theorganisation further elaborated several key elements such as the HR strategy, integrity, diversity,wellbeingandcommunication).Itdefinedandfollowedupoperationalplans.

Cluster4:CAFbasedTQMManagement

Stakeholder analysis in the Hessian Administration for Land Management and Geoinformatics,(HVBG),Germany

HVBGisintheprocessofreducingpersonnelexpenditureandcostsofinfrastructure.Itconcentratesoncore duties and offers good products and services to core customers. It improves processes andtechnology to reduce treatment/process times in order to reduce process costs or to decrease

complaints on products/service. HVBG invests at the same time in personnel development andtechnology.AllthisisachievedbyimplementingStrategicManagementincludingcontractswithpoliticalleadership(2010,2011-2016and2017-2022),partnershipswithrelevantorganisations/corecustomers,

leadership development programs for all hierarchical management, staff developmentactivties/programmes,teamwork-structureineverysectionoftheorganisationandProcess,KnowledgeandProjectManagementsince2009.

CAF-inspiredLeadershipintheCityofVienna,Austria

CAF is shown to be a useful tool to enable executives to quickly and successfully take up their newposition, and to optimise an organisation in an evolutionary way. The new management optimisedvalues,strategies,structures,processes,facilitiesforpeopleandothermanagerialassets.Ittransformed

the former authoritative one-person leadership into a multi-competences leadership team byintroducing division coordinators, executive departments and decentralised administrative units. Athorough remodelling regarding theorganisational structureandprocedures tookplace, following the

principles of modern leadership and involving staff and stakeholders. Targets of the new leadership

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culture were for example: enhance trust, promote a positive error and complaint culture, developmanagement principles, implement a mission statement for leadership and develop an educationstrategyforseniorstaff.

WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment,Spain

Thankstodifferentimprovementactivities,theTreasurydepartmentrealisedaremarkableincreaseinthenumberof tax settlementsand reverse-chargespaid, tax collectionsduring thevoluntaryand theenforcement period, economic transparency, interdepartmental coordination, satisfaction of citizens

and employees, accessibility of facilities and partner involvement. It decreased the number ofcomplaints filed, the average payment period, the indebtedness level and the local debt amount. It

created two professional social communities, simplified processes,made all procedures accessible byelectronicmeansandnewelectronicpaymentsystems.Itestablishedaninformationexchangesystemwith regular surveys and meetings, a training plan and gradual empowerment and specialisation of

someemployees,aServicesCharterforthecitizensandanadvancedmanagementandpaymentsystemaswellaspublic-privateagreements.

Cluster5:Customerandpeopleorientedcontinuousimprovement

ContinuousimprovementoftheMinistryofFinance,Estonia

Results under criterion No 6 citizens/clients and under the key performance results criterion No 9strongly improvedduringtherecentyearsbut incriterionNo7thepeopleresultsonlyslightlyraised.

The citizens/customers and partners needs were better understood which led to more and bettere-servicesfortheclients.Newagenciesstartedup:theInformationTechnologyCentreoftheMinistryofFinance aimed at offering ICT support and the State Shared Service Centre consolidating of all the

supportservices.ChangesinthebudgetingprocessandtheefficientapplicationofEUStructuralFundsresourcesalsoledtotheadvancementofservicesandabettergoverningsystem.Constantchangesinthe people management took place with the elaboration of a personnel policy document, a better

accessibility of information, a more understandable salary system and fundamental changes in thesystemofappraisalinterviewsinlinewiththecompetencymodel.

Process innovation in order to improve the customer satisfaction of the Automobile Club d’Italia,Savona,Italy

The Savona Territorial Unit achieved remarkable results regarding the users satisfaction of services(from40%to thecurrent70%), thesatisfactionof thepeople (from50%to thecurrent90%)and thereductionofthecitizenwaitingtimes(fromanaverageof20minutestoanaverageof5minutes).This

couldberealisedthankstotheimprovementofthefront-officeprocessesand,inthemeantime,tothedevelopmentofasystemicandstructuredsystemofcomplaintsmonitoringtocheckthestatusoftheimprovingactions.ThemajorimprovementareadefinedintheCAFself-assessmentwasmanagingpeak

workinghoursatthefrontoffice.

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Cluster6:Staffinvolvement

Theinitiative-systemintheStateResidentialSchoolLiminka,Finland

The staff of the residential school is actively involved in the development of activities through therenewedinitiativework.Thenumberofinitiativeslaunchedbythestaffhasrisenfrom16in2010to84

in2014. Initiativesareagood tool for improving safetyandsharedownership in theverydemandingeveryday tasks of the organisation. Themanagementmade presenting initiatives as easy as possible.Peopleentertheinitiativesdirectlytoanelectronic‘MAP’,i.e.themanagementandoperationalsystem

of the organisation. In case somebody wishes so, he or she can ask the management to write theinitiativesintothesystembyface-to-facecontactore-mail.Themanagementteamdealswiththenewinitiativesonamonthlybasis.

TheBankofIdeasintheCustomsChamberofBialystok,Poland

The Bank of Ideas improves the process of internal communication, both vertically as well ashorizontally. On a regular basis, the management at all levels is informed about all the aspects ofactivitiesneedtobe improvedandwhichare important tostaff.The functioningof theBankof Ideas

improves the satisfactionofofficers/employeesand increases the identificationofofficers/employeeswith the service. TheBankof Ideas is a costless platform throughwhich every employeeof the localcustomschambercansubmitanyideatoimprovetheorganisationalcultureandgovernance.TheBank

of Ideaspromotes the innovationofprocessesand thecreativityofofficersandemployees.Thiscasepresentsthreemajorimprovementactivities:theMobileapplicationGranica,providingfullinformationaboutthewaitingtimeatthePolishbordercrossingwithRussia,BelarusandUkraine(1),theunification

of the email addresses structure for receiving customs declarations (2) and the electroniccommunicationwiththedistrictcourts(3).

Cluster7:Workingtogetherforbetteroutcome

Target-orientednetworkleadershipofeducationalservicesinthePäijät-häme,Finland

A network of independentmunicipalities in the region of Päijät-häme has built a common vision oneducational servicesand themunicipalitiesarecommitted towork together inacooperativemanner.Thevisionispresentintheproductionofeducationalservicesandharmonisingthosethoughcommon

principles.Thenetwork-basedapproachinvolvingcentraloperatorsfromdifferentmunicipalitiesinthesame service provision chain and under the same direction has turned out to be a well-functioningmethodofcollaboration.Theproposedmeasuresaffectallprofitcentres,customersscores,staffscores,

socialresponsibilityscoresandkeyperformancescores.Thebasis isaCAFbasedoperatingsystemfornetworkleadership.Thecommitmentofcityandmunicipalitygovernmentstooperativecooperationisessential. Plans for developing new networks for substance areas, starting common projects and

buildinganelectronicdatabase,areonthetable.

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QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar,Portugal

SixSchoolsGroupFigueiraMarisamultilevelinstitutionlocatedinFigueiradaFoz,consistingof6public

schools with 1200 students and all levels of education from pre-school to regular and vocationalsecondaryeducation.CAFallowedthereflectionaboutthenewlyformedschoolcluster.Startingfrom

the vision of each school, they construct a holistic identity and culture, mobilising the entire schoolcommunity inorder tomake investments in improving student-learningenvironmentand toenhancestakeholder satisfaction. They developed strategic documents focused on the identity of the recent

school cluster such as the Educational Project, the Regulation and theWelcome programme to newteachers, students and parents. The cluster applied satisfaction surveys to stakeholders (partners,students, parents and staff) which highlight leadership, administrative organisation, resource

managementandeducationalstrategies.

Cluster8:Sharinginformation

TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService,Greece

HMGS has designed, developed and implemented an Integrated Information System (IIS) for thedisseminationofallpertinentgeographicinformationtothepublic,aswellastobothpublicandprivate

institutions. Successful completion relied upon the adaptation of current e-shop technologies andpractices. HMGS’s objective was to deliver accurate, precise, real-time information on all available,distinct GeospatialMaterials and allow for directory browsing, product selection and purchase. Sales

andinventorymonitoringresultinimprovedproductioncapacityandefficiency.TheIISimplementationhasproventobeanimportantaidtoleadership.Managementpracticesreflectuponperformanceandare appropriately fine-tuned to support continuous improvement and innovation, hence fostering

effective relations with the stakeholders. Furthermore, the IIS allows for clear vision and proactiveplanning,sincedataanalyticsoffer insightsonthepresentandfutureneedsofstakeholdersanddriveresourceallocation.

TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje,Slovenia

TheAdministrative InformationServiceSystemCelje (AISS)contributed toanevenbettercooperationbetween the Administrative Unit Celje and other authorities. The information passed through AISSenables their clients to declare their requests with all necessary attachments. Because of this, the

authorities can solve the requests more effectively and before legal time limits. Resulting in highersatisfaction of clients and employees. While determining the satisfaction of other authorities ofAdministrative Unit’s Celje work, the grade received was ‘excellent’. Since 2013 all cases are being

solvedinorbeforelegaltimelimitsattheAdministrativeUnitCelje.

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Separatetheme:Communicationasthedriverforchange

Aqualityapproachfocussedoninternalandexternalcommunicationinthe“HautEcole”ofHainaut,Belgium

Acontinuousimprovementofthecommunicationandstrategicskillsledtothepromotionofacultureofqualityinthiseducationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellasteachers,administrativeandtechnicalemployeesoftheHEH.Differentapproaches

were installed: a participative organisation for external communication, the elaboration of a QualityCharter and its internal diffusion with planned self-awareness of each item, an effective internalcommunicationwithextranet,computerisedsupport,freeprogrammes,onlinelearningtoolssupported

byanITteam,andprojectsalikeawelcomeguideandalumnifollow-up.

Separatetheme:Internalrecruitmentofmanagers

TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw,Poland

The setting of a transparent procedure for managerial positions not only contributed to bettermanagementofhumanresourcesassuchwithreferencetotheorganisation’sgoalsbutalsoimprovedthe satisfaction andmotivation of the employees. In the Polish civil service there are no recruitment

regulations dedicated to themid and lower levelmanagerial positions in the tax services. These aretreated as regular civil service positions. In order to provide better transparency of recruitment andbetter alignment of the employees hired to the organisation’s goals, a recruitment procedure was

establisheddefiningrulesandselectioncriteria.

Separatetheme:ProcessManagement

The use of 6σ (Lean – Six Sigma) for streamlining processes in the Implementation Agency of theSlovakMinistryofEmployment,SocialAffairsandFamily,Slovakia

The implementation of Lean Six Sigma into the process approach brought measurement of theemployee’s performance alongwith the impact to their financial remuneration, the reduction of theerror rate andmajor acceleration of service delivery. Amanagement information system (ATTIS)was

introduced to the entire organisation (250 employees). Other aspects were the mapping of the keyprocesses and the assistance of the management and support processes by PRINCE2® projectmanagement.

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PART2:Theprioritisationmethodologies

Self-assessmentreportsareveryrich,pointoutseveralareasof improvementandoftencontainmore

than 100 to 150 concrete improvement proposals of self-assessment teams. However, successfullymanaging an organisation towards excellence includes making choices and implementing targetedimprovementactionsthatreallycontributetosustainablematurityoftheorganisation.TheCAFmodel

does not prescribe a particular prioritisation methodology and many public sector organisations arestrugglingwiththisstrategicaspect.Somecountrieshavedevelopedtheirownprioritisationapproachandpromoteitamongsttheirusers.

Basedonthemethodologiesdescribed inpart2ofthestudywecanmakeadistinctionbetweenfour

typesofmethodologies.

1.ThemethodologydevelopedbyEIPAandspreadattheEuropeanlevel

This methodology is based on the Belgian experiences and used during the European trainings andcoaching by EIPA. In line with the motto of CAF to concentrate on the most relevant aspect of the

analysis, theSelf-AssessmentGroup(s) -withorwithout the leaders included-are invited to formulateSMART(Specific,Measurable,Acceptable,RelevantandTimebounded)improvementactionsrelatedtowhat they consider the most relevant areas of improvement per sub-criterion. In this sense, the

members of the self-assessment groups give already a first direction to the improvement activities.Indeed,fromthenon,thefocusshiftsfromtheanalysisofstrengthsandareasof improvementtotheevaluationandprioritisationoftheproposedactionsandtheelaborationofthestrategicimprovement

actionplan.

In the prioritisation phase, collaboration between the managers and the members of the self-assessment group(s), representing in some way the whole staff, is very important. In case the

management team was not represented in the self-assessment group or did not undertake a self-assessment on it’s own, themanagement team is for the first time actively involved in the decisionmakingprocessonthefuture.Forthemembersoftheself-assessmentteam(s)ontheotherhand,itis

veryoftenthefirsttimeintheircareerthattheycandiscusswiththemiddleandtopmanagementonstrategicandoperational issues.Theylivethisasaveryrewardingexperience.Oftenit isforthemthestartofalong-terminvolvementintheimprovementoftheorganisation.

Defining theQuickWins,with theengagement to realise theseactionswithina shortdelay,weighing

thestrategicimpact(SW)oftherestoftheproposedactionsandevaluatingtheeaseofimplementation(EIM) of the most important actions, demands in-depth reflection. Defining the priority ofimplementation(PIM)andthefinalchoiceoftheactionsdependtoahighextendofthequalityofthese

discussionsandthetrustbetweentheactors.

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2.MethodologiesdevelopedbyNationalCAFResourceCenters

In 2 countries, the national CAF resource centre and the national CAF correspondent developedthemselvesamethodologythatisdisseminatedinthecountry.

2a.TheItalianapproach

In the fivephasesof the Italianmethod, theselectionof thepriorityareas for improvement involvingstaffandmanagementistheimportantstartingpoint.

Inphase1,theSelf-AssessmentGroup(SAG)makesacross-sectionalsynthesisoftheweakpointsthatappearinallthesubcriteriaandclassifiesthemaccordingtothreecharacteristics:recurrence,strategic

importanceandoperationalimportance.

Inphase2,theSAGandManagerdefinebetween4to6CriticalSuccessFactors(CSF’s)relatedtothemission,visionandstrategicobjectivesoftheorganisation.TheyassesstheimportanceorrelevanceofeachsubcriterionfortheachievementoftheCSFs.Persubcriterion,thetotalscoreismadeandpurely

mathematically calculated on a scale from 1 to 10 to define the relevance of each sub criterion. Bycrossing the relevance of each sub criterion with the score obtained in the CAF self-assessment, 4prioritylevelsaredefinedamongstthesubcriteria.Especiallytherecurrentandstrategicallyimportant

weaknesses of the sub criteria with priority 1 (high relevance and low score) and priority 2 (lowrelevanceandlowscore)areanalysed,resultinginapreliminarylistofweaknessesbetween8and15.

Inphase3, theSAGdefinespossible improvement initiatives foreachweakness.After clustering, thiscanleadto6to12initiatives.

InPhase4,theSAGdefinesforeachimprovementinitiativeitsimpactonthecriticalsuccessfactors,the

feasibilityandtherealisationtime,informationthatmusthelpthemanagertomakehisfinaldecision.

Inphase5,themanagerdecidesonexecuting3to5actionsbesideanumberofQuickWins.

VeryimportantintheItalianapproachisthecross-sectionalsynthesisoftheweakpointsduringtheCAFself-assessmentandthedefinitionoftheCSF’sthatarethebasisfortheevaluationoftherelevanceofthesubcriteriabytheSAGandtheManager.Toacertainextent,thisaddsanextradimensionofthe

useoftheCAF,thatdoesnotweighthesubcriteria.Thefourprioritylevelshelptofocusonthemostneededaction radius.As inothermethodologies, impact, feasibilityand realisation timeof theactionproposalsareevaluated.

2b.ThePortugueseapproach

The first step in the Portuguese methodology brings the proposals for improvements from the self-assessment teams together with the stakeholder’s suggestions from the satisfaction surveys and

clusters them in topics. Integrating stakeholder’s suggestions is particular in this approach. TheQuickWins amongst the proposed actions are directly set aside as in the EIPA methodology and will berealisedanyhow.

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Steptwodefinestherelevanceoftherestoftheimprovementactionsfortheorganisationalobjectives.

In step three, theproposed relevantactionsare rankedaccording to three criteria: the impactof theactionontheorganisationalperformance,thecapacityof implementationoftheactionandits impactontheclients’ satisfaction,similar to theEIPA’sandthe Italiancriteria.Anexecutionschedule for the

overall improvementplanallowsmonitoring thesystematic followup.Eachaction formdealswithalltheaspectsthatneedstobetakenintoconsiderationtomakeitsuccessful.

3.Recommendationsforprioritisationatnationallevel

In other countries, the national CAF Resource Centre did not elaborate a comprehensive nationalmethodologyforprioritisationbutsharesdifferentwaysthatareusedinorganisationstocometotheiractionplan.

3a.Poland

In one approach, the self-assessment group defines in advance concrete characteristics for theimprovementactions tobe formulated, e.g. inone case12 characteristicswere formulated.Amongstthesuggestedactions,theorganisationselectsforimplementationtheactionslinkedtothesubcriteria

withtheweakestscores.

In another method, the management defines the prioritisation criteria in line with the strategicobjectivesoftheorganisation.

In the thirdmethodology, themembers of the self-assessment group and themanagers reformulate

togethertheproposedactionstobringthemmoreinlinewiththeimprovementareas.Thentheimpactonthestrategicobjectivesandthecapacitytoimplementtheactionareevaluatedandranked.Outoffiveproposedactions,threeareimplementedinthecurrentyear.

3b.Austria

The Austrian CAF Centre also recommends a limited number of milestones. A list of by average 80improvements actions as the result of the consensus meetings of the self-assessment group SAG isdiscussedinaworkshopwithrepresentativesoftheSAGandthemanagement.QuickWinsaredefined.

Out of the remaining actions, the 10 to 12 most important are selected and further specified andclustered. Afterwards,working groups draft project descriptions andplenary sessions find consensus.Thelowprioritisedactionsaredealtwithaftertheimplementationoftheprojectplans.

3c.Finland

ThemethodologyofprioritisationusedintheStateTreasurycanbeseenasanexampleforotherpublicorganisations.Allproposalsforimprovementareanalysedontheirusefulnessandtheamountofworkto install them.Thecombinationofbothcriteria leads toa ranking frommostpromising, topotential

and least promising actions. QuickWins are clearly defined and togetherwith the actions leading to

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future goals, launched straight away. Potential and future proposals are reflected on the strategicpriorities and financial possibilities of the organisation. They are evaluated on their effect on theefficiencyandeffectivenessoftheorganisation,onthecriticaltimeforactionandtheimportanceofthe

enablingorriskminimisingnatureoftheaction.Amaximisedparticipatorydiscussiononthefinalchoiceoftheactioncommitsstaffinthepreparationofthefuture.

4.ThemethodologyoftheSlovakcase

Allemployeesare invited to introduceproposals for improvement,notonly themembersof the self-assessmentgroup.ThemanagementandtheCAFteamdefinethepriorityoftheaccordingtothescoresoftheCAFcriteria(CC)andtheCAFPrinciplesofExcellence(PoE).Basedonthequestionnaireofthe3rd

pillar of the CAF Procedure on External Feedback, the fulfilment of the principles of Excellence areanalysedandtheresultsintegratedinthePoEindex,indicatingthelevelofmaturity.TheCAFindex(Icc)showstheurgencyofactioninaspecificsub-criterion.Thefinalpriorityindex(Ip)isanadditionoftheIcc

index (urgency) for 60% and the PoE index (level of maturity) for 40% : Ip = 0,6*Icc + 0,4Ipoe. In thismethodology,thematuritylevelplaysamoreimportantrolethenintheotherapproaches.

Characteristicsofthedifferentprioritisationmethodologies

Allthemethodologieshaveanumberofaspectsincommontoacertainextent:

• InthestartingphasetheyalldefineQuickWins.

• Theappreciationofstrategicimportanceorimpactoftheimprovementactionsassuchorin

relationwiththestrategicobjectivesoftheorganisationarealwayspresent.

• Theanalysisofmostaspectsofthefeasibilityoftheactionsarealwaystakenintoconsideration.

• Thefinaldecisionalwayslaysinthehandofthemanagement.

Therearedifferencesregarding:

• Theinvolvementofallstaffandotherstakeholdersintheintroductionofproposalsfor

improvement.

• TheinvolvementoftheSAGmembersinthechoiceoftheactions.

• Thenumberofchosenactions.

• TheintegrationofthelevelofmaturityaccordingtothePrinciplesofExcellenceinthemethod.

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TableofContents

Acknowledgements........................................................................................................................3

Introduction...................................................................................................................................7

PART1:20improvementactionsleadingtobetterperformanceastheresultofCAF

Austria

Case:CAF-inspiredLeadershipintheCityofVienna.......................................................................15Case:ConsequencesoftheimplementationofPerformanceManagementintheentireFederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery.........................................22

Belgium

Case:StrategicplanningintheFlemishDepartmentofAgricultureandFisheries.........................28Case:AqualityapproachfocussedoninternalandexternalcommunicationintheHauteEcoleofHainaut........................................................................................................................................35

EstoniaCase:ContinuousImprovementoftheMinistryofFinance............................................................42

Finland

Case:Target-orientednetworkleadershipofeducationalservicesinthePäijät-Häme.................50Case:Theinitiative-systemintheStateResidentialSchoolLiminka...............................................59

Germany

Case:HRManagementattheDistrictofUpperBavaria.................................................................67Case:StakeholderanalysisintheHessianAdministrationforLandManagementandGeoinformatics................................................................................................................................74

Greece

Case:TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService........85Italy

Case:TheeducationandguidanceneedsoftheItalianSecondaryEducationInstituteGalilei-Artiglio..................................................................................................................................92Case:ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia......................................................................................................................................99

Norway

Case:IncreasedstakeholderinvolvementintheplanningoftheConsumerOmbudsman’sworkandpriorities........................................................................................................................104

Portugal

Case:InnovativeHumanResourcesManagementintheLisbonMunicipality..............................110Case:QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar...117

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Poland

Case:TheBankofIdeasintheCustomsChamberofBialystok.....................................................124Case:TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw........................................................................................................................................133

Slovakia

Case:Theuseof6Ϭ(Lean–SixSigma)forstreamliningprocessesintheImplementationAgencyofSlovakMinistryofEmployment,SocialAffairsandFamily...........................................139

Slovenia

Case:TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje....150Spain

Case:WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment...................................................................................................................................158

PART2:Theprioritisationmethodologies

TheEIPAapproach..............................................................................................................................171TheItalianapproach...........................................................................................................................185ThePortugueseapproach...................................................................................................................196ThePolishapproaches........................................................................................................................203TheAustrianapproach.......................................................................................................................205TheFinishapproach............................................................................................................................207TheapproachoftheSlovakcase........................................................................................................210

Conclusions

Whatarethelessonstobelearnedfromtheselected20goodpractices?.......................................215Whatinsightsdotheintroducedprioritisationmethodologiesprovide?..........................................222

TheCAFnetwork

TheCAFnetwork................................................................................................................................229TheCAFNationalCorrespondents......................................................................................................230TheEuropeanCAFResourceCentre...................................................................................................235

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Acknowledgements

Thisstudywouldnothavebeenpossiblewithoutthecrucialhelpofanumberofpeople.Firstofall,theEuropeanCAFResourceCentrewouldliketothanktheSlovakPresidencyforcreatingtheopportunityto

learn from good practices installed by 20 public sector organisations from 13 countries and fromprioritisationmethodologiesthatweredeveloped.

WealsowanttothanktheCAFnationalcorrespondents (CAFNC)forconvincing41CAFusers intheircountries to present themselves as candidates for the study. 13 countries reacted positively on our

demandandafewothersapologisedfornotbeingabletocollaboratethistimeduetoworkconstraintsand restructuration. Special thanksgoes to the countries that shared theirprioritisationmethodologywithus.Thesemethodologieswillcertainlycontributetoarational,strategicandwellbalanceddecision

makingprocessonthemostrelevantandurgentimprovementactionstoundertakeaftertheCAFself-assessment.

Furthermore,wewould liketowarmlythanktheCAFusersthatsent intheircasedescription.Wearefullyawareof thefact that thiswasademandingexercise,especiallyasweneededthedescription in

English.Weareverygrateful.Weespeciallythankthosewhoreceivedrequestsfromoursideforfurtherexplanationoradaptationsfortheirwillingnessforansweringsotimelyandeffectively.

And last but not least, we would like to thank our colleagues at the European Institute of PublicAdministration(EIPA)whocontributedwithpracticalsupportintheeditingofthepresentpublication.

EuropeanCAFResourceCentre

PatrickStaes,

NickThijs,

DorinaClaessens,

SimoneMeesters

5

Introd

uction

7

Introduction

UndertheItalianPresidencyoftheCounciloftheEUduringthesecondsemesterof2014,thefocuswas

put on the impact of the use of CAF on public sector organisations, in particular in the Sector ofEducation.

The CommonAssessment Framework (CAF)4 is a result of the co-operation among the EUMinistersresponsibleforPublicAdministration.Apilotversionwaspresented inMay2000andrevisedversions

were launched in 2002, 2006 and 2013. The CAF is an easy-to-use, free tool to assist public-sectororganisationsacrossEuropeinusingqualitymanagementtechniquestoimprovetheirperformance.TheCAF isaTotalQualityManagement (TQM)toolwhich is inspiredbythemajorTotalQualitymodels in

general,andbytheExcellenceModeloftheEuropeanFoundationforQualityManagement(EFQM)inparticular. It is especially designed for public-sector organisations, taking into account theircharacteristics.Themodelisbasedonthepremisethatexcellentresultsinorganisationalperformance,

citizens/customers,peopleandsocietyareachieved through leadershipdrivingstrategyandplanning,people,partnerships,resourcesandprocesses.Itlooksattheorganisationfromdifferentanglesatthesametime;aholisticapproachtoorganisationperformanceanalysis.Sincetheyear2000,nearly4500

public sectororganisationsall overEuropehaveused themodel and thenumberofCAFUsers is stillgrowing.

CAF aims to be a catalyst for a full improvement processwithin the organisations and has fivemainpurposes:

1. TointroducepublicadministrationsintothecultureofexcellenceandtheprinciplesofTQM;

2. Toguidethemprogressivelytoafull-fledged“Plan-Do-Check-Act(PDCA)”cycle;3. Tofacilitatetheself-assessmentofapublicorganisationinordertoarriveatadiagnosisand

improvementactions;

4. Toactasabridgeacrossthevariousmodelsusedinqualitymanagement;5. Tofacilitatebenchlearningbetweenpublic-sectororganisations.

Thenine-boxstructureidentifiesthemainaspectsrequiringconsiderationinanyorganisationalanalysis.Criteria 1-5 deal with the managerial practices of an organisation: the so-called Enablers. These

determinewhattheorganisationdoesandhowitapproachesitstaskstoachievethedesiredresults.Incriteria 6-8, results achieved in the fields of citizens/customers, people and social responsibility aremeasuredbyperceptionandperformancemeasurements.Theexternaland internal keyperformance

resultsaremeasuredonwell-establishedkeyperformanceindicators.

4TheCommonAssessmentFramework(CAF)–ImprovingPublicOrganisationsthroughSelf-Assessment,EIPA2013

8

Organisationsarefreetoadapttheimplementationofthemodeltotheirspecificneedsandcontextualcircumstances;however,thestructureofthemodel,withthe9criteriaandthe28sub-criteria,aswell

astheuseofoneoftheassessmentpanelsisstronglyrecommendedasitistoimplementtheprocessfollowingthegivenguidelines.

Using the CAFModel is a learning process for each organisation. However, the lessons learned overseveral years of implementation can profit every new user. A 10-step implementation plan was

thereforedevelopedtohelporganisationsuseitinthemostefficientandeffectiveway.

9

It is important to emphasise that the advice given here is based on the experience of the manyorganisations that have used CAF. However, each improvement process is unique and therefore thisdescription should be seen as an inspiration for the people responsible for the process of self-

assessmentratherthanasaprecisemanualfortheprocess.

One of themost remarkable conclusions of the study, undertaken by EIPA on demand of the ItalianPresidency5, was that scores of all eight CAF results6 sub-criteria increased after each CAFimplementation.Insomecasesitwasarathermodest3to4%increase,butinotherstheincreasewas

rather substantial, up to 8 and 9%. As the result of self-assessment, improvement activities wereundertaken that led to this better performance of the organisation. 12 concrete change stories fromeducationalinstitutionsoutof5countriesdescribedhowtheseimprovementactionsintheareasofthe

5enablerscriteriahaveledtotheirbetterperformance.

This new study wants to build further on the findings of the Italian study, broadening the scope toorganisationsofthewholepublicsectoranddescribingmoreindetailthedifferentgoodpracticesthatwere installed in 20 organisations from 13 different countries. The self-assessment of public sector

organisations,usingtheTQMmirroroftheCAF, indicatesstrengthsoftheorganisationsinthefieldof28 sub-criteria aswell as areas of improvement. An important added value of the TQM approach incomparisonwithothermethodsthatfocusoninternalcontrolstandards,isthatCAFusersalsohaveto

evaluate their4 resultsdomainsandareable tomeasureprogressordeclineof theirperformance intime.Choosingthemostneededimprovementactionsaftertheself-assessmentisimportanttoenhancethese results.So the linkbetweenresultsandenablers is crucialbutnotunequivocal,notalways ina

one-to-onerelation.Tounderstandpossibleimpactlines,weneedexamplesofconcretesuccessstories,evidence-based, described by the process owners themselves, indicating what kind of efforts theyundertooktoimprovetheirperformance.

Thereforethetransferabilityoftheinspiringpracticeswasanimportantcriterionfortheselectionofthe

cases but they should of course be innovative, being part of a coherent approach of organisational

5RefereCAFintheEducationSector.Successfulstoriesofperformanceimprovement.2014.ItalianPresidencyoftheCounciloftheEuropeanUnion.http://www.eipa.eu/files/File/CAF/CAF%20Education%20Research%20Report_20150601.pdf

6The8sub-criteriaoftheresultsareainCAF:Criterion6:Citizen/Customers-orientedResults Sub-criterion6.1:Perceptionmeasurements Sub-criterion6.2:PerformancemeasurementsCriterion7:PeopleResults Sub-criterion7.1:Perceptionmeasurements Sub-criterion7.2:PerformancemeasurementsCriterion8:SocialResponsibilityResults Sub-criterion8.1:Perceptionmeasurements Sub-criterion8.2:PerformancemeasurementsCriterion9:KeyPerformanceResults Sub-criterion9.1:Externalresults:outputsandoutcomestogoals Sub-criterion9.2:Internalresults:levelofefficiency

10

developmentandbypreferencedealingwiththemesoftheStrategyPaper7(July2016-July2019) oftheEuropeanPublicAdministrationNetwork(EUPAN)andtheEuropeanagendaasmentionedbelow.

Self-assessmentreportsareveryrich,pointoutseveralareasof improvementandoftencontainmorethan 100 to 150 concrete improvement proposals of self-assessment teams. However, successfully

managing an organisation towards excellence includes making choices and implementing targetedimprovementactionsthatreallycontributetosustainablematurityoftheorganisation.TheCAFmodeldoes not prescribe a particular prioritisation methodology and many public sector organisations are

strugglingwiththisstrategicaspect.Somecountrieshavedevelopedtheirownprioritisationapproachand promote it amongst their users. EIPA has worked out together with Belgium a prioritisationmethodologyandpresents itduring itstrainingsessionsand inthecoachingofCAF implementation it

undertakes.Butveryoftenorganisationsdoitintheirownway.Alotcanbelearnedfromeachotherinthisfield.Therefore,theparticipatingorganisationswereaskedtopresentshortlyhowtheymadetheirchoiceof the improvement area theywanted to tackle after the self-assessment. Thepurposeof the

chapteronprioritisationinthestudycanthusnotbetocreateaunifiedprioritisationapproach.ItwantstoshowwhatisdonebyourCAFusersandhowwecanlearnfromeachother.

AsCAFisaholisticinstrument,nearlyalltheaspectsofthefunctioningofpublicsectororganisationsareinvolved, including these aspects that are in the focus of the new Strategic Plan of EUPAN, and the

RollingProgrammeofthedifferentpresidenciesinthecoming3years.Goodgovernance,HRInnovationandorganisational development, service innovationanddelivery andnearly all the topicsunder eachdomainaredealtwithinCAFthatprovidesadequateoperationalapproachesatorganisationallevel.

Before going in-depth into the content and the qualitative impact of the CAF in public sector

organisations, itmightbeuseful togivea shortquantitativeoverviewof theuseof themodel inandoutsideEuropesinceitscreationin2000.AsthereisnoobligationtoregisterasaCAFUserintheCAFUsers database at the CAF Resource Centre in EIPA, the following overview is non-exhaustive. The

numberofregisteredCAFUsersgrewfrom288in2005,over2066in2010tonearly4000inSeptember2016.Especiallyafterthereviewsof2006and2012aboostintheuseofthemodeltookplace.Tables1and2illustratethisgrowinginternationaluserscommunity.

7EUPANStrategyPaper(July2016-July2019)http://www.eupan.eu/files/repository/20160801161004_First_EUPAN_Strategy_Paper.pdf

11

Table 1: The CAF Database on 1 September 2016: 3887 registered CAF Users in 52 countries andEuropeanInstitutionsand74EffectiveCAFusersLabels

Country ECU Country ECU Country ECU

Italy-913 38 CzechRepublic-73 1 Luxembourg-14 4

Poland-412 Greece-68 EUInstitutionsandEC-13 1

Germany-357 4 Slovakia-60 9 FYROM-13 1

Belgium-342 6 Spain-55 BulgariaandIceland-12Turkey-11

Hungary-316 Romania-49 LatviaandUK-8

Denmark-248 1 Lithuania-30

2 TheNetherlands,Croatia-7Ireland-6

Portugal-195 3 Switzerland-29 Sweden-5

Finland-137 France-27 CapeVerde,Russia-4

Austria-99 5 Bosnia-Herzegovina-20 Ecuador-3

Norway-92 Cyprus-19 Indonesia,China,Namibia,Tunisia,Serbia,Montenegro,Egypt,Georgia-2

DominicanRepublic-87

Estonia-18 Kosovo,Morocco,Peru,Ukraine-1

Slovenia-76 Malta-15 Brazil,IvoryCoast,South-Africa-1

12

Table2:TheCAFDatabaseon1September2016:overviewoftheuserspersector

Sector CAFUsers Sector CAFUsers

EducationandResearch 1082 Economy,agriculture,fisheriesandtrade

88

Localadministration(municipalities,provinces)

919 JusticeandLaw 87

Socialservicesandsocialsecurity 410 Culture 57

PoliceandSecurity 175 Homeaffaires 53

Customs,TaxesandFinances 151 Generalpolicyandoversight,coordination

44

Health 144 Environment 31

Publicsectormanagement(P&O,budget,ICTetc.)

126 ForeignaffairsPostandCommunication

1110

Transport,infrastructure,publicworks,utilities

89 Others 362

Sector

13

PART

1:20im

provem

entaction

slead

ingto

betterperform

anceastheresultofC

AF

15

AustriaCase:CAF-inspiredLeadershipintheCityofVienna

ViennaCityAdministrationMunicipalDepartment(MD)63CommerceandTrade,LegalAspectsofFoodSafety

Vienna,Austria

FriedrichHirschMA63A-1010Vienna,Wipplingerstraße6-8Tel.:+431400097137

E-Mail:[email protected]

Sectoroftheorganisation:LocalGovernment

CommerciallawhasalongtraditioninAustria,datingbacktothe19thcentury,andhasbeenconsideredeversincearathercomplexlegalmatter.Lyingbasicallyinthehandsoffederallegislationitisexecutedvia indirect federal administration, leading, with regard to the Vienna City Administration, to the

MunicipalDepartment(MD)63-CommerceandTrade,LegalAspectsofFoodSafetybeinginchargeofmattersconcerningcommerciallaw.MD63isalsoinchargeofcorrespondingmatters,mainlyfoodlaw,public procurement law, EU/EEA Professional Qualifications Recognition Procedure, EU Services

Directive(incl.SinglePointofContact).

Thisportfoliorequiresontheonehandaconsiderableamountofconsultingservices,ontheotherhandahighlyprofessionalperformance,includingsolutionexpertiseandreadinesstoinnovate.Consequentlythe Head of Department of MD 63 was appointed Director for Matters Pertaining to Electronic File

Management,ElectronicProcurement,theServicesDirective,IndustrialandFoodLaw,beingresponsibleforthecoordinationofallconcernedissuesfortheentireCityAdministration.UnderthismissionMD63is also responsible for the programmes ‘GEMMA’ - expanding electronic file management - and

‘eProcurement’withintheCityofVienna,aswellasbeingacooperationpartnertotheExecutiveGroupfor LegalAffairs regarding theproject ‘e-Recht’ (e-Law)andanoperativeand strategicpartner to thecross-sectoral (on federal, provincial and municipal level) programme ‘GISA - Gewerbeinformations-

system Austria’ (Trade Information SystemAustria).With respect to the challenging assignments thenumberofstaffmaybeclassifiedrathersmall:Intotal,52employees(34femaleand18male)carryoutalloperativeandstrategictasks.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):

Criterion1:Leadership,sub-criteria:1.2Managetheorganisation

16

1.Descriptionoftheimprovedresult(s)oftheorganisation

As briefly indicated above, MD 63 has grown to its augmented tasks. Behind this progress lies a

profoundorganisationaldevelopment.ByusingCAFasa regularQualityManagement Instrument theperformanceofMD63hasbeengraduallyoptimised inaholisticway.Toa largeextentthe impactofCAFonLeadershipwasresponsibleforthesuccessfuldevelopmentprocessbytransformingthewhole

organisationintoawell-structuredandwell-functioning‘workteam’.Themainprerequisitesregardingleadershiparelistedinpart3,themainpositiveaspectsofthedevelopmentprocessareshownbelow,usingtheCAF-Results-Frameworkaspattern.

ImpactsregardingCustomers&Stakeholders

All stakeholders are identified and

documented, periodical evaluations areperformed. These measures provideaccuracy in the context of customer

orientation,althoughnomajorvarianceshaveoccurred lately, save in connectionwithsingleprojects.

Aconstantcross-sectoralcooperationwiththeEconomicChamber(‘WienerWirtschaftskammer’)being

one of themain stakeholders inmatters of business founders has been established and has offeredparticipation in significant new development projects: The common tool ‘Trade online’ (‘Gewerbeonline’)allowsafasterandmoreconvenientprocessingofapplications:applicationsarerecordedatthe

Economic Chamber as part of the business-founders-consultation service, MD 63 continues andconcludestheprocess.

The Complaint Management System, including an annualcontrollingreport,showsaverylownumberofcomplaints,only2

to 3 per year. This is the outcome of a sincere policy towardscustomersatisfaction,focussingontheidentificationofcausesforcomplaints and preventive measures, accompanied by a high

amountofself-responsibilityandsolutionexpertiseonthesideofthe staff promoted by their superiors, e.g. by fostering a directinterchange of ideas and problem-solving approaches with the

EconomicChamberasfirstpointofcontactfortradespersons.

Customer Surveys - with support of the PR-department - areperiodically performedand showalong the timeline a constantly

high degree of customer satisfaction: 1,6 to 2,00within a rangefrom1to5;specificitemslikeEqualityandDiversityincluded;theresultsarebenchmarkedbythePR-departmentwith internaland

externalreferencedata.

Quote CAF External Feedback 2014: ‘External

Stakeholders (customers and partners) consider theexpertisebytheMD63staffashighlycompetentandtheir procedures well designed, flexible, solution-

orientedandcustomer-oriented.’

17

ImpactsregardingPeople

TheawarenessoftheHeadofDepartmentforasupporting work situation is demonstrated by

measures fostering work-life-balance; e.g. anannual work-time model, part time work forexecutives andmobile ICT-workplaces promote

highstaffsatisfactionpairedwithefficiency.

Thestaffsurveyonworkplacesituationandjob-related psychic strain featured as an outstandingaccomplishment and as an example of superior quality regarding the results (assessed by a medical

officer)inthereportofthe‘CAFExternalFeedback’-Label.

Theeffectsofthetransparentreward-system-criteriaforremunerationsarelistedontheintranet–aremeasured by performance indicators, which show sustained staff engagement, leading to increasedproductivityandaugmentedperformance.

A new culture of trust promotes continuous improvement by higher willingness to cooperate and

supportinnovationandchange,provenbytheengagementinvoluntaryteamwork,spontaneousworkgroups,workplacemobilityandthedispositiontoacceptadditionalandnewtaskseagerly.

High qualification of staff - quotation CAF External Feedback: ‘The staff’s evident readiness forinnovationraisestheircareeropportunities,whichleadstoapositivefluctuation;MD63actsasanelite

trainingcentre’-featuresasoneofthefacetsinthepositiveimageofMD63.

ThepersonallydeliveredannualreportabouttheperformanceofMD63bytheHeadofDepartmenttothestaffnotonlyshowsthehighesteemtowardstheemployeesbutalsoleadstodiscussionontargetsandexpectations,thuspromotingself-evaluationandfosteringself-competence.

ImpactregardingSocialResponsibility

TheworkofMD63showsdirectimpactonsocietyingeneralandonbusinesstradersindetail.Therefore

highlyprofessionalperformanceisinevitabletosafeguardViennaasasoughtafterplaceforbusinessaswell as a citywhere people like to live. The positive share byMD63 adds to the success of the Citydocumented by the annual ‘Mercer Study’, listing Vienna in 2016 the City with the highest living

standardsfor7timesinarow.

How effectively laws are executed is equally important for target groups and society in general, asshownbytheexampleofFoodLaw:MD63isresponsibleforlegalaspectsoffoodinspectionandfoodsafety, gives legal advice to othermunicipal departments engaged in food inspection and renders an

expertopiniononamendments to federal food laws.Moreover, issuesorders incaseof foodhygieneshortcomings in enterprises dealing with foodstuffs and fulfils control tasks concerning organic foodproduction,labellingoforganicproducts,imports,processingandtrade.

Quote CAF External Feedback 2014: ‘MD 63is characterised by a particularly open

organisational culture with evaluation-oriented leadership, high intrinsic motivationandexcellentworkingatmosphere.’

18

The initiative to define a new target for the Viennese Contract Management System in favour ofpromotingwomeninpublicprocurementprocedureswassubstantiallysupportedbyMD63.

MD63maintainscontact tomigrantsassociations, thusprovidingassistance/exchangeof informationregardingopportunitiesforbusinessfounding.

ImpactsregardingKeyPerformance

The transformation from a monocratically steeredorganisation intoamatrix-organisation and the reduction

from 22 units to 12 different faculties and 3 executivedepartments provided the framework for more efficientprocedures.

Theincreaseofproductivity isvisiblebyfulfillingadditional

tasks(e.g.theperennialprogramme‘GEMMA’)despitegradualstaff-reduction.

The consistency of quality in times of major changes in the legal framework, is documented by aconstantlownumberofamendmentnotifications.

Theproportionoftheamountofeducationforfemaleandmaleemployeesfeaturesintheannualreport

fortheChiefExecutiveDirectorandshowsastablehighrateofadvancedtrainingforfemaleemployees.Theproportionoffemaleandmaleemployeesinleadingpositions,beinganotherfeatureinthisannualreport,documentsabalancedproportionofmaleandfemaleemployeesinhigherpositions.

The readiness of employees to participate in additional assignments and ad-hoc tasks has steadilyincreasedasdocumentedbythenumberofemployeesvoluntarilyengagedinprojectsandworkgroups.

Theevaluationoftheroleaskey-andpilot-organisation,measuredbythenumberoftimesleadingorparticipatinginmajorprojectsorprogrammesaswellasparticipatinginthedraftingoflaws,showsan

upwardtendency.

ThelevelofcontinuousimprovementisdocumentedbythenumberofoptimisationprojectswithinMD63aswellasthenumberofCAF-Self-assessments(CAF-SA),toppedbytheCAFExternalFeedback-Labelin2014.

The sincere observance of budget limitations and the rise of productivity are evaluated by the (non-

existent) numbers of budget-transgressions: so far the budget has at no time been exceeded, butconstantly fallen below, in spite of extended assignments. Examples of cost reduction add to theevaluationoffinancialtargets:byexpandingonline-procedures,about2/5oftheexpensesforstationary

weresaved.

Quote CAF External Feedback2014: ‘MD 63 distinguishesitself by its engagement inprocessmanagement’.

19

2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned

Startingpointforchange

Atthetimethelatestchangeofmanagementoccurred,theCAF-SA

results had already displayed the necessity for a more suitableorganisational structure and a set of effective managementinstruments for MD 63. Based on detailed suggestions out of an

internal development project the transformation from a strict lineorganisationintoamatrixorganisationwassetinactionbytheHeadof Department in accordancewith the Chief Executive Director of

theCityofViennaandtheExecutiveCityCouncillorincharge.

The CAF-SA-report, as further means of advice for the changeproject acted, stating the complexity of recent challenges forMD63, while also addressing New Public Management approaches

required by the Chief Executive Director, comprising aspects ofDiversity and Gender Mainstreaming, Quality Management,Complaint Management System, Customer Surveys, Knowledge

Management, Risk Management including business continuityregarding ICT as well as periodical reports on targets andperformance. With this blueprint for an ideal organisation CAF

contributedtotheneworganisationaldesignofMD63.

TheroleofCAF,andtheCAFActionPlan

From the first CAF-SA on, the determined needs for action had been documented in a ‘Work Book’(‘Arbeitsbuch’), including responsibilities and planned completion dates. From the ‘CAF-2013’ on, theformer ‘WorkBook’was optimised into an ‘Action Plan’with an evenmore accurate prioritisationof

actions.

At the time the newHead ofDepartment started hiswork atMD63, the tradition of evaluating thedepartment’s performance via CAF acted as a pillar of stability and provided tangible performanceindicators, thusconvincing thenewHeadofDepartmentofall theCAF-merits.Consequently,heused

the CAF results, including the accurate list of strengths and areas of improvement, to assess theperformanceofMD63,countingontheexpertiseofanexperiencedCAF-SA-team.Furthermorehebasedhis decisions regarding the reorganisationofMD63 to a large extenton theCAF-expertise, herewith

securingthecontinuityofthedepartment’sdevelopmentwhilebondingthealreadyidentifiedareasofimprovementtohisvisionofamodernisedMD63.Byjoiningforceswiththedepartment’sexperiencesand traditions, he also secured the motivation of the staff and fostered a climate of mutual

improvementandinnovation.

20

TangibleBenefitsoftheCAF-inducedroleofLeadership

When the new Head of Department showed his confidence in and esteem of the experiencedemployeesbybasinghisplansforchangeonaprofoundanalysisoftheactualdepartment’ssituation,

taking into account the evaluation-results of the CAF-SA and withstanding an enforcement ofunreflectedschemesupontheorganisation,aprofoundculturalchangeregardingthereadinessofstafftoworkonchangesand improvementpro-activelywas induced.Therewardwasanoticeablepositive

developmentregardingproductivity,riseofqualificationandriseofsatisfaction.

Highly motivated employees, effective management instruments and an orientation towards TQM-principleshavebuilt a solidbasis for theorganisation's ongoing improvement. The continuoususeofCAF, actively encouraged by the Head of Department, has supported a deep-rooted cultural change

towardsanevaluation-andoutcome-orientedorganisation.

Itisevident,thatthecontinuityoftheCAF-SAandtheexperiencedCAF-experts-teamcontributedtotheholistic evaluation of the department’s performance. A comparison between the CAF’s vision of asuccessful organisation and the evaluation-results by the department’s CAF-SA offered a profound

guidelineforthemodernisationofMD63.

In2014the ‘CAFExternalFeedback-Label’wasgainedforthefirst time.The latestCAF-SAhasstartedsummer 2016, the next CAF External Feedback is planned for 2017. By linking the CAF-SA with theInternal Control System (IKS) and the Knowledge Management System – each of them affording

periodicalself-evaluation–afurtherincreaseinefficiencyisexpected.

ChangestotheEnablerCriteria‘Leadership’and‘People’

Leadership

• Vision,Mission:Commitmentby theHeadofDepartment toaprofoundcultureof innovationandchange; leadingtohigherself-competenceandresulting inchallengingnewtasksaspilot-

organisation.

• Customerorientationwith rulesof conduct, including rulesof conduct for thecommunication

withcustomers,weremutuallydefinedandaredocumentedinthemissionstatement.

• Use of modern media e.g. electronic files and processes, comprising all procedures and

communication-processes.

• Establishingacultureoftrust(assessedviaCAF-SAregularly).

• Establishingacultureofpro-activecommunicationtowardstheemployees.

• Increasedmotivation and engagement (e.g. evaluated by percentage of sick-leave, which lies

belowtheaverageoftheCityAdministration;moretasksaccomplisheddespitethediminishedstaff).

• Participationincompetitions(victoryatSpeyerQualityAwardandBestPracticeCaseatEPSA).

• TheCAFExternalFeedbackin2014providedamotivationboostfortheentireorganisation.

21

People

• Theformersolelyonprofessionalcompetenceorientedappointmentofexecutivesevolvedintoa leadershiporientedapproach.This resulted in:alterationsof jobdescriptions formanagerial

functions, leadership principles, management training programmes, network service ‘careerspringboard’(‘Karrieresprungbrett’)tomeetformerandnowpromotedemployees.

• Demands on the performance of employees have mounted considerably. Due to the new

hierarchy-system of MD 63 most of the employees face additional responsibilities out of

leadershiptasks,projectwork,teamwork,ad-hoc-teams.

• Optimised job descriptions; staff surveys – recently with focus on psychological strain in the

workplace; staff orientation talks; various work-timemodels and the involvement of people,securetheMD63theimageofasoughtafterworkplace.

• An education coordinator provides an annual education concept (with annually changing

focuses) and facilitates the selection of individual education plans; MD 63 provides alsoeducationfacilitiesfortrainees.

• Job-enrichment:Duetomodernwork-andcommunication-techniquesthe jobsoftypistswere

no longerneeded to the formerextent, therefore typistswereeducated todo (minor)experttasks.

3. Description of the prioritisation approach that led to the chosenproject

As mentioned above, the first CAF-SA opened the doors for a systematic approach towardsimprovement. Proof for the positive effect of CAFwas achievedwhen the newHead of Departmentreliedon itsevidence-basedpointers towardsareasof improvement.Thiswasthestartingpoint fora

target-oriented reorganisation of MD 63, comprising structural and operational measures as well ascultural changes.Therefore thechoiceofactions for improvementwasaligned to theoverallplan forreorganisation.

Afterthemajorstructuralchangesacontinuousimprovementprocesswassetintoaction,keepingthe

TQM-principles in mind, towards which the improvement actions were chosen by the Head ofDepartmentaccordingtothesuggestionsbytheCAF-SA-teamandrecentcontract-targets.

By linkingdifferentmanagement instrumentstoeachother,astillmoreefficientmanagementsystemwillbegained.OnforthcomingCAF-SAsthesetopicswillfaceprioritisation,CAFinthiscontextactingas

effectivedriver,asithasdoneinthepast.Ingeneral,theprioritisationofactionsduringtheCAF-SAhasbeendeveloped since ‘CAF 2013’ into amoremethodical approach: TheCAF-SA-teamdecide on twomaincriteria–urgencyandimportance.Additionally,theactiveinvolvementoftheunitmanagersatthe

CAF-SAprovidesarealisticfocusonpriorities.

22

Austria

Case:ConsequencesoftheimplementationofPerformanceManagementintheentireFederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery

AustrianFederalChancelleryWien,Austria

MichaelKallingerFederalChancelleryIII/9/aPublicAdministrationInnovation

Sectoroftheorganisation:GeneralPolicyandoversight/coordination


Allthe20sub-criteriaoftheenablers,except4.6ManageFacilities


DGIIIoftheFederalChancelleryisresponsiblefori.a.thefollowingmatters:

• Civilservicelaw

• HR-Management

• Performancecontrolling(Wirkungscontrolling)

• Civilserviceinnovation

• CoordinationoftheuseofManagementInstrumentslikeCAF

• TrainingprogrammesforFederalstaff

Until2016,DGIIIoftheFederalChancellerydidthreeCAFself-assessments,intheyears2006,2011and2015. This case study compares the two self-assessments of 2011 and 2015 in the light of the

introductionofPerformanceManagement(Wirkungsorientierung) intheentireFederalAdministrationinAustria,withafocusonenablercriteria.Inanutshell,wecanreportsignificantimprovements:CAF-scores for Enablers improved by 17 points on average and results by 10 Points according to the CAF

scoringmethodology.

23

The main reason for the improved results is the implementation of a yearly Controlling Circle(Criterion1:LeadershipandCirterion2:StrategyandPlanning).

With the implementation of Performance Management (Wirkungsorientierung) in the entire PublicAdministration as of 2013, also the Performance Controlling CyclewithinDG III becamemore clearlystructuredandbetteralignedtostrategicpoliticalgoals.Formsarestandardisedandqualityisassured.Asthecontrollingcyclehasbeenranthroughcompletelythreetimesnow(fortheyears2013,2014and2015),thescoresforseveralsub-criteriafor‘Leadership’and‘StrategyandPlanning’havenowrisentothezoneof‘Check’(51-70points)andeven‘Act’(71-90points).Akeyinstrumentinthisconnectionistheyearlystrategyworkshopwiththeuppermanagementofthedirectorate,wherestrategicgoalsaredefined. Also a mission statement of the directorate has been developed and made public. Regularmeetings of the management of 1,5-2 hours on a weekly basis and bi-weekly meetings in thedepartmentsarethemaincommunicationinstruments.

The same improvement of the score applies for sub-criterion 3.3, because employees are regularlyincludedindrawingup,controllingandevaluatingperformanceinformation.Performanceinformationisalsopartofannualstaffinterviews.

Anotherpointisthatperformanceinformation(atanaggregatelevelbutincludinggoalsandindicators)

isalsodiscussedat leastthreetimesayear inparliament, intheplanningandevaluationphases.Thishappens in the plenary of the National Assembly and in the Budget Committee (Sub-criterion 1.4Manage effective relations with political authorities and other stakeholders). According to the

Performance Management scheme, planning is threefold: a Mid-Term-Strategy for a 4-years-time-horizonand theyearlyplanning for theBudgetChapter (‘Untergliederung’ inGerman)and respective

globalbudget.In2012,DGIIIdevelopedacodeofconducttostrengthenethicalbehaviour.

0

10

20

30

40

50

60

70

80

90

100

K1.

1

K1.

2

K1.

3

K1.

4

K2.

1

K2.

2

K2.

3

K2.

4

K3.

1

K3.

2

K3.

3

K4.

1

K4.

2

K4.

3

K4.

4

K4.

5

K4.

6

K5.

1

K5.

2

K5.

3

Leadership Strategy - Planning People Partnership & Resource Processes

Federal Chancellery DG III, Comparison of CAF-scores 2011 versus 2015

2011 2015

24


Since2013thepublicadministrationatFederallevelismanagedaccordingtotheprincipleofoutcomeorientation. In other words, management is based on contributions towards achieving objectives in

connectionwithsolvingsocietalproblems.

The state is responsible for a wide variety of services, ranging from key public sector tasks such asprovidingeducationandhealthcareorensuringequalopportunities,legalcertaintyandsocialsecurity,to the protection of consumers andworkers, aswell asmore ‘exotic’ services like avalanche control.

Asbudgetsaretight–giventhecurrentsovereigndebtcrisisandtheneedforbudgetconsolidation–publicfundsmustbeoptimallyallocatedinordertomeetpeople’sneedsandmaintainthepresenthighlevelofserviceinthelongterm.

This is where outcome orientation comes in. Federal budgets show the societal effects aimed at by

ministries and other public bodies, as well as how to achieve these and how to measure progress.Bycomparingtheintendedoutcomestotheavailablebudget,itiseasytoseewhethertheresourcestobeusedareproportionatetotheobjectivespursued.

Anexamplefromtheareaoftransportpolicy

• Outcome:fewertrafficaccidentsinvolvinginjuriesonAustrianroads.

• Objective:improvedroadsafety.

• Input:personnel,financialandotherresources,externalactors.

• Activities: setting up a multiphase driver education system, designing an awareness-raising

campaign, drawing up proposals formeasures to prevent accidents based on the analysis ofaccidentdataandpatterns.

• Output:aregulationonmultiphasedrivereducation,anawareness-raisingcampaignon‘drunk

driving’,definingandimplementingaccidentpreventionmeasuresincooperationwithexternal

actors (e.g. Kuratorium Sicheres Österreich, an association aiming to promote safety andsecurityconsciousness).

• Externalfactors:increasedtrafficvolume,weatherconditions.

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Political objectives relating to a desired societal outcome form the starting point of performancemanagement. It is the taskofpublicadministration toprovide thoseservices, i.e. theoutput thatwillbest achieve the intended outcome. However, outcomes cannot always be clearly attributed to par-

ticular outputs as external factors canplay a role, too. Before services canbeprovided, the requiredresources,i.e.thenecessaryinputmustbeascertainedandallocated.

Finally, the activities required to generate a particular output are carried out, either by publicadministration itself or by external service providers. The services thus provided produce short–term

intermediateoutcomes,whichinturngiverisetotheintendedfinaloutcomesinsocietyinthemediumandlongterm.

The degree to which the intended outcomes are attained is evaluated at regular intervals. In thiscontext, effectiveness means ‘doing the right thing’, i.e. it is a measure of the extent to which the

desiredeffect isachieved.The termefficiency,on theotherhand,means ‘doing things right’, i.e. it isusedtoevaluatetheoutputintermsoftheresourcesused.Inadditiontothesecriteria,itgoeswithoutsayingthatlegalitycontinuestobeakeystandardforpublicadministrationactivity.

Theperformancemanagementcycle

As a result of the new budgeting law and the introduction of performance orientation, a newmanagementcycleappliesinpublicadministrationatFederallevel.

Every spring each Ministry and each Supreme State Organ elaborates a multi-annual strategic planwhich is laid down in the Strategy Report on theMedium-Term Expenditure Framework. This broad

strategy is specified for each financial year in the annual Federal Budget, bymeans of outcome andoutputstatements.

Outcomestatementssetouttheeffectstobeachievedinsociety.Thetermoutputreferstoprioritiestobe set andmeasures to be takenby public administration in order to achieve the desired outcomes.Outcome and output statements aremeant to provide orientation for Parliament and the interested

publicregardingtheprioritiestobepursuedbytherespectiveMinistryorotherpublicbodyinthenextfinancialyear.

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Within public administration, the implementation of these priorities is ensured by means ofperformancemandates.Thesesetouttheoperativeworkplanofaparticularadministrativeunitforthefollowingfourfinancialyears.

Thebenefitsofthisapproachlienotonlyindefiningpolicyaimsatdifferentlevelsbut,inparticular,in

ensuringtheirachievementthroughmanagementbyobjectives.Appraisalinterviewsformafurtherkeyelement of the system, as it is there that each employee’s contribution to achieving the respectivepublicbody’sobjectivesisdefined.

Outputsshouldbeevaluatedatregularintervalssothatanydeviationfromtheplancanbedetectedin

goodtime,andsuitablestepstakentocorrectit.However,merelyevaluatingtheoutputwouldnotbeenoughtoshowwhethertheintendedeffecthasbeenachieved.Itisthereforenecessarytocarryoutanevaluationofoutcomestoo.

The conclusions drawn from the evaluation of outcomes show any potential for increasing the

effectivenessandefficiencyofpublicadministrationactivity.Evaluationresultsarethereforetakenintoaccountinelaboratingthenextstrategicplan,andthustheperformancemanagementcyclecomesfullcircle.

Whataretheadvantagesofthismanagementmodel?

Members of Parliament are better informed when debating the budget and in a better position todemand that government and public administration achieve objectives. This is conducive to carefulmanagementoftaxpayers’money.

Citizens gain better insight into the government’s work, as well as a better understanding of themachinery of government and what it is responsible for. This will strengthen people’s confidence inpublicinstitutions.

Publicadministrationcanshowtherangeofservicesitprovidesforcitizens,organisedinterestgroups,

politiciansandotherstakeholders.

The definition of intended outcomes makes the aims to be achieved by public administrationtransparenttoitsvariousinstitutionsandeachoftheirstaffmembers.Thismakespublicadministrationevenbetterabletotargetsocietalprioritieswithitsactivitiesandservices,andtoworkeffectivelyand

efficiently.

Asoutcomesandoutputsaregeared towardsachievingequalityofwomenandmen, it ispossible toshow,analyseandcontrolthedifferenteffectsofgovernmentactivityonwomenandmen.

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Theprimarymotivationforintroducingperformancemanagementonthefederallevelwastoimprovebudgetary decision-making. Performance management addresses the following weaknesses of the

traditionalsystem:

• Nobindingmedium-termperspective

• Prevailingfocusoninputs

• Monopolyofcashperspective

Asof2013,thebudgetisacomprehensivesteeringinstrumentforresources,outputs&outcomes.

In this context, CAF comes in in several ways. When the organisation takes through the CommonAssessmentframework,allstakeholdersaresensitisedforabetterimplementationofthePerformanceManagement system, as all CAF-criteria are checked with a view to performance management.

Managersandstaff intheCAF-teambring intheirknowledgeanddiscusstogetherhowtobestdefineandmeasuretheoutcomesoftheorganisation.WhereasPerformanceControllingmightconcernonlyasmall number of people, CAF offers the possibility to broaden the basis and by that realise the full

potentialofPM.TheintroductionofPMhasalsoanimpactonthecultureoftheorganisationandtheCAF-processcansupportthischange.

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BelgiumCase:StrategicplanningintheFlemishDepartmentofAgricultureandFisheriesDepartmentofAgricultureandFisheriesFlemishgovernment,Belgium

ValerieDeWulfOrganisationalandHR-partner

E-mail:[email protected]

LeenBasHRbusinesspartnerE-mail:[email protected]

Sectoroftheorganisation:PublicSector–Economy,Agriculture,FisheryandTrade


Criterion2:StrategyandPlanning,sub-criteria2.1,2.2and2.3


WhentheCAFexercisetookplacein2013-2014,weknewamergerwasplannedfortheorganisation.The department of Agriculture and Fisheries under its new structure started from the 1th of January2015andwastheresultofamergerofthreeorganisations:theformerDepartmentofAgricultureand

Fisheries, the former Agency of Agriculture and Fisheries and a part of the Belgian Bureau forIntervention and Restitution. One common structure,strategy and culturewas needed and therefore strategic

alignmentwasthepriorityfortheorganisation.If we look at the 4 results criteria, we can say for the

results in the field of ‘citizens/customers’ that the newmission statementandclear vision reflectshowweworkand interact with our target group. The company values

have an impact on howwe interact with customers andamongstemployees.After themergerandthestatement

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of the newmission/vision and values the management organised seven roadshows to discuss thesetopicswithalltheemployeesatthedifferentlocationsofourorganisation.Inanopendebateeveryonecouldaskquestionsandgivetheirviewonthetopics.Towardsthestakeholdersaninformationsession

wasorganisedtoexplainchangeswithintheneworganisationandreceivefeedback.The results in the field of the ‘people’ who work in the

organisation are partly due to a better communicationstrategy and partly to the new future-oriented HumanResources strategy. A new communication plan was

written to take care of communicating regularly andcorrectly to all layers in the organisation. An importantaspectwasalsotheclearchoicetospeakas‘onevoice’for

the whole organisation (sub-criteria 2.3. Communicateand implement strategy and planning in the whole

organisationandreviewitonaregularbasis).AnewStrategicHR-planwasmadetodefinetheHRgoals.

These three HR-goals focus on several elements such as coaching leadership, motivation, flexibility,commitment, development of talent and aspire an innovative organisational culture through creativeandsolution-orientedthinking.Thisisa5yearfutureorientedaspiration.Themainprojectsthatwere

launchedin2016withthispurposearethe‘leaderschip3.0project,theprojectinternalmobilitypolicyand the diversity project. The leadership project started with a satisfaction measurement of theexcistingHRtoolsformanagers.Onthisbasefurthertoolswillbeelaboratedtosharpentheleadership

skillsofmanagerswithintheorganisation.Alsotheprojectmobilitypolicyanddiversitystartedwithasatisfaction measurement of the current situation in order to focus on the most important and/orurgentmatters.

For the results in the fieldof ‘keyperformanceof theorganisation’, therewasa revisionof theoldbalancedscorecard.Soallofthekeyelementsintheorganisationcouldbemonitoredintherightway.

Theyaremonthlydiscussedbythemanagementteamtoseewhereextraworkisneededtoreachthetarget. Another tool to monitor the progress of organisational projects is TRAJECT. This tool wasimplementedbytheFlemishgovernmentandmonitorsthedepartmentalgoalsandprojects.Usingthis

tooltacklesacritical issueintheCAFanalysisthatthereshouldbemoremonitoringandevaluationinthefuture.Thenewstrategyalsomentionsalltheshorttermstrategicalandoperationalobjectivesofthe organisation. Furthermore we can mention that the core tasks were debated broadly and an

efficiencyprogrammemakessurethatallresourcesareusedcorrectly,efficientlywhiledecreasingthecostsinallfieldsoftheorganisation.InourBSCthereare32KPI’stomeasureourgoals.TheseKPI’saredividedinfourdimensions(results,quality,processes,learningandgrowing).ThisBSCisupdatedyearly

according to changes or new goals set by the management. The KPI’s are discussed monthly in amanagementmeeting.

A new process cascade was created when all existing processes were revised. Within the strategicframework several key elements of the organisation (HR strategy, Integrity, Diversity,Wellbeing and

Communication)werefurtherelaboratedsoitwasclearwhichdirectiontheorganisationisheadingthenextyears.

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Onecommonmissionstatement,aclearvisionandonestrategywerecreatedfortheorganisation.Ontopofthat,theorganisationcreatedownershipoffourcore-values(openness,trust,manoeuvrability,vigour) as theywere rolledout toall theemployees. These four core-valuesweredeterminedby the

Flemishgovernmentandfurtherelaboratedwithinourorganisation.The CAF exercise resulted in a new strategy (sub-

cirteria 2.2.Develop strategyandplanning, takinginto account the gathered information) whichresulted in its turn in several useful projects that

were needed and sets organisational goals for thecoming years. This exercise gave the organisationthe opportunity to really prioritise what is

important and to cluster improvement programs.After the CAF exercise, a satisfaction survey wasconducted to see if the exercisewas useful in the

future. From the survey we learned that regularcommunication about the progress of theimprovementactionsandQuickWinswaskeyinthisfield.

Improvedresult(s)inthefieldof‘socialresponsibility’arenotyetcreated,butanactionplanhasbeensetuptotacklethistopicthecomingyears.Theproposalisthatbottom-upproposalsofemployeesare

beinghandled.


Contentoftheproject

After the CAF self-evaluation, the project resulted in thirteen improvement actions and fifteenQuickWins.Foreachimprovementactionorquickwinaresponsiblepersonwasassignedtotackletheissue.TheQuickWinsweretackledfirstasfastaspossible.Fromtheimprovementactionsninewereallocated

to2014(themosturgentones)andfourto2015.Themoststrategicimprovementactionswerebundledandputforwardinthestrategicexerciseof2015.Asemi-annualmonitoringtookplacetofollowuptheprogressofallactions.

Thenewstrategicexercisebecameatoppriorityprojectforthedepartmentin2015,soitwasimportant

thattheprojectwasrealisedorimplementedfastbutprofoundly.

Thefollowingdiagramshowsthestepsthatweretakenincreatingthenewstrategyofthedepartment.

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Thestartingpointandthe‘problems’thepracticewantedtotackle

During the CAF self-evaluation several issues or problems appeared. Good examples of those issues

were the lackof commitment to themission statementandvisionof theorganisation. The imminentmergerofthreeorganisationsintoone,theappointmentofanewministerunderthenewgovernment,and thirdly themajorchanges in thepolicyofagricultureand fisheriesmade thisproblemevenmore

urgent.Theemployeesendedupinamazesotospeak,wheregoalsandexitswerenotclearatall.Theorganisationneededonecommongoalsoeveryonecouldbemotivatedandengagedtoworktowardsthiscommongoal.

TheexercisestartedwithaSWOT-analysisof theorganisationtoknowthestrengthsandweaknesses

but also all the possible elements that had an effect on the organisation. The SWOT-analysis wasexecuted by the management and the employees. Another step was surveying the most importantstakeholdersabouttheirideasandexpectationsregardingthefutureneworganisation.

Differentanalysesandinputmadeasolidfoundationforthestrategicexercisesuchas:

• severalSWOT’s

• ascientificallyreasonedenvironmentalanalysis

• themonitoringoftheupcomingtrends

• thenewgovernmentagreementanditspolicynotes(sub-criteria2.1.Gatherinformationonthe

presentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation)

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The previous mission statement and vision were hard to understand and there was a lack ofcommitment of the employees within the organisation. Therefore a lot of attention was given toovercome this lack of commitment. Besides the top and middle management, the operational

managers,expertsaskeypersonsanddynamicvolunteersoftheorganisationwereinvolvedinthetwo-day strategic seminar. The outcomeof the seminarwas a new strategic framework. Translation intooperational plans and goals were made and followed up (sub-criteria 2.2. Develop strategy and

planning,takingintoaccountthegatheredinformation).

Themajorstepsintheimplementation

1. First thirteen improvement actions and fifteen Quick Wins were selected by voting at the

prioritisation seminarafter theCAF self-evaluation,wherea clear strategywasan issue to tackle(sub-criteria 2.1. Gather information on the present and future needs of stakeholders aswell asrelevantmanagementinformation).

2. A strategic seminar was organised to tackle several issues that were on the CAF to-do list. Thefollowing itemsresultedfromtheseminar(sub-criteria2.2.Developstrategyandplanning,takingintoaccountthegatheredinformation):

• Anewstrategy,visionandmissionstatement,accompaniedbyacomprehensivebasis for the

fourvaluesoftheorganisation.

• AnewHRstrategy.

• Anewintegrity,wellbeinganddiversitystrategy.

• Anewcommunicationplan.

After the seminar, the following projectswere initiated to support all of the above-mentioned items(sub-criteria 2.3. Communicate and implement strategy and planning in the whole organisation and

reviewitonaregularbasis):

• After having set up the strategic plans, the operational annual plans for all above-mentioneditemswereclearlysetup.

• Unfoldingthefourvaluesinalllayersoftheorganisation(avaluebarometer,actionplans,…).

• Therevisionoftheprocesscascadefortheneworganisationalstructure.

• Anefficiencyprogramme(2015-2016):throughthirteennewprojectsthesearchbegantomake

the current workflow more efficient than before. Key elements of this programme are:streamlining the current workflows, handle peaks in workload through teamwork, outsource

severaltasks,digitalisationgandautomation.

• New changes to the organisational structure (one year after the merger) that make sure

workflowprocessesareallocatedmoreequallyandcorrectly.

Therolesandresponsibilitiesofthemajoractorsinvolved

All below-mentioned groups have the responsibility to become an ambassador of the results and toworktogethertocreateagoodcommunicationflowtoallemployeesandthetargetaudience.

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Thefollowingrolesareacknowledgedtofollowinggroupswithintheorganisation:

• Topandmiddlemanagement:deliveramissionstatement(purposeoftheorganisation).Theyare fullyawareofpolitical stakes, interestof the stakeholderandemployees.Theseelements

arecapturedinthestrategicexercise.Thisgrouplooksstrategicallyahead.

• Operationalmanagers:theytakeintoaccounttheinterestoftheemployeesandthecustomer

forthestrategicexercise.Theyhavetheclearestviewonspecificrealisations.

• Experts: theyput forward sufficient (background) informationabout theirexpertiseandapply

thiswhennecessaryduringtheexercise.

• Dynamicvolunteers:theycontributeinaclear,critical, innovativeandcreativeway.Theydare

toaskscriticalquestionstothemanagement.

Thecriticalsuccessfactors

Forthisprojectthecriticalsuccessfactorswere:

• Sufficientownershipandinterestoftheemployees.

• Gettingthebuy-inofthepoliticalstakeholdersatdifferentlevelstogothroughwiththiskindof

exercise.

• Theallocationofresourcesandpeoplefortheexercisebythemanagement.

Themajormistakesmade

Thestrategicexercisecoveredmostaspectsthatneededtobetackled.Howeversomeaspectsweren’tcoveredclearlyorspecificallybecausetheimpactofthoseaspectswereunderestimatedatthetime.

Thishasleadtosupplementaryexercisesafterwardssuchas:

• TheITpolicy:athoroughassessmentprovidedthefoundationofanITpolicythatmatchedthe

headlinesofthenewstrategy.

• Thepolicyonknowledgemanagement/studies:thisaspectwasn’ttackledsufficientlyduringthe

strategicexerciseandnegotiationsanddiscussionsareaheadtodoso.

Thelinkofthegoodpracticewiththeimprovedresults

Thefivecriteriaoftheenablersshowusagoodlinktotheimprovedresults.

• In the field of ‘Leadership’ we noticed that afterwards it was more clear which way theorganisationisheading.

• In the field of ‘Strategy and Planning’ most aspects were strategically aligned which has a

positiveimpactonamorelogical,operationalplanning.

• In the field of ‘People’ involvement,motivation, a broader versatility of personnel, a newHR

policy(coachingleadership,talentmanagement,flexibility,…)wereelaborated.

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• In the field of ‘Partnership and Recourses’ we have the IT-digitalising and the search forefficiencygains.

• Inthefieldof‘Processes’wehadanentireprocessrevisionafterthestrategicexercisetodesigntheexistingprocessesmoreclearlyandefficiently.


The CAF exercise of the Department of Agriculture adn Fisheries took place in 2014. The group ofrepresentativesconsistedoffoursubgroupsofwhichtwoofthemwerefullycomposedofvolunteersof

theentireorganisationfromdifferentlayersoftheorganisationalstructure.Thethirdgroupconsistedofthetopmanagementoftheorganisation.ThefourthgroupconsistedofvolunteersfromtheHR-servicecentre.

FirsteachsubgroupwentovertheCAF-modeltoanswerallthequestionsthatwerenecessarytotackle

all obstacles and uncertainties along the way during the CAF-exercise. They were called consensusmeetings,wherediscussionsleadthewaytoconsensus.Notallideasmadeitattheend,butoveralltherepresentativesagreedonwhichitemswerechosenbythegrouptogetthroughtothevotingsession.

AlargeadditionalworkshopforallrepresentativeswasorganisedinJanuary2014toselectthepriorities

for theorganisation.Usingavotingsystemallowingeveryone toparticipateandgiveargumentsgavelifetothefinalactionplanwhichconsistedofthirteenimprovementinitiatives(ninefor2014andfour

for2015) and sixteenQuickWins.Becauseof thearguments thatweregiven, several piecesof inputcouldbeclusteredtooneimprovementactionandsentenceswerefine-tuned.

Themanagementitselfwasfully involvedduringtheprioritisationprocess.Afterthesummarywassetup,subsequentlythemanagementwasbriefedaboutthisprioritisationprocessandthedecisionsthat

weretakenduringtheprocess.Thechoiceofanewoverallstrategybecamethetoppriorityprojectofthedepartmentfrom2014onwards.

PicturesCAFexcercise

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Belgium

Case:AqualityapproachfocussedoninternalandexternalcommunicationintheHauteEcoleofHainaut

HauteEcoleenHainaut(HEH)Belgium

BéatriceLoirE-mail:[email protected]

Sectoroftheorganisation:Education:HigherEducation

TheHaute Ecole enHainaut (HEH) is a public university college providing courses and training in theareas of Science and Technology (Bachelor and Master degrees) and Human and Social Sciences

(Bachelordegrees).Over3000studentsattendtheHauteEcolelocatedinWallonia(MonsandTournai)in4campuses(Engineering,Educational,EconomicsandSocial).Thereare350teachingstaffmembers.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:2.3Communicateandimplementstrategyandplanninginthewholeorganisationand

reviewitonaregularbasis


OurUniversityCollege,theHauteEcoleenHainaut(HEH)isaCAFuser.WeadoptedtheCAFasabasereference standard in 2008 andhave realised since then two self-assessmentprocesses. Theuse andimplementation of the CAF model has led to improvement actions and internal as well as external

contributionsinbetterperformance.TheCAFself-assessmenthasbeenrealisedattheinstitutionallevelandwasledbytheQualityCommission.

As shown in Figure 1, the Quality Commission is the central actor of the CAF process. A continuousimprovement of communication skills and strategy has led us to promote a culture of quality in the

educationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellastheteachers,administrativestaffandworkersoftheHEH.

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Figure1:ActionsprocessedbytheQualityCommission

Communication and monitoring (with timeframe) are important in management. A selection of

improvementactionsandresultsfor‘Communicateandimplementstrategyandplanninginthewholeorganisationandreviewitonaregularbasis’issummarisedinTable1.

Table1:Selectionoftop5actionstoimprovecommunicationskills

Natureoftheimprovementactionsfrom2013 Resultsoroutputs

CreationofCommunicationDepartmentandhiringacommunicationofficer

Supportandorganisationoftheinternalandexternalcommunication

Creationoftheannualcommunicationplan

Updatingoftheannualcommunicationplan

Improvementofthecommunication(evolutioninFigure2)

EnhancementoftheHEHvisibility

ElaborationanddiffusionofaQualitycharter SharedreferenceinAgencepourl'évaluationdelaqualitédel'enseignementsupérieur(AEQES)assessment;self-awarenessofeachitem(inprogress)andselectionofKPIs

Websitedevelopmentandsharingofinformaticstools

HEHWebsiteforexternalcom;commonuseofExtranetandtransitiontoMoodleplatform(cfr.infra)forinternalcommunication

Informationsession/CollaborativeworkCom-Informatics

Follow-upwiththeacademiccommunity:eventsNewslettersandQualityserviceNewsletters

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As already reported in the previous CAF Education Research Report 2014, ‘people’ are an importanttarget: good communication about the strategy and the on-goingmonitoring are significant for staffmotivationandsatisfaction.TheQualityCommissionalsoactedtocentralisetheimprovementactions,

astheelaborationanddiffusionofaQualitycharter.

To improve our actions, we realised an annual survey about the HEH advertising and visibility.Weanalysed itwiththefollowingquestion: ‘Howdoyoungpeopleget informationaboutour institution?’Basedontheresults,wehavebeenandarestillselectingthebestadvertisingcampaignsinrelationwith

student’sinterests.

Thesurveyhelpsusunderstandhowstudentsget informationandhowtheyget intouchwithus.Wehave therefore adaptedourpublications andbookedonline advertisingondifferentmediaproviders.Forexample,webookedanonlineadvertisingcampaignontwofamousonlineradios(PureFM,NRJ).

Table2a:Identificationofthebestmediatotargetaudienceduring3academicyears(in%)

Media 2013-2014 2014-2015 2015-2016

Internet 87 85 88

SocialMedia 49 37 43

TVandradio 44 38 38

Table 2b: Identification of communication channels to collect information during 3 academic years(in%)(--:resultsnotavailable;*:surveywithlimiteditems)

Channels 2013-2014 2014-2015 2015-2016

Explanationsonthewebsite -- 55 52

Wordofmouth 70* 26 30

Leafletsandfolders -- 12 15

Theseresultsshowthatwecontinuouslyneedtofollowtheevolutionofusedcommunicationchannels

totargetouraudience.

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Apositionwasopenedin2013inordertodevelopcommunicationskillsandstrategyasaresultofoursecondCAFself-assessmentprocessin2012.TheCommunicationofficerhas3tasks:

1. Internalcommunication

2. Externalcommunication3. Networkingandevents

Figure2:TasksofCommunicationOfficer

ImprovementoftheCommunicationstrategy:evolutionoftheannualCommunicationPlan

We write an annual Communication Plan with all the events and planned projects in June. TheCommunicationOfficerpresentsallactivitiesplannedmonthbymonthforthenextacademicyear.

Moreover, the new communication developments on promotional material, partnerships, events,writingandadvertisingareintended.

The Management Board (Authorities of the HEH) validates this Communication Plan before eachacademicyear.Itcanbeadaptedduringtheacademicyearasregardstotheneedsoftheinstitutionandnew happenings. Sometimes, some interesting promotional offers can also lead to adaptations,

repositioningandprioritisation.

Internalcommunicayon

Networkingandevent

Externalcommunicayon

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Figure3:EvolutionoftheannualCommunicationPlanfrom2013-2014until2016-2017(4yearsperiod)

TheHEHcentralisestheexternalcommunicationforStudentandEducationfairsaswellasinformationsessions.TheCommunicationOfficegivesinformationtoteachersbye-mailabouttheirparticipationin

StudentandEducationfairs,presentationandsessions.The collaboration with the IT team is essential for the dissemination of information via our website

www.heh.be, including thepresentationof coursesprogrammes.Briefings areorganisedona regularbasis.AframeworkhasbeenestablishedtocontactanyITmanagers.

Communicationimprovement&enhancementoftheHEHvisibility

We improved the HEH visibility with the use of a new logo. The old name was too long and theauthoritiesdecidedtouseanewname:HauteEcoleenHainaut(HEH).Since2013,wehavedevelopedthegraphiccharterandcreatedacompletelynewchart for internalandexternalcommunication.We

haveadaptedadvertisingmaterialinaccordancewiththenewgraphiccharter,i.e.presentationleaflets,signageofthestandforfairsandsignposting,etc.

Moreover,othernewlogoswererethoughtfortheHEHdepartmentsincludingtheQualityDepartment(Social Department, Academicachievement support Department, ...). This is the visible part of thedevelopmentofourstrategyincommunication.

Fromtheacademicyear2015-2016on,theHEHorganisesinSeptemberforthenewlyhiredstaffahalf-daysessiontopresenttheinstitution,thequalityandtheCAFprocess,thedifferentDepartmentsand

contactpersons(accounting,humanresources,IT,…).

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ImprovedcommunicationforStudentandEducationfairs

The HEH takes part in several fairs in Belgium and France. The Communication Department informs,invites and centralises the participation of the academic and administrative staffs during the events.

Onceayear, theCommunicationOfficerorganisesadebriefingmeetingwiththepeople involved.Weanalysewhatcanbeimprovedandwhat isalreadyefficient in logisticsandorganisationofstudyfairs.Thismeeting is useful to notice key points and improveweak points. For example,we could set the

orientationofopenclasses,planscheduleddatesofevents,editnewbrochures,improvelogistics,etc.

Anotherpriority:InternetsitedevelopmentandsharingofITtools

ThewholeacademiccommunityofHEHrequiresasolutiontomanagefiles.TheITteamhasdeveloped

aspecifictoolonInternettomeetthisneed:‘theExtranet’.It’saspecificareaforauthorities,differentdepartments and students. Teachers and peopleworking in the institution can put on and downloadfiles.Studentscanjustdownloadfilesandtakepartinsurveysandteachingassessment.Itallowsusto

haveinformationandabettercommunication.

Moodle’sdevelopment

Theadvantagesofdigitaltechnologyhavecreatednewtechnologiesofinformationandcommunicationtools in the educational landscape to practice newways of teaching and learning.One of thewidelymethodsofteachingconsistsintheuseofteaching-learningplatforms.

In2010,HEHselectedanonlineteaching-learningtool,‘Claroline’,todevelopadigitalpedagogy.Aftera

fewyears,thechosenplatformhasprovedtobeusedmoreasadeviceforonlinecomputerresources.

The integration of digital technologies and pedagogies must be defined as well as necessaryorganisationalsupportstructures.However,allstaffdidnothavethenecessaryskillstosuccessfullyuse

these new technologies and incorporate them into courses. Moreover, the design of the ‘Claroline’platformdidnotstimulatethem.

Lastyear,in2015,HEHdirectedacrossanewplatform:‘Moodle’(acronymforModularObjectOriented

termDevelopmentalLearningEnvironment)withdifferenttoolstoimprovesocialinteractionsbetweenstudentsandteachersandmotivationstolearnandboosttheeducationalprocess.Thisallowsteacherstocreatecourseswithresources,registerstudents,createtheirprofiles,createwebsitesanddiscussion

forums, post educational material, create student groups, create quizzes,… With these applications,‘Moodle’ combines the presence of students in the school environment during class hours with thepossibilitytocollaborateoutsidestudyareasatatime.Ofcourse,thecompletionoftechnicaldevices

(Wi-FiaccessintheCampus)isprovided.ThisstepisessentialfordevelopingthedigitalapproachinourUniversityCollege.

A workgroup composed by computer experts supported Moodle’s implementation. They created a

guideandtrainingsto initiateandtrainthe interestedteacherssothattheycanusetheplatform.In the workgroup, there were also teachers who tested the platform tools and established courses.Aprogrammeoffurthertrainingaboutspecificpedagogicapproachesforteacherswillbeproposednext

year.

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The‘EffectiveCAFUser’awardin2014ledtoastrategywithanupdatedplanfor2015-2016.TheCAFself-assessmentprocessallowedus to selectareasof improvementand todevelopour ‘prioritisation’

approach.Ourstrategicplanincludedin2013severalactionsatthelevelofthecommunicationsuchas‘improvethevisibilityandimageoftheHEH’or ‘improvethecommunicationstrategytoallstaff’.Theself-assessment report in 2014 led to an updated plan with new actions and specific objectives for

internalandexternalcommunicationstartingin2015.Thedecisionmakingonthisnewactionplanwastheresultofaninvolvementofallstakeholdersintheself-assessment,includingtheselectionofcriteriaand the choice of actions. This prioritisation methodology involves a participative management, the

QualityCommissionandtheauthorities.

Moreover,wehadtoimplementanewpublicpolicyoneducationandtomanagetrainingprogrammes.The introduction of specificmanagerial practices depends on choicesmade in concertation with theauthorities(StrategicPlan)andrelativetothefinancialcapacitiesoftheUniversityCollege.Acontinuous

improvementofthecommunicationskillsandstrategyleadstothepromotionofacultureofqualityintheeducationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellasteachers,administrativeandworkeremployeesoftheHEH.

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Estonia

Case:ContinuousImprovementoftheMinistryofFinance

MinistryofFinanceofEstonia

KerstinLaidmäeQualityManager

Tel.:+3726113757E-mail:[email protected]

Sectoroftheorganisation:Customs,TaxesandFinances+Regionalandlocaladministration

TheMinistryofFinanceofEstoniaisthegovernment´scentreofexpertiseintheimplementationoftax,financialandfiscalpolicies,andsettingeconomicgoals.Besides,MOFisanactiveplayerincoordinating

strategicplanningforallareasof thestate–settingthegoalsandplanningresources forcarryingoutactivities inpublicpolicyareas.MOF´smain servicesor activities areplanningand implementationofthestate’sfiscalpolicy;statebudgeting,planningtaxandcustomspolicy;financialandinsurancepolicy,

public administration, state assets, state treasury, coordinating the aid available to Estonia, spatialplanning, regional planning, developmentof local governments and regional administration.MOFhasbeen responsible for services such as personnel policy of state, public procurement policy and state

accountancy,nowbeingintegratedtothenewStateSharedServiceCentre.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criteria1.2,1.3and1.4Criterion2:StrategyandPlanning,sub-criterion2.2

Criterion3:People,sub-criteria3.1,3.2and3.3Criterion4:PartnershipsandResources,sub-criteria4.1,4.2and4.4Criterion5:Processes,sub-criterion5.2

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First,itisnoteworthythattheMinistryofFinance(MOF)hasahistoryofself-assessmentfromtheyearof2002,andthereforewehavebeenliterallymovingonaroadofcontinuousimprovementfor14yearsalready.NootherministryorgovernmentagencyinEstoniahasbeendoingitforsuchalongperiod.

In order to make a better point on results and approaches that have been the most important forEstonia and MOF during the recent years, we have decided to concentrate on the three latest

assessmentsandchangesduringtheperiodof2009-2014.Wefocusonthe improvementsconcerningresults of citizens and customers (criterion 6) rising from 14 points (2009) to 37 (2014) and on thepeopleresults(criterion7),whichhaverisenfrom38(2009)to45(2014)accordingtotheCAFscoring

methodology.

ResultsofCriterion6(Citizens/Customers)

MOFhasatwo-foldapproachtoitsclients.First,tobetterdevelopitsprocessesandservices,wehave

been concentrating on asking feedback from the organisations who are directly customers or areaffectedbytheMOF`sactivities,thosearemainlyotherministriesandgovernmentagencies.Second,amore comprehensive approach is to consider entrepreneurs and third sector organisations as our

interest groups and media as an important interest group for mediating and developing MOF´sreputation, allowing better and more effectively to execute our policies. Both approaches areelaboratedinthenextsections.

Underthecitizens/customersrelatedresultscriterionwehavebeenmeasuringthesatisfactionlevelofclientsconcerningoneofMOF`scoreprocesses,thebudgetprocessandit´ssubprocesses.

Theresultsof2010incomparisontothoseof2009showedaremarkableincreaseinratingthebudgetprocessasawhole(from3.37to3.61ona5-pointscale)ledbytheMOFandalsoinmostsubprocesses

(e.g. budget implementation from 3.57 to 3.86; strategical planning from 3.15 to 3.67, except forcompilationofeconomicprognosis,whichstayedatthelevelof3.38points.

Feedback from clients concerning the budget process was also collected in 2012 and 2013, but themethodologywaschangedinthemeantime.In2012,90%oftheclientsregardedthebudgetprocessas

a whole ‘good’ or ‘very good’; the percentage was 88% in 2013; we consider the 2% decline as amarginalone.

Second,fromtheyear2014wemeasureclients´satisfactionwithseveralE-systemswhichhelptheMOFtocarryout itsservices.Thefour included inthesurveywereProcurementRegister (RHR),E-Treasury(e-Riigikassa),anE-systemforapplyingfundingfromEUStructuralFunds(SFOS)andPropertyRegister

(KVR).Thefirsttwoscoredquitehigh-averagesof7.58and7.17ona10-pointscale-butthePropertyRegister received 5.67 and the SFOS 5.43 points. Analogous research using the samemethodology isgoingtobeexecutedinfall2016.

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Figure1:Clients'satisfactionratewithMOFe-servicesin2014

Third, we present the results concerning MOF´s reputation and the availability and adequacy ofinformation as valued by journalists and other partners by the example of MOF`s public websitehttp://www.fin.ee.

The opinions of partners and media over MOF's general reputation were collected through auditingprocessusingthesamemethodologybothin2008andin2011.Itappearsthatwhenin2008therewere

60%ofrespondentsevaluatingMOF'sreputationas‘good’or‘verygood’(markedblueonthefollowingscheme), it had risen up to 65% in 2011, while the rate of respondents scoring the reputation as‘satisfactory’(markedredonthescheme)(35%)in2008wasloweredto30%in2011.Thelevelofnon-

satisfactorypartnersormediaremainedonalevelof5%.

Figure2:EvaluationsofpartnersandmediatoMOF´sreputation

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ThetermsusedbypartnersfordescribingMOFmostoftenwere‘reliable’and‘competent’.Aregularsurveyonpublic sectororganisations` relationshipwithmediahasbeencarriedout in2008,

2010 and 2013 by a sociological research company. The results showed that while in 2010 MOF´swebsite was evaluated as highest among all the websites researched (first position among 14 otherministriesandstateagencies),in2013thescoresbypartnerswerelower,sothatMOFwaspositioned

9th,stillremainingslightlyhigherthanaverage.Thoseresultshavebroughtouttheneedforcontinuousimprovement,sothatin2014therewasacommunicationauditplannedandcarriedout.AlthoughwecouldnotusetheresultsduringtheCAFassessmentprocessin2014,theresultsrevealedthatpartners

consider MOF as providing reliable and relevant information, but wider public opinion sees itoccasionallytoocomplicatedand‘speakinginfigures’tounderstand.Itwasalsosuggestedtowidenthespokespersons`circleandtousedifferent,additionalchannelsforsharinginformation.

ResultsofCriterion7

MOF has been consistent on implementing regular personnel surveys, monitoring satisfaction ratesconcerningorganisation leadership,processes, getting insightonhowcoreand supportprocessesare

evaluatedandindividualsatisfactionwiththejob,andrelatedissues.The resultsof 2008, 2010and2013 surveys canbepresentedasevaluatedduring the last, 2014CAF

assessmentprocess.Therewasapersonnel surveycarriedout in2015aswell,butas ithasnotbeentaken into account during the CAF assessments, we have to exclude the results of the last one. Thescores have been given on a 5-point scale and the methodology (propositions) has been the same.

Participationratehasbeengrowingthroughouttheyears:74%in2008,80%in2010and85%in2013.

Figure3:OverallsatisfactionratewithMOFasanemployer

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Theoverall satisfaction levelwithMOFasanemployerhasbeenslightly rising (from3.9 to4.0) since2008to2013,whichhasbeenthetargetaswell.Attitudestowardsreadinessofleavingtheorganisation(‘Idonotthinkaboutleaving’)hadaremarkabledeclinein2010(3.7)incomparisonto2008(3.4),buta

slightrisein2013(3.6).AwarenessofMOF´sstrategicalgoalshasrisenfrom3.8in2008upto4.1in2010andstayingthesame

in 2013. Satisfactionwith self-fulfilment, career andmotivational opportunitieshasbeen3.9 in 2008,but loweredto3.8 inboth2010and2013.Satisfactionwithaccessibilityto informationhasalsobeenrisingsince2008(3.4),being3.5in2020and3.7in2013.

The roleof seniormanagers (permanent secretary, deputyundersecretaries) leading theorganisationand‘leadingbyexample’hasbeenconstantlyrising,from3.5in2008to3.7in2010andto3.8in2013.

Still, thereweresome improvementareasdetermined in2013,whichalsowerereflected in the2014CAFassessment,mostofalltheMOFemployees`viewofMOF´simageandreputation,andsecond,themostusedinformationchannelintranet,whichcollectedseveralimprovementideas.


Implementationofimprovementstowardstheclients/citizensdirection(connectedtoresultsofCriterion6)

Duringthe2012assessmentaneedforbetterclarifyingMOF´sinterestgroupswasrevealed.Thereisa

generalunderstanding,bothatpoliticalaswellasmanageriallevel,thatinawidersense,everycitizenofEstoniaisaclientandisentitledtoaskquestionsabouthowstatefinancesareplanned,sothebudgetprocesshastobeastransparentaspossible.ButforMOFasanorganisationweneededtonarrowthe

scope of interest groups in order to know from who are we planning to get feedback. It was alsostressed that it is crucial to set the target levels of satisfactionmeasures and start the regular datacollection.Aservice-basedapproachtoprocesses,especiallywhenpolicymakingisinvolved,isstillquite

achallengeinpublicsector.

Sofirstwezoomedintothepartnerswhodirectlyuseourservices,startingwithe-services.Westartedwithinvestigatingtheclients`satisfactionwiththee-systemsandfrom2014weareabletopresentthe

resultsmentionedinpart2.

The2014CAFassessmentbroughtoutthelackofacomprehensiveconceptconcerningthepartnersandclientsofMOF.Soasanimprovementprojectitwasdecidedtofocusonthepartners'issue.

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Thefirstcommunicationauditthatwascarriedoutin2014wasplannedtozoomintotheresultsofthe2013research,whichshowedadecline inevaluationsconcerningthewebsite informationqualityandaccessibility.Theauditfocusedonreputationandtheinformationavailability-audibilityandreliability-

issues, but had a new view added about which channels are most preferred and why. The results,especially of the qualitativemethods, gave valuable information aboutwhat are the expectations topossible new channels as socialmedia. Based on the audit (46% of respondentswished to getmore

information on fiscal matters over social media) the MOF has developed its Facebook and Twitteraccountsandusesthemsystematicallyforsharinginformation.

In2015apartners'seminarwaslaunchedinMOF.ItsmainaimwastoshowwillingnessonbehalfofthemanagementofMOF(includingtheminister)toanswerquestionsanddiscussopenlyonseveralissues

that might lead to better mutual understanding. Also, referring to the 2012 CAF assessmentimprovementplan,partnersofMOFwerebetterdefined.Wehave takenamorevisibleapproach tohaving good relations with entrepreneurship and their unions, e.g. Estonian Taxpayers Association,

EstonianAssociationofConstructionEntrepreneurship,EstonianServiceIndustryAssociation,aclearerapproach to partners executing regional policy, e.g. Association of Estonian Cities, Association ofMunicipalitiesofEstonia.WealsoconsidercivilsocietydevelopmentasoneoftheaimssupportingMOF

strategies, therefore the partners involved are National Foundation of Civil Society and othernongovernmentalorganisationsandprofessionalandacademicassociations.

Partly going after the improvement decisions set because of CAF, but also following the EstonianMinistry of Economic Affairs and Communications-led project of development of public services, the

MOFhasmappedallitse-servicesanddeterminedtheownersofthesystems.Now,weareworkingonmotivatingtheownerstofullytakeownershipandworkonthepossibilitiesofstartingtomeasuretheclients`satisfaction,fullcostsoftheserviceand,mostchallenging–theefficiencyofthoseservices.We

arestillmovingcautiously,asitisagovernment-levelinitiativeandtheregulationisyettobeelaboratedandsigned.Theoverallideaisofferingasmuchvirtualservicesaspossibleandmakingtheenvironmentascomfortableforclientsaspossible.

The abovementioned practices have improved, as we see it, the results of criterion 6, the results of

criterion7andhasaffected the keyperformance criterion results (criterion9),whichMOFhas set indifferent public policy areas. In mid-term planning level we set certain key performance indicators(KPI`s) in 7 activities areaofMOF, 5 of them in public policy and2 fields aremoreor less aimed for

supporting the policy fields.While assessing the achievement of those KPI`s we do not differentiatebetweenthepolicyandadministrativefieldsandtreatallthetargetsasequallyimportant.

Duringthelast6yearsofimprovements,theservicesofMOFhavebeenclarified,alsohowtheclientsevaluate the systems through which the services are delivered; or how the partners see MOF as a

leadingexecuteroffinancialandbudgetpolicies.Ithasclarifiedhowtosettargetsandhowtoimproveour processes, the latter becoming also more important as the constant pressure towards moreefficiency and cutting down operating costs, including the personnel management costs, is also a

government-levelguidelinetoallpublicsectororganisations.

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It isworthy to stressupon somechanges in theadministrative fieldofMOF thatmostprobablyhavehelpedtoreceivebetterresultsintheclients/citizensview–theformationoftwonewagencieswhichstartedfunctioningfromthebeginningof2012-theInformationTechnologyCentrefortheMinistryof

Finance(aimedatofferingICTsupporttoMOFaswellastoallotherorganisationsintheadministrativefield,likeTaxesandCustomsBoardandtheStatisticsEstonia)andthecreationofStateSharedServiceCenter,withconsolidationofsomesupportservicestothatorganisation.Thelattermeansconsolidating

accounting, personnel administrating processes, procurement etc of all the ministries to a singleorganisationinordertoofferbetter,moreefficientandcompetentservices.Theambitious,butrealisticaimhasbeensetbythegovernmentthattheabovementionedservicesofallthe12ministriesandState

Chancellery have been overtaken by the State Shared Service Centre by July 2017. Those decisions,although made on governmental level and affecting more than just MOF and its partners, haveundoubtedlyhelpedMOFtochangeitselftoamoreclient-focusedorganisation.

Improvementprojectsconcerningpeople(leadingbetterresultsofCriterion7)

Therehavebeenconstantchangesinthepersonnelmanagementovertheyears,mainlyasresponsetotheresultsoftheCAFself-assessments.

If we look at the strategical level, we have elaborated a personnel policy document (first version in

2009),whichisevaluatedregularlyandchangedifneeded.Lastevaluationiscarriedoutatthemoment.In the personnel policy document are statedboth the strategic issues coming from the values of theMinistry–whichkindofvaluesouremployeesshouldhaveaswellasmorepracticalinstruments(salary

arrangements,requirementsonthedifferentpositions,principlesfortrainingsetc).

Asoneof themainareasof improvementhasalwaysbeen theaccessibilityof information,wehavesince2008introducedtheprinciplesfordifferentlevelofmeetings,whichenteredintoforcesincethen.Wehavealsohadseveralprojectstodevelopourinternalwebsiteinordertoimprovetheaccessibility

ofthenecessarydatainthenecessarytime.

We have regularly assessed the salary principles (in the scope which is allowed in law) concerningperformance based pay and changed the system considerably (in 2014). The complicated system ofperformancebasedsalarywaschangedintomoreunderstandablesystemmoredirectlyconnectedwith

exceptionalresults.

Therehavebeen fundamentalchangesalso in the systemofappraisal interviews (conductedonceayear),astheseareamendedwiththecompetencymodel.

In order to rise the quality of leadership since 2005 there have been several trainings for leaders in

differentlevelsofministryandthesearestillongoing.

Therehavebeenseveralotherdifferentscaleprojectsimplementtedinthepersonnelmanagementovertheyears.

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Therehasbeenalmost10yearsacertainmethodologyusedforprioritisationinourorganisation,whichwebelievehasworkedverywell.Allimprovementactionshavebeenevaluatedaccordingto3criteria:

impact (whether this activity has impact on thewhole organisation or just a unit etc),urgency (howurgentistheimprovementactivity)andimplementationcosts.Theweighingwasdoneonthescaleof1-3.Theprioritisationhasbeenalwaysdonebythetopmanagementoftheministry(secretarygeneral

and the deputy secretary generals). Of course on the background there has also always been thestrategicviewoftheministryaccordingtowhichthenecessarychoiceshadtobemade.

Also efficiency has been the keyword describing the approach in designing and offering services andexecutingstatepoliciesinallfieldsoftheMinistryofFinance,beitbudgetingortaxpolicyorreforming

civil service and public administration. As Estonia is a small country, workforce is themost valuableresource,thereforecreatingthepossibilitiesforconcentratingmoreoncorebusinessandprocesseshasbeenessentialfortheMinistryofFinance.

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Finland

Case:Target-orientednetworkleadershipofeducationalservicesinthePäijät-Häme

TheCityofLahtiEducationandCulturalAffairsAnjariittaCarlsonDevelopmentmanagerSaimaankatu1115140LahtiTel.:+358503985751E-mail:[email protected]

RaisaKujalaDevelopmentcoordinator


Sectoroftheorganisation:Educationandresearch

Theservicesectorsinmunicipaleducationservicesareearlychildhoodeducation,pre-schoolandbasiceducation,uppersecondaryeducation,libraryservices,sportsservices,youthservices,culturalservices,

andadulteducation.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:1.1Providedirectionfortheorganisationbydevelopingitsmission,visionandvaluesSub-criterion:4.1Developandmanagepartnershipswithrelevantorganisations


The modes of operation differ among the municipalities in the network, which are heterogeneous,independent, and of various sizes. Active development of network-based collaboration steers thedevelopment of service processes in amutually selected direction. In particular, the development of

mutual collegiality among themembers of the development groups engaged in expert duties in thevarious service sectors in their respective municipalities, discussions over practices in the various

municipalities, andmutual sharinghavepromotedharmonisationof serviceprocesses. There is still alongwaytogo,butthedirectionisright.

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LahtiCityLibraryThecoherent,customer-orientedharmonisationofinformation and library services throughout thePäijät-Häme region is a tangible result of network-

based collaboration. The municipal service sectordatabaseshavebeenpooled,anduniformfeesandcharges have been introduced throughout the

municipalities. Residents of Päijät-Häme can nowusethesamelibrarycardinalltheregion’slibrariesandborrowbooksonlinefromanymunicipality.

In addition, uniform service strategies have beenintroducedforpupilcareandcounselling,aswellas

for complementary training of teachers in all themunicipalities.

The points scored in the CAF assessment for the first section, Leadership, sub-criterion: 1.1 Providedirectionfortheorganisationbydevelopingitsmission,visionandvalues,cameto2.8.Thankstotheproject,thescorefortheLeadershipsectionimprovedfrom2.8to3.5inthe2014assessmentaccoring

totheoriginalscoringpanel.The network-based approach involving central operators from different municipalities in the same

serviceprovisionchainandunderthesamedirectionhasturnedouttobeawell-functioningmethodofcollaboration. The proposed measures affect all profit centres, customer scores, staff scores, socialresponsibilityscores,andessentialperformancescores.Moretimeisneededtoimprovetheoperations,

because of the extent of the area,variation in the service processes, andthe large number of operators. The

scores for this assessment remainunchangedforthetimebeing,at2.7.

0

0.5

1

1.5

2

2.5

3

3.5

4

CAFpoints2013-2015

2013

2014

2015

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Importantinthiskindofcooperationisthattheinteractionbetweentheactorsofthesameprofession

indifferentmunicipalitieshas increasedwhile theyareworkingwith improvements in thedevelopinggroups.

Municipalities have also uniform common agreements with mutual invoicing, for example when thepupilgoestoschoolindifferentmunicipalitythanwherehelives.

The steering group decides each year together on common teachers- and student’s working- andholidayperiodswhicharethesamethroughouttheregion.


Theoverallobjectiveinadoptionofthenetwork-

basedcollaborationwastoimprovethequalityofthe operations. Our mutual vision ‘Päijät-Hämeas the spearhead of education and culture’

outlines the mutually desired direction for thecollaboration. The vision requires continuousimprovement of municipal cultural and

educational services because the residents’needs and the operating environment arechanging continuously. The development

measures implemented jointly in thecollaboration network must be in line with thevision.Thevision,basedontheoperationofthe

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collaboration network, does not conflict with the visions of individual municipalities in the network,because the collaboration is aimed at improving the provision of municipal educational and culturalservices together. The municipalities agreed on mutual collaboration in the network through a

collaboration agreement that also received a mandate from the political representatives of therespective municipalities. A mutual operation system for the collaboration network was created toensure successful collaboration and to focus the development measures. The steering committee’s

annual self-assessment as an essential part of this system. The steering committee controls theoperationofthedevelopmentgroupsrepresentingvarioussectorsineducationalandculturalservices,anditmonitorsthecompletionofprojects.Theoperationsystemdefinesthe interactionbetweenthe

steeringcommitteeandthedevelopmentgroups.

Thenetworksleadershipdevelopmentwasthefirstpointofattention

Attheoutset,theoperationofthesteeringcommitteewasinefficientwhencomparedtoexpectations.

The members of the steering committee are directors of educational and cultural affairs from each

membermunicipalities,sothattheCityofLahtihastwomembers,becauseofitslargesize.Thesteeringcommitteeisestablishedin2009.Thecommitteemakespoliciesincommonimplementationplansandsharetheresponsibilityforcarryingouttheprojecttotheeachselecteddevelopmentgroupdepending on the context. The steering committee has a timetable and a year clock. Themembersmeet everymonth,excludingJuly,whichistheholidaymonthinFinland.

Themembersofthesteeringcommitteearebusydirectorsanduniquepersonalitieswithmanyironsinthefire.Someofthemparticipatedinsteering-committeemeetingsonlysporadicallyandinformoftheir

absenceatthelastminute.Themeetingdocumentsandtheirattachmentsweresenttothecommitteemembersbyemailaweekbeforethemeeting,butsomeofthedirectorsdidnotstudythedocumentsin

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advance. Some did not study the meeting minutes properly either. Breakdowns in communicationoccurred in individual municipalities, and the information about steering-committee decisions neverreached the personnel engaged in the actual service provision in some municipalities. Therefore,

clarificationoftheroleofthesteering-committeemembers(directorsineducationandcultureservices)as themost importantoperators in theregionalcollaborationnetworkwas identifiedasan importanttargetofdevelopment,withtheaimofsuccessinthedevelopmentofmunicipalserviceprocessesand

harmonisation of service production as intended. The directors' personal performance is key tocontinuous improvement of the results of the regional collaboration, particularly with respect tospreadingawarenessofthemutualvisionandtheobjectivesfortheservicestrategyandoperationsin

theorganisationintheirrespectivemunicipalities.

An action programme was drafted in order to improve the results for the Leadership section andimplemented in the course of 2014. As a mechanism for improvement, a regular schedule and setduration for themeetings were agreed upon. In addition, themeeting schedulewas entered in the

directors’calendarsinadvance.Thesteeringcommitteealsoagreedonadeputationsystemwhereinadeputyisappointedforthedirectoroftheeducationandcultureservicesofeachmunicipality.Shouldthedirectorbeunabletoattendthemeeting,thedeputyisobligedtoparticipateinstead.Thisensures

that each municipality remains fully informed about what is discussed and decided by the steeringcommittee.In2014,themeetingsalsoaddressedcommunicationgapsandtheproblemstheycauseforinteraction in themunicipalities. These too turned out to be critical success factors. In addition, the

committeeagreedthateachpersonparticipating inthemeeting(directorordeputy)shallensurethatthediscussionoutputfromthemeeting(i.e.theagenda)willbediscussedbytheadministrativegroupofthe educational and cultural department in each municipality and passed on to the appropriate

committees(politicaldecision-makers)inthefuture.Asharedonlinedatabankwascreatedforstoringthemeetingdocumentsandmaterialsproducedby

thedevelopmentgroupsinordertoprovideequalaccesstothemeetingdocumentsandmaterialsforeverybodyappointedasanoperator in thecollaborationnetwork inanyof themunicipalities.All therelateddocumentsandminutes, includingtheirappendices,arestoredinthedatabankaweekbefore

themeeting, and separate email messages regarding them are no longer sent. This system, createdjointly and known to all parties, now forms the core of the network operations. Commitment to itcreatesabasisforself-assessmentandcontinuousimprovementofserviceprovision.

PartnershipsandResourceswasanotherimportanttargetfordevelopmentofthecollaborationofthesteeringcommitteefor2014,agreedupononthebasisoftheCAFassessmentin2013.Sub-criteron4.1

Developandmanagepartnershipswithrelevantorganisations.Allmembers of the steering committee are responsible for the provision of educational and cultural

servicestotheresidentsintheirrespectiveareasinthenetwork-basedcollaborationmodel,subjecttothelegislationgoverningallmunicipalitiesalike.Theservicesectorsinmunicipaleducationservicesare

earlychildhoodeducation,pre-schoolandbasiceducation,uppersecondaryeducation,libraryservices,sports services, youth services, cultural services, and adult education. Each municipality has anorganisationwithamanagerappointedforeachoftheservicesectors,workingunderthedirectorof

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educationandcultureservices.Developmentofoperationsineachofthesectorshasanimpactonhowwellthemutualobjectivecanbeattained.

At the outset, for some of the service sectors, there were peer groups covering the collaboratingmunicipalities,whosememberswereresponsibleforsimilaroperations.Meetingstookplacearbitrarily,convenedbydifferentpeople.After learningthatthemutualcommunicationamongcolleagues inthe

various municipalities worked well, the steering committee found it appropriate to strengthen itspartnerships inorder tomanageanddevelop them.Asamechanismof improvement,alleducationaland cultural services sectors received equal opportunities to share good practices and develop their

operations by learning among peers. Each of the groupswas named asa development group for itsrespectiveoperatingarea,forharmonisationoftheoperationsanddescriptionoftheoperationoftheexpert groups consisting ofmanagers from the variousmunicipalities. The director of education and

culture services in eachmunicipality enabled operation of the development groups by allowing theirmembers to allocate working hours for operating in the regional network. The entire developmentnetworksystemwasorganisedunderthe leadershipofthesteeringcommittee.Atthemoment, the

steering committee assigns tasks (development projects) to the development groups in order toharmonisestaffskillsandserviceoperationsamongthemunicipalities.Thepurposeofthedevelopmentgroups’ work is to improve the quality of service in their respective sectors. A set of consistent

guidelineswascreatedfor thedevelopmentgroups,whichwasdiscussedatameetingofeachgroup.The guidelines were also made available in the operation system. The meeting practices wereharmonised, and a chairperson, in charge of drafting and implementing the annual action plan, was

appointedforeachdevelopmentgroup.Thesteeringcommitteeisinformedoftheactionplans.Inordertofacilitateinteractionbetweenthedevelopmentgroupsandthesteeringcommittee,acontactpersonhasbeenappointedforeachdevelopmentgroup,toserveasa linktothedevelopmentgroupswithin

thesteeringcommittee.Allmembersofthedevelopmentgroupcanusetheonlinedatabankusedforstoringallthematerialcreatedduringthecollaboration.

Participation of the appointed experts in the network meetings and in implementation of mutualdevelopment actions in the municipalities or introduction of mutual practices in the improved andstreamlinedserviceprocessesisacriticalsuccessfactorintheoperationofthedevelopmentnetworks.

Anyconflictsorsuggesteddeviations fromtheagreedpracticesaretobebroughtbeforethesteeringcommittee,asagreedwithin thenetworkoperationsystem.All themunicipalities in thecollaborationnetworkarecommitted to thecollectivedecisionby the steeringcommittee,which is final (abinding

agreement).

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3.Theorganisationmodel for thedevelopmentof quality in themuni-cipal collaboration in Päijät-Häme and the selection, implementation,monitoringandevaluationofimprovementactions

The independent municipalities inPäijät-Häme, of many sizes, have

been collaborating in order todevelop educational and culturalservices since 2006. The directors

have worked to a great extent ontheirownwithissuesandchallengessimilar to those in theneighbouring

municipalities. Mutual collaborationhasprovidedsupportfortheworkofindividualdirectors.

Thesteeringcommitteecompiledan

overview before the first CAFassessment, analysing not just the

mutualvisionbutalsopartnerships,customers,mutualcoreprocesses,financial instruments,available

resources, and the operating environment. The steering committee also analysed the strengths andweaknesses,opportunities,andrisks(threats)ofthecollaboration.Theoverviewwasthebasisforself-assessment.Thenetwork’soperationalsystemhasbeenbuiltonthebasisoftheCAFareasofoperation.

Using the assessment tool has led tomutual understanding that all the areas of operation affect theoverallresultsandthat,foroperationstoimprove,itisnecessarytodevelopallofthem.Also,theCAFhasmadecollectionoffeedbackfromstaffandresidentsmoresystematic.

The network operations are co-ordinated by two persons, whose views have perhaps had the most

impactonusingtheCAFasatoolofself-assessmentinthenetwork.Thedevelopmentmanageractsasthepresenterofthenetworktothesteeringcommittee,andherexperienceandexpertise(MasterofQuality) convinced the steering-committeemembers of the benefits of applying the CAF approach in

network-based operation. The steering-committee members had very little experience with self-assessmentwhen it began.Only the basic education sector had self-assessment recommendations inaccordancewith theCAF for assessing theoperationof schools. In thedevelopment network, all the

municipalitiesintheareaadoptedtherecommendations,sotheeducationsectorhasgainedexperienceinusingtheCAF.Anotherobjectiveofthenetworkco-ordinatorshasbeentoexpandtheuseoftheCAFmodel in municipalities and in other service divisions through the experiences of the director of

educationandculturalservices.

The suggestions for development collected in the CAF assessment report will be thematised intoentities, and the steering committee will select the targets for development for the next year. Thetargets for development will be prioritised on the basis of which area has the most room for

improvement,asindicatedbytheresultsfromtheself-assessment,andwhichmeasuresareinlinewiththe vision for the network-based collaboration. Public organisations should take into account known

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changesinlegislation,whichcontributetodirectingtheselectionofcertainserviceprocessesastargetsof development across a broad spectrum of cultural and educational services. Renewal of serviceprocesseshasbeenacontinuoustarget fordevelopment inall theself-assessmentsperformedso far.

Theareasfordevelopmentaredistributedamongdevelopmentteams,andanimplementationplanwillbedraftedforthem,monitoredbythesteeringcommittee.Thechairpersonofeachdevelopmentgroupis in charge of implementing themeasures. If public financing is available for some of the areas for

development,itisappliedviaamutualapplicationbytheentiredevelopmentnetwork.

When the steering-groupmembers perform a self-assessment together, they also stop to review theoperational entity, identify targetsof development together, and commit to theobjectives theyhaveset.Theresultswithnetwork-basedcollaborationhavecontinuously improved inquality,eventhough

thisworkhasbeentakingplaceforjustashorttime.

The CAF self-assessment was introduced as an essential element of operations only in 2013. It waspreceded by quality- and development-manager training targeted at the needs of the steering-committee members, with the aim of increasing their quality-awareness and development skills.

Understandingthepurposeoftheassessmentinthesamewaywasessential,andsowasunderstandingits role in planning the development of operations. Adopting a uniform quality language and sharedconceptswasalsokey.AsectiononusingtheCAFtool forself-assessmentwasaddedtothetraining.

The first CAF assessmentwas included in the steering committee’s annual action plan, and timewasallocated for the self-assessment process in the steering-committee’s meeting calendar. The self-assessmentwascreated inaccordancewithCAFcriteria,butquestionswereedited tobetter suit the

network-basedoperatingmodel.

To facilitate realisation of the vision of the collaboration network, amutualWeb-based assessmentsystem was created in parallel with themutual operation system, with a scheduled implementationplan.Aseparateexpertgrouprepresentingthevariousmunicipalitieswascreatedtoassessthesuccess

ofthedevelopmentmeasures.Thegroupisinchargeofperformingassessmentsfortheagreedsubjectareasandofgatheringfeedbackforthenetwork’ssteeringcommittee.Theassessmentgroup(ARVO)drafts the assessment questions in collaboration with appropriate representatives from each service

sector to be assessed, usingmutual criteria that take into account the special characteristics of eacharea. Online assessment questionnaires target residents using the services and staff providing them.These include questions specific to each target groups. The quality criteria created by the Finnish

Ministry of Education and Culture are used to assess pre-school and basic education, with feedbackgatheredalsofromthepupils.Theassessmentiswidelypublicisedinthearea,andeachmunicipality’sWeb site has a link to the questionnaire. The link to the Ministry of Education and Culture’s

questionnaire regarding assessment of education services is also sent via online communicationchannelsbetweenschoolsandhomes.

TheresultscovertheentiretyofPäijät-Häme,andeachmunicipalityreceivestheresultsfromitsarea.The results indicate whether the agreed development measures (separate mutual development

projects)have improvedtheservices.Also, results for individualmunicipalitiesarecomparedwiththeresults from the entire area. Systematic assessment has been carriedout in collaboration among the

municipalities for many years now. It has already proved useful in assessment of the effect ofdevelopment measures. All the municipalities in the network know that the feedback from the

58

assessmentindicatesthestatusoftheeducationalandculturalservicesofeachindividualmunicipalityto all participants in the network. That is why commitment to implementing improvements hasincreasedovertheyearsduringthecollaboration.Thequestionnairesarethemostimportantindicator

intheassessmentofthedevelopmentofeducationalandculturalservicesinthenetwork.Theprincipleis that the strengths identified in theentireareaare reinforcedand theparties invest in the selectedtargetsofdevelopmenttogether.Feedbackfromstaff isessential intheCAF-basedself-assessmentof

staffresults.Customerfeedbackisassessedaspartoftheresultsfromcustomersandresidents.

Thedevelopment initiativewasbasedon the idea thatmunicipalitieswill achievemoreas anetworkthan individually. The mutual quality vision helps the independent municipalities in the Päijät-Hämeregion to assess each year whether they have progressed towards the goal via the measures

implemented in the network. The programme also aids in sharing good practices more rapidly. ThesteeringcommitteeselectedtheCAFasthedevelopmenttoolforthenetworkcollaborationbecauseitisbestsuitedtothenetwork-baseddevelopmentoforganisations,anditsadaptabilitytotheneedsof

thenetworkwasconsideredparticularlyimportant.ThenetworkaimstoutiliseCAFself-assessmentinthedevelopmentofitsactivitieseveryyear.Thefirstmeasureshavebeeninitiatedinareaswherecloseandfruitfulnetwork-basedoperationisconsideredbeneficial.

59

Finland

Case:Theinitiative-systemintheStateResidentialSchoolLiminkaStateResidentialSchoolLiminkaLännentie191900Liminka

TeijaTuuliainenDirectorTel.:+358295244205


Sectoroftheorganisation:

Mostdemandingchildwelfare.Stateresidentialschoolplayakeyroleinshoulderingtheresponsibilityfor theupbringing, educationand careof childwelfare clientswith themost challengingneeds. Theyprovidethequalityanddevelopmentstandardsforsubstitutecareforallthoseinvolvedinthisfieldof

child welfare. A successful implementation of the task of residential school helps strengthen thefunctional capacity and copingof children and their families and reduces human suffering, aswell asdiminishingtheneedforotherpublicserviceresources.


Criterion3:People,sub-criterion:3.3Involveemployeesbydevelopingopendialogueandempowerment,supportingtheirwell-being

60


Asaresultoftheinitiativesystem,presentedunderpart2,thenumberofinitiativessubmittedbystaff

hasincreased.Approximately25%ofinitiativeshavebeensubmittedwithsecurityinmind.

Thenumberofstaffsickleavedaysisdecreasing.Thevastnumbersickleavedaysin2009and2010hadmanagementinvestinstaffwellbeingandthedevelopmentofstaffrelatedprocessesandpractices.

0

20

40

60

80

100

0 0

16

34

50 55

84

57 55

Numberofinitatvesfromstaff

0

5

10

15

20

25

0 02

4 3

11

23

1715

Security-relatedinitatvesfromstaff

61

Jobsatisfactionhasbeenevaluatedannuallyonascaleof1-5.Jobsatisfactionappearstobearound3.5.

0.0

5.0

10.0

15.0

20.0

25.0

2008 2009 2010 2011 2012 2013 2014 2015

12.8

19.8 20.2

11.2

15.6

10.6

13.7

7.7

Sickleavedays/man-year

1.0

1.5

2.0

2.5

3.0

3.5

4.0

4.5

5.0

2008 2009 2010 2011 2012 2013 2014 2015

3.18

3.64 3.63 3.763.55 3.66 3.57 3.45

JobSatsfacton

62


Examplesofinitiativesmadebystaff Improvementsmaderesultingoftheinitiative

Securitydrillsamongteams:Scenariotypeexercisesthatmimicreallife

dangeroussituationsineverydaywardenvironment.

ImplementedinFall2015.

Followupannually.

Renewalofprocesstoaddressdeviantsituations:Everybodyhasthechanceto

makeanoteofdeviantinstances.Theinternaloccupationalhealthandsafetycommitteeprocessesthenotebeforeits

goestothereviewofthemanagementgroup.

Implementedin2015.Continuousprocess.

Professionalguidance:Some

respondentswereunsatisfiedwiththecontentofprovidedprofessionalguidance.

Professionalguidanceproviderswereputouttotender.

Staffwishesandguidancethemeswerediscussedandagreeduponindetailwithnewproviders.

Acquisitionofnewsleepingbagsand

campingmattressesduetothebadconditionofexistingones.Alsotheacquisitionofnewsharedoutdoor

clothingforchildren.

Newsleepingbagsandcampingmattresseswere

acquired.Sharedoutdoorclothingnotacquiredduetorapidwearofsharedequipment.Childrenarealsoeligibleforasumofmoneytopurchaseclothingforthemselves.

Inadditiontosurveysandquestionnaires,itwouldbebeneficialto

gatherqualitativefeedbackfromchildren.Thiswaythefeedbackwouldservetoimprovethecontentand

directionofwork.

Implementationincomplete.Atthemomentthenatureofqualitativefeedbackisbeingexamined,andalsohow

andwhenitcouldbecollected.

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OverviewofQualityManagementatLiminkaStateResidentialSchool, thebasis fortheInitiativeSystem.

Liminka State Residential School has systematically developed its operation and qualitymanagementsince2009.Asaresultofthisdevelopmentprocess,thequalitysystemMAPwasbuilt,aninstrumentaltool which still today serves as a vessel for everyday guidance, information circulation, surveillance,development, self-assessmentandemployee familiarisation.Themanagement systemand thequalitysystemMAPhavebeenbuiltaccordingtotheCAF-model,eventhoughoriginallytheywerebasedonISO9001.

Staff was constantly involved in the development process through multiple forums, such as team

meetings,organisation-widedevelopmentseminars(3timesayear),co-operationcommitteemeetings,internal reviews, occupational health and safety committee meetings and also through initiatives,feedbackandemployeeperformanceappraisals. Inaddition,anydivergencesencounteredand logged

bystaffarenowreviewedandaddressedmonthly,sotheyfunctionassourcesforfurtherdevelopment.Thecentralideaofthemanagementsystemisthatallminutes,memos,decisions,reportsandmetricsarereadilyavailableforstaffinthethedatabasecalledtheMAP(excludingthosedeemedconfidential).

Alsotheprocessingofinitiatives,feedbackanddivergencesisaccomplishedthroughMAPandthuscanbeviewedbyanystaffmember.

The benefits gained from the operational development and management have been: the increasedtransparencyandopennessofmanagement,improvedinformationcirculation,activestaffparticipationindevelopmentprocesses,theinvolvementofinterestgroupsindevelopmentwork,goal-directedand

strategy adhering management on all levels of the organisation, improved focus on ‘ground work’(children), and the production of new pedagogic and educational content, increase in employeewellbeingandsafety,strengtheningandactivationofrolesregardingoccupationalhealthandsafetyand

unionstewards,increasedcohesioninemployeefamiliarisationandtheimplementationofproceduresfromvariousplansandmanualsintoeverydaywork.

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Thevastnumberofsickleavedaysin2009and2010causedmanagementtoconsiderthedevelopmentofstaffwellbeing.Thepossibilityforstaffmemberstobeabletogetinvolvedwiththedevelopmentoftheir work and working environment, and the transparency of decision-making were seen as crucial

factors in increasing staff wellbeing. By involving staff in the development processes, managementsends amessage that the expertise and professionalism of staffmembers is held in high regard andtrust.

In retrospect, it has been noted that the quality systemMAP has functioned as a good basis for theimplementationofvarious involvementprocedures.Ontheotherhand,anysystematicallyfunctioningsystemcanactasaplatformfordevelopment,butthemostcrucialfactorismanagement'scommitmentandpersistentrepetitionofimplementedmethodsuntiltheysolidifyintoestablishedoperatingmodels.The creation of established practices creates an atmosphere that staffmembers' involvement has animpactongroundworkwhichagaincreatesafeelingofcontinuityandsecurity.

ImplementationoftheInitiativeSystem

The staff now actively participates in operational development by filing initiatives, through internalreviews,employeedevelopmentappraisalsandjobsatisfactionsurveys.

The ability to file initiatives into the quality system MAP was made available to all staff membersstartingfromdayone. Incaseastaffmemberdoesnotknowhowtousethesystem,theirsupervisorcan file an initiative for them. During the first couple of years, management group and supervisorsremindedstaffmembersaboutfiling initiativeswhenevertheyhearddevelopment ideas.Forexampleduringmeetingsorcoffeebreaks.

Themanagement group processes all initiativesmonthly. Comments are then added regarding whatsteps can be taken towards realising these ideas, and also conversely why some ideas cannot be

realised.Staffmembersareabletokeeptrackofhowtheirinitiativesarebeingprocessedthroughthequality system. Themanagement group keeps track of the initiative processmonthly through ‘trafficlights’:aninitiativeinprogressisshowninyellow,whereacompletedoneisshowningreen.Initiatives

areobserveduntilcompletion.

Completed and realised initiatives were discussed in staff meetings right from the start in order toemphasisetheimportanceoftheinitiativesystem,anddemonstratetostaffthattheirideaswerebeingcarriedthrough.Assuch,nospecificrewardisgrantedforsuccessfulinitiatives,forthetransparencyof

decisionmakingandtheabilitytoinfluencearerewardsinthemselves.

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FurtherdevelopmentoftheInitiativeSystem

Further on initiatives were also collected from employee development appraisals, job satisfaction

surveys, discussions in staff meetings, internal reviews, management reviews, reviews conducted bygovernmentofficialsandexternalreviews.Thishasledtothefactthattheinitiativesystemhasbecomeacrucialtoolincontinuousoperationaldevelopment.

Today,teamskeeptrackoftheprogressandprocessingofinitiativesinmonthlyteammeetings.Team

meetings takeplacemoreoftenthanstaffmeetingsso theyhavetakenoveras theregular forumfordiscussing initiatives. Teams keep track of initiatives through the quality systemMAP,which as suchreinforcesthehabitofmakingfulluseofthesystem.

Staff members are not being rewarded for individual initiatives, although displaying activity in

operationaldevelopmentwillbetakenintoaccountwhiledeterminingastaffmember'spersonalsalarypercentage,forwhichthenumberoffiledinitiativesisagoodindicator.

Whatcangowrong?

Itisofparamountimportancetotrusttheexpertiseandprofessionalismofstaffmembers.Thefilingofinitiativescannotbemadetoodifficultandthepossibilityoftheentirestaffbeingabletocontinuously

keeptrackoftheprocessingofinitiativesisimportant.

Managementhas to takeall initiatives seriously,even thoughsomeof themmight seemminute. It isimportant to give an explanation if an initiative cannot be realised. Management has to processinitiatives on a regular basis and make sure to act on matters that have been agreed upon. If

agreements are not adhered to, the verymeaning of filing initiatives loses its purpose. Realised andcompleted initiatives should be brought up and emphasised for example, in staffmeetings so that itbecomescleartostaffthatmattersarebeingcarriedthroughviatheinitiativesystem.

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Originally the principles of quality management were selected as the methodology for operationaldevelopment.Meanwhile itbecameclear that the improvementof theexistingquality systemwas in

order, for at the time instructionsweremissing or no one knewwhich versionswere valid. The newsystemwas designed to act as an archive for instructionmanuals, minutes andmemos as well as aplatformforprocessdescriptions.

After this first stage the staff satisfaction was low and need for improving employee wellbeing and

servicecontentarose.Thepurposewastocreatepracticalsolutionssuchasthe initiativesystem,andlater the platforms for securitymanagement and sustainable development to be embedded into thequalitysystemitself.

Thedesirewasto improveemployeewellbeingby increasingtheirabilityto influencetheirownwork,

thecontentsoftheirownworkandthedevelopmentoftheirworkingenvironment.Thiswasdonetoemphasisethefactthateachstaffmemberisthebestexpertinitsownwork.Givingstaffresponsibilityinoperationalandoccupationaldevelopmentservedtoincreasetrustbetweenstaffandmanagement.

Prioritisingofdevelopmentactionsweremade inannualplanningdays,whichareheld three timesayearandinvolvethewholestaff.

Anothercentralthemeinemployeewellbeingwastheopennessandtransparencyofmanagement.Theprocessing of initiatives in away that all staffmembers are able fully keep track of all stages of the

processwithrespectiveexplanationsandrationalisationsisopendecisionmakingandpreparation.

The implementation of the initiative system began with the requirements stated in the qualitycertificate,buthasover theyearsdeveloped intoa crucial tool for continuousdevelopment.Amajorreasonforthis is thefact thatthe initiativesystemisapractical tool forboththemanagementgroup

and staff. Last CAF self-assessment with was made 2015. Continuous quality work is part of theorganisationalculture.

67

Germany

Case:HRManagementattheDistrictofUpperBavaria

DistrictofUpperBavaria(BezirkOberbayern)Germany

ArminLiebigQMOfficerPrinzregentenstr.14

80538Munich

Sectoroftheorganisation:Regionalandlocaladministration-Socialservices&socialsecurity

ThedistrictofUpperBavariaispartofthethirdlevelofthelocalgovernmentinBavaria/Germany.

The district is by far the largest andmost populous district in Bavariawith over 4.5million residents(about1.4millionofthemarelivinginthecityofMunich).Itisaself-governingbodywithaparliament

(districtcouncil/’Bezirkstag’)ledbyanelectedPresident(‘Bezirkstagspräsident’)whichisresponsibleforvariouspublicservicesexceedingthecapabilityofthemunicipalities,citiesandlocaldistrictsintheareaofpublichealth,socialwelfareandculturalheritage.

About800peopleworkatthemainofficeofthedistrictadministrationinMunich.Responsibleforthe

operationalbusinessisthedirector.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criteria:1,2,3,4,5

districts

Local districts and

cities

municipalities

68

1.Descriptionoftheimprovedresult(s)oftheorganisation The district of Upper Bavaria and its administration staff are in the process of implementing an

integratedqualitymanagementsystem.Ourgoalisastakeholderandcitizenfriendlyservice.

Beginning in 2005, a structured quality management approach on the basis of a CAF process wasintroduced. Based on three CAF self-assessments (2005, 2011 and 2013) the district implemented avarietyofactivities to improve thequalityof servicesandproducts.Theseactivitieswereassessedby

external feedback experts resulting in the label ‘Effective CAF User’ being awarded by the FederalMinistryoftheInteriorin2015.

InthiscasestudywewillfocusonvariousactivitiesinHRmanagementoverthelastthreeyears,since2013. HR management was one of the three pillars of our strategic plan (the others were

‘communication’and‘knowledgemanagement’)toachievethelabelandtoshowhowweimplementedtheresultsandfindingsoftheCAFself-assessments.

InadynamicandprosperousregionsuchasMunich it is increasinglydifficulttoattractcandidatesforthe public sector. Furthermore we want our staff to be satisfied with the working environment and

optimisestaffretention.

ThismeansforHRmanagementtopromote(fordetailssee3):

• Jobdevelopmentopportunities

• Trainingcoursesforeveryone

• Specialtraineeprograms

• Executivefeedbacksystem

• Performanceincentives

• Externalreviewofkeyprocesses

ourmainofficeinMunich

69

ThefirstresultsinthefieldofHRmanagementareshowingpromisingsignsofimprovement.

The numbers of trainees have increased since 2012 and have proven that the district is a well-establishedtrainingorganisation:

Figure1:Numberoftrainees

Anotherimportantfigurewasthedeclineofourstaffturnoverrate8.

Figure2:Turnoverrate

8Although the latest data shows a rise in the rate

6.83% 7.62%

10.50% 9.19%

7.38%

10.24%

7.23%

0%

3%

6%

9%

12%

2008 2009 2010 2011 2012 2013 2014

70

Figure3:Spendingfortrainingperperson

ThedistrictiscontinuingtomonitorkeynumbersandwillassesstheactionundertakeninthenextCAFself-assessmentin2016/2017.

Howdid thestaffevaluate theoverallworkingsituation? Inansurvey in2014,ourstaffwasaskedtoassesstheirsituationinthefollowingdimensions(blueline=actualstate,redline=ideal)

A scopeofaction

B versatilerangeofworking

C holisticapproachofworking

D informationandparticipation

E socialsupport

F workingatmosphere

G cooperationamongstaff

H workcontent

I amountofwork

J customer/clientcontact

K processes

L workenvironment

M paymentanddevelopmentopportunities

The resultswere discussed in several workshops andmeetings and prepared for a presentation at aleadershipmeeting.

588.48 €

518.82 €

389.58 € 471.71 €

662.14 € 690.01 €

0 €

100 €

200 €

300 €

400 €

500 €

600 €

700 €

2009 2010 2011 2012 2013 2014

71


Overallgoals

ThemaingoalsoftheactivitiesimplementedintheCAFactionplanwere:

• to describe our philosophy of a people-centred organisation through the classic principles of a

selectionanddevelopingcorecompetencies;

• establishingknowledgemanagementtoenhancelearningandorganisationalspecificknowledgeand

skills;

• improveworkingconditionsthroughahealthmanagementprogramme.

Startingpoints

The administrative district of upper Bavaria is located in Munich, a dynamic and prosperous region

whereon theonehand thepublic sectormust competewith theprivate sector andonanotherwithhigh costs of living. In today business personnel management/HR management is one of the mostimportantfactorsforawell-functioningorganisation.

One important starting point in this area was our CAF self-assessment of 2011. It identified the

departure and retirement of our staff as a crucial area of the example/indicator sub-criteria 4.4.69 :Ensuring,thatkeyinformationandknowledgeofemployeesisretainedwithintheorganisationintheeventoftheirdeparture.

Alsoafeedbacksystemforourleadershipwasafieldofimprovement.

Inour3rdCAFself-assessment2013theassessmentgroupdidfocusontheHRdepartmentasawhole.HowcantheHRdepartmentbecomeabetterinternalserviceproviderfortheadministration?Howcanwe make sure our employees are strengthening their customer orientation? How can the HR

departmentfocusontheirkeytask?

Actionplan(allactionsstarted2013andinthefollowingyears)

Togetherwith theHRmanagement the so called ‘management supportunit’ developedaknowledge

managementconceptwithastructuredknowledgetransferinterviewifanemployeeleavesthedistrict.Withaguidedinterviewandamindmap,theknowledgewaswelldocumentedandaccessibleforthesuccessorinthejob.

9Based on the CAF 2006 model

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Another step takenwas theestablishmentofamanagement feedback system (socalled270-degree-feedback).Withthehelpofanexternalservice,specialised infeedbacksystems,anonlinesurveywasconducted and analysed. The evaluation of the results was followed by workshops and feedback

discussion.

The district also introduced an elaborate health management program. Special office equipment, acompany(district)sportsgroupwithvariousoffers(backtraining,yoga,afreefruitbasketplacedinourcafeteriaetc.)andextensiveinformationcoverageinourintranetarealsopartofhealthmanagement.

Forourtraineesandjuniorstaff,thedistrictdidintensifythepersonalcareandsupport.Inadditionto

the CAF self-assessment the district applied successfully for the quality label ‘Best place to learn’ in2015.10Thisshowsthatthedistrictistrainingjuniorstaffinternallywithrespecttothespecialdemandsoftrainees(e.g.weeklyteachingafternoonswithexpertsfromtheadministration).

Thetraining-on-the-jobwasalsostrengthened. In-housetrainingpossibilitiesas

well as external courses and training in several areas like communication skills,conflict management and IT know-how were part of an offer open for allemployees.

Amanagementcurriculumgivesour leadership (2ndand3rd level) theskills to

fullfilltheinternal‘Principlesofleadershipandcooperation’.Withthehelpofadevelopmentguidecustomizedtrainingwasoffered.

To improve the key processes of the HR department an external review by the KGSt, (the Germanregionalofficeforpublicmanagement)wasundertaken.Therecruitmentprocesswasidentifiedasthe

most important fieldof improvement.Theprocessdescriptionwasrevisedandthekeypartnerswereaskedtoaddresstheirneeds.

At the endof 2015we started a comprehensive online survey and asked the entire stuff about theirlevelofsatisfactionwiththeHRdepartment.Theresultsgavesomeadditionalinputfortheoptimisation

ofinternalprocesses.

All actions were monitored within the ‘management support unit’ at the office of the director. Theactionplanwasmadeaccessibleviatheintranetwithanimplementationstatus.

10 https://www.bestplacetolearn.de/verwaltung-des-bezirks-oberbayern-vorreiter-in-sachen-ausbildung/ (in german)

73


Theprioritisationprocesswasbasedonamulti-levelapproach

First,theCAFSelf-AssessmentGroupwasabletodiscussandprioritisetheresultsbasedontheirownassessmentontheCAFexamplelevel.Forthefirsttimeweconsultedourpoliticalauthoritieswhichare

theelectedmembersof the localparliament (‘Bezirkstag’).We invitedapeer group consistingof thefaction leadersandthepresidentofthedistricttoassessanddiscussthecriteriaandsub-criteria.Theresult was an astonishing agreement between the assessments of employees and the political

authorities.Thepoliticalauthoritieswereunawareoftheemployees'results.

Finally at a two-day workshop with the extended leadership (around 40 people) we prioritised theactions using group-working techniques. Based on all these activities a Top 10 action plan was

developed:

• Developacultureofopencommunication

• Coordinatepoliticalandadministrativegoals

• Analysetheneedforadditionalstaff/recruitment

• Introduceknowledgemanagement

• ReviseinternalguidelinesforHR

• Communicatetheneedforchange

• EvaluateourITservice

• Strengthenmutualtrust

• Supporttheemployeesinachievingtheirgoals

74

GermanyCase:StakeholderanalysisintheHessianAdministrationforLandManagementandGeoinformatics

HessianAdministrationforLandManagementandGeoinformaticsSchaperstrasse16D-65195Wiesbaden

Hessia,Germany

ChristophHehlTel.:49(0)6115355435


Sectoroftheorganisation:Regionalandlocaladministration(16)

The Hessian Administration for Land Management and Geoinformatics (HVBG) keeps relevant andcomprehensiveinformationonthelandscapeandlandinHessia/Germanyandprovidesspatialdataforvariouspurposes.HVBGrunsnecessarydataprocessingproceduresandintegratesspatialdataofstate

administrations and municipalities. HVBG develops urban and rural areas and supports ruralinfrastructure investments.HVBG’s coredutiesare:national/state survey, landsurvey register, spatialdatainfrastructure,landconsolidation,sitedevelopment,propertyvaluecollectionsandservices

About1440employees(670civilservants+770employees)areworkingcurrentlyatHVBG.


AlltheenablersCriteria


The Hessian Administration for LandManagement and Geoinformatics inWiesbaden (in the state ofHessia/Germany)hasbeendrivingafar-reachingtransformationprocesssince1999.Inthefirstphase,manypublicservicesprovidedbytheAgencywereprivatised.

75

As a result, in 2005 the 56 localoffices of the Agency weremergedinto seven new land survey offices

with five outlying branches. At thesame time, the Agency reducedstaffing numbers by 30% within 10

years through an employmentfreeze.

It is estimated that the Agencywilllose nearly 200 employees by 2022

duetoretirement.

Formorethan10yearsHVBGhandlesitschallengesusingconsequentlymethodsandtoolsofamodernmanagement cycle. The interaction of using modern management tools, common assessmentframework,strongstaffinvolvementandintroducinganunderstandingoftheTQMmaturitywithinthe

organisationis leadingtoacontinuouswayof improvements.Thereforeahighquantityandqualityofpositive outputs and outcomes can be perceived. Political leadership appreciates the improvementactivitiesofHVBG.In2014/2015HVBGwasrecompensedwithamanagementdividendof1MillionEUR.

Someexamplesofpositiveoutputsandoutcomesaregivenonthefollowingpages.

CAFassessment

76

HVBG uses Common Assessment Framework as total quality management tool since 2003. Self-assessmentswereproceededin2003,2006,2008,2011,2013and2016.Anenhancementofscorescanbeobserved. The scoresof caf assessmentsenhance significantly in2016 comparedagainst scoresof

2011and2013.

Enablerscriteria (1-5)arescoredhigherthan70,whichmatchestoscoreACT.Criterion2StrategyandPlanningisnearly90(PDCA)

Results criteria (6-9) are scored higher than 60, which matches to score ‘Results showimprovingtrendsand/ormostoftherelevanttargetsaremet.’IncreaseofEnablercriteria

isbetween30%andnearly50%

IncreaseofResultscriteriaisabout50%

Managefacilities

Reducingstaffnecessitatesthinkingaboutrentedbuildings,costsofproperties,necessaryareasetc..

Rentalareawasreducedfrom60.700m2in2010to50.600m2in2015.In2022theplannedrentalareawillbe48.000m2.

As a consequenceexpenditures for facilities (rent, services, utilities, additional costs etc.)

are cutdown from11.150.000EUR in2011 to10.800.000EUR in2015, though rentwasincreasedbyatminimum15percentinthelastfiveyears(2010-2015).

KeyPerformanceResults

HVBGimprovesprocessesandtechnologyto reduce treatment-/process times in

core duties up to 30% during five years(2010-2015). Process costs in sectionsales/distributionarereducedby100.000

EUR/year and complaints on products/services are decreased lower than 1,5percent.

77

Sector ‘Liegenschaftvermessung / Surveying’and sector ‘Liegenschaftsdaten / real estatedata’ generate more than 90 percent of

ordersand turnover.Asa resultofdifferentimprovement activities (process manage-ment, new ICT solutions for geo-data,

knowledgemanagement etc.) cost coveragein core duties advances at maximum by 20percentinperiod2010to2015.

Citizen/Customers-orientedResultsSince2010,asaconsequenceofprivatisingmanypublicservicesprovidedbytheAgencyandreducingstaff,HVBGhastoconcentrateoncoreduties(highrelevantforsocietyandregionalpolitics)andtriesto

offer good products and services to core customers (state administration, municipal management,energyetc.)indifferentsaleschannel.

Since2011theagencysimultaneouslystrengthensactivitiesinsales,distribution,marketing.

In spite of staff reduction (2500 employees in 56 locations in 2005 to 1440 employees in 8 mainlocationsin2016)ordersandturnoverremain(nearly)stable.

78

For Several administrations it’s possible to get products and services for free. From 2011 to2015costlessturnoverraisesbymorethan60percent.

HVBG runs the biggest online shop of Hessia’s state administrations. Since 2011 turnover,generated in theonlineShop, increasesby44percent.At same timevisits raisebynearly80percent.

Spatialdata/geoinformatics gets increasingly important to state administrations, municipal

management, energy suppliers, environment protection (solar-/wind energy), flood control/climatechangeetc.

TheusageofDigitalservices,offeredbyHVBG,advancesby175percentinthelastfiveyears.

PeopleResults

TheHVBGhasdonealotforwork-lifebalancelike

• flexibilityintheorganisationofworkingtime

• flexibilityinalternatingtelework

• theawarenessofmanagers for the issueup to thecorporatecultureandappreciativerelations

In2016HVBGisgiventhequalitylabel‘FamilyFriendlyEmployer’.

79

HVBG invests with consistency inleadership development programs for allhierarchical management levels (since

2011 called FKE I, FKE II, FKE III) and instaffdevelopmentactives/programssince1998.

Since2005(asanimprovementactionby

CAF)differentappraisalsoflinemanagersby subordinates shows positive averagescores.Theaveragescoresenhancefrom

2,14 in2011 to2,11 in2016.Scoresof1or 2 (1 and 2 are the best scores of 5)advance from 68 percent in 2011 to 73

percentin2016.

About93percentof interviewedpersonsaresatisfiedwithcooperateleadershipoftheirlinemanager.

• Theaverageageofstaffiscurrentlyabout49years.

• Theorganisationinvestsinworkplacehealthmanagementandrehabilitationmanagement.

• Sickness absence rate decreases form 6 percent in 2011 to 5,1 percent in 2016. Sickness

absencerateis lowerthantheaverageofpublicorganisationsinGermany(5,9to6,2percent)andnearlyatthelevelofemployeesineconomy/industry.

80


As mentioned before, the Hessian Administration for Land Management and Geoinformatics inWiesbaden (in the state of Hessia/Germany) has been driving a far-reaching transformation process

since 1999. The staff members are expected to continue the transformation process to deal with anumberofchallenges,including:

• TheAgency is facedwithan increasingdemand for itswork, e.g. in land consolidationprocesses

acrossfarms,transportplanning,environmentalprotectionandclimatechangeprojects.

• At the same time, new ICT solutions for geo-data and the EU INSPIRE-Directive mean that the

Agencyhastoadviselocalgovernmentandstateagenciesontheseissues.

• Continuous ICT investments are required by the Agency in order to keep up with the rapid

technologicaldevelopmentsinthisfield.

StartingPoint

In 2003 HVBG decided to use an easy to use Total QualityManagement Tool to evaluate 30 change

projects,whichhadtheobjectiveto introduceperformancemanagementthroughouttheAgency.CAFwasconsideredasthemosteffectivetooltorespondtothesedemands.

The Agency piloted CAF in 2003 and repeated the self-assessment in 2006 and 2008. In 2011 HVBGmadeCAF-based self-assessmentsmandatory for thewholeAgency.CAF self-assessments followed in

2013and2016.

After 2005 the leading management has to overcome enormous challenges as mentioned before(reducing staff, reducing costs, reducing offices, privatization of services, obsolescence of staff etc.).FromthatperioddateHVBGstartsout for change.For the first timeSeniorManagers/steeringboard

developed, implemented themissionandvisionofHVBGand translated intoa strategyandplanning.Simultaneouslythedefinitionofsharedvalues/cooperateculture/cooperativeleadershipwasdevelopedandcommunicatedtostaff.

In2010aneworganisational conceptwasdevelopedand implemented. In the senseof a continuous

improvementphilosophytwobroadstrategicandimpact-orientatedconceptsweredevelopedfortheperiods2011-2016and2017-2022.Thefirstconceptisimplemented,theimplementationofthesecondoneisstartingin2016.

Theseconceptsareconsideringdetermining factors,mission,vision,demographicageing, influenceof

stakeholders(politics,corecustomer,citizen),customerrelationship,costs,infrastructure(ICT,buildingsetc.),rentalarea,productsandservices,innovation,staffrecruiting,culturalaspects(cooperateculture,leadership,sharedvalues/companycorevalues,codeofethics/rolemodeletc.).Inordertodealwithall

challenges the Agency has agreed the change strategy with the responsible state governmentdepartment,whichdefines thekeymodernisation reforms for2011-2016andasanupdate for2017-2022.

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Anotherimportantstepwastoimplementandtouse

consequently methods and tools of a modernmanagementcycle.

By applying the Common Assessment Framework

modelHVBG evaluates all its approaches, its acting,itsoutputandoutcomeinaholisticway.

HVBG concurrently tries to introduce an

understanding and an attitudeof the TQMmaturitywithintheorganisation/withinthestaff.

Today

Since2010anexecutivedepartmentofstrategyandcontrolling(strategicsteering,qualitymanagement,

organisational development, project management, process management etc.) is supervising andsupportingallactivitiesandeveryactor.Todaytheinteractionofusingmodernmanagementtools,CAF,strongstaffinvolvementandintroducinganunderstandingandawarenessoftheTQMmaturitywithin

the organisation is leading HVBG to a continuous way of improvements towards the Principles ofExcellence.

Self-assessmentwithCAFisnowused:

• tofindeverythingwhatisstillabsent;

• tofindeverythingwhatisnotgoodyet;

• tofindeverythingwhereadecreasingcanbeperceived.

About250improvementactivities(2003-2016)initiatedbyCAFwerestartedandimplemented.

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Improvementsandimpacts

Thefollowingimprovements(assomeexamplesforgoodpractice)haveresultedfromdifferentsourcesandorigin[Ⓜ-initiatedbyManagement(-Cycle),Ⓒ-initiatedbyCAF,Ⓘ-improved

byCAF].TheactivitiesgenerateimpactonimprovementresultsdescribedinChapterII/respectivelyonCAF-Criteriainadifferentway/score(lhigh-laverage-l low-≠noeffect)

activityandimpactonimprovementresultslll

scorescafassess-m

ent

manage

facilities

KPIResults

Citizen/Custom

erorientedresults

Peopleresults

origin*impactonCAF-criteria

Holistic continuous Strategic Management including contracts with political leadership (2010, 2011-2016 and 2017-2022)(customerorientedproductsandservicesin/withanappropriateorganisation/personnelplacement/ICT/technology)

l l l l l Ⓜ + Ⓘ 1-9

DevelopmentandManagementofpartnershipswithrelevantorganisations/corecustomers. l l l l l Ⓜ + Ⓘ 4,9

DevelopmentandImplementationofProcessManagement integratingpartsofknowledgemanagement,allcoreprocessesofHVBGaredescribed,optimized,evaluatedinacontinuousway(p-d-c-a)

l l l l l Ⓒ + Ⓘ 4,5,9

DevelopmentandImplementationofProjectManagement(methods,tasks/rules/functions,steering/controllingetc.) l l l l l Ⓒ + Ⓘ 9

DevelopmentandImplementationofKnowledgeManagement(ICT-based,Personalisedknowledgetransferetc.) l l l l l Ⓒ + Ⓘ 4

Implementationofteamwork-structure l ≠ l l l Ⓜ + Ⓘ 3,9

HolisticandcontinuousLeadershipdevelopmentprogramsforallhierarchicalmanagementlevelssince2011 l l l l l Ⓜ + Ⓘ 1-9

Investwithconsistencyinstaffdevelopmentactives/programssince1998 l l l l l Ⓜ + Ⓘ 3

Developmentand implementationofmarketingconcept,conceptsales/distribution,customersurveys,CustomerRelationshipManagement,PublicRelations

l ≠ l l l Ⓒ + Ⓘ 4,5,6-9

Consolidationofqualitystandards l ≠ l l l Ⓒ + Ⓘ 4,6,9

Improvinghumanresourceplanning l l l l l Ⓒ + Ⓘ 3,7

Improvements in the internal suggestion system, through incentives for good ideas and introduction of a complaintsmanagementsysteminanintegratedapproach/ICT-Systemasanideasmanagementforstaffandcustomers

l l l l l Ⓒ + Ⓘ 4,6,9

DevelopingandImplementingappraisalsoflinemanagersbysubordinates l ≠ l l l Ⓒ + Ⓘ 1,3,7

Definitionofsharedvalues/companycorevalues,codeofethics/rolemodel l l l l l Ⓜ + Ⓘ 1-9

Developingandimplementingofaconceptforinternalinformationandcommunication(culturalaspectsincluded) l l l l l Ⓒ + Ⓘ 1

Developingandimplementingofaconceptforadvancededucation,recruiting l ≠ l l l Ⓜ + Ⓘ 3,5,7

…TQMisneverending: (Ⓜ + Ⓒ + Ⓘ)awareness = TQM(Maturity+Excellence)

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Itbeginsandendswiththesettingofmanagement.

President,executive-/steeringboardhavetorecogniseandanalysethesituationofanorganisation.

Theymusthavecourageanddeterminationtochangethesituation.

Theyneedtocommunicateandconvinceinanhonestwayamongstpoliticalauthoritiesandstaff:

• tobondpeoplewithsameideas,purposes,wishes,visionsandgoals;

• togeneratedesiretobelongtosomething,thatisworthtodo.

CAF Self-Assessment process in HVBG based on this approach and the ten step model of EIPA/GermanCAFCentre.

1. Decidehowtoorganiseandplantheself-assessment.

2. Communicatetheself-assessmentproject.3. Compose8Self-AssessmentGroups.4. TrainSelf-AssessmentGroups.

5. Undertaketheself-assessment.6. Conduct 8 consensusworkshops, develop short project-profiles [on one page: initial situation,

objectives, tasks, quick-scoring of efforts (resources, costs, time exposure, simplicity of

implementation) and impacts/benefits (customer, quality, processes, employees)] forimprovementactions.

7. ConductQualityconference.a. Qualityconference(firstday:Self-AssessmentGroup).b. After consensus workshops in 8 locations all members of the Self-Assessment Groups

propose,unifyanddevelopshortproject-profiles [ononepage: initial situation,objectives,tasks,quick-scoringofefforts(resources,costs,timeexposure,simplicityofimplementation)

and impacts/benefits (customer, quality, processes, employees)] for improvement actionsandprioritise10-15actionsatmaximum(method:Portfolio-Analysis).

c. Qualityconference(secondday:Self-AssessmentGroupandsteeringboard).d. Self-Assessment Group (delegation of all members) presents/discusses the results/project

profiles to/with executive management board of HVBG. An adjustment against strategicdeterminations/otherrunningactivities/projectsandprioritisationfollows.Allactivitiesfor

e. initiation/assignment/implementationareagreed/fixedattheendoftheday.

f. HVBGhasdevelopedand implemented a general approach for prioritisation, planning andimplementingofactivities,proposesorprojects:

idea

shortdescrip]onwith

quickscoringofeffortsandimpacts

adjustmentagainststrategicdetermina]ons/otherac]]vi]es

detailleddescrip]on/planning,ifneeded

valua]on,agreementandasignementby

(project)steeringcommi_ee

Implementa]onandControlling

ac]vityorprojectclosure

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8. Communicatetheimprovementplan.9. Implementtheimprovementplan.

a. Afterwards HVBG uses all established project management tools to implement theimprovement actions. The actions of improvement are defined in clear, verifiable projectcontracts(S.M.A.R.T.).

b. Theprojectcontractsareconcretisedwithscheduling,milestoneplanningetc.c. Ifneededtheprioritisation/planningcouldbeadjustedbyprojectsteeringcommittee.

10. Plannextself-assessment.

85

Greece

Case: The Integrated Information System (IIS) of theHellenicMilitaryGeographicalService

HellenicMilitaryGeographicalService(HMGS)Evelpidon4Str,PedionAreosAthens

SoultanaPouli

HeadoftheDatabasesManagement'sDepartmentE-mail:[email protected]:[email protected]

Sectoroftheorganisation:Policeandsecurity

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criteria:1.1,1.2,1.3,1.4

Criterion2:StrategyandPlanning,sub-criteria:2.2,2.3Criterion3:People,sub-criteria:3.1,3.2Criterion4:PartnershipsandResources,sub-criteria:4.2,4.3,4.4,4.5,4.6

Criterion5:Processes,sub-criteria:5.1,5.2


The Geographical Materials Provision Subdivision of the Hellenic Military Geographical Service

(HMGS)processes,annually,alargenumberofapplicationsregardingadministrationofgeographicalmaterialstobothpublicandprivateinstitutionsaswellascitizens.

StatisticaldataregardingtheIIS’syearsofoperationtodate(2009-2015)areproperlydepictedinthe

followinggraphwithrevenuechartperyear.

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Figure1:Transactionsperannum(2009-2015)

Statisticaldataregardingonlinesales indicatethat,overtime,all themorecustomersmakeuseofthee-shopsubsysteminordertocompletetheirtransactions.

Also,onlinesales,asapercentage,aregrowingatasteadyrate(from1.195in2014thattranslatesto9.84% of total sales, to 1.137 in 2015 that translates to 13.87% of total sales), regardless of the

steadydeclineintotalsales(from12.153in2014to8.195in2015)duetothefiscalcrisis.

Infurtherdetail,forthefiscalyearof2015thestatisticaldatareadasfollows:

Figure2:Aggregatetransactionsforthefiscalyear2015

Furthermore,theinterestofonlinevisitorsontheHMGS’sofficialwebsitefollowsasteadycourseasshowninthefollowinggraph. It’sworthnotingthatreturningvisitorsconstitutea largeproportion

(58.4%)ofthetotalof52.529visitors,plusfactthatinterestextendsoutsideofGreece.

91 446 220 273 5951,195 1,137

5,936

10,570

8,996

10,107

9,663

12,153

8,195

0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

2009 2010 2011 2012 2013 2014 2015

ONSITESALES

ONLINESALES

TOTALSALES

0.00%

50.00%

100.00%

TOTALSALES

86.13%

13.87%

ONLINESALES

ONSITESALES

87

Figure3:Onlinetrafficpermonthforthefiscalyearof2015

Since 2009 and the completion of the Integrated Information System (IIS) project on the HMGS’s

premises,themanagementanddisseminationofgeographicalinformationwithregardtobrowsing,ordering, pricing and logistics is fully automated and thus contributes significantly to thetechnological advancement of the Geographical Materials Provision Subdivision. The automated

procedures allow for consistent operation of the Subdivision that results to more efficientadministrationofproductstothepublicandfacilitatesstaffdevelopment.

Furthermore,certainmetricswithregardtoqualityofservicesofferedandtransactionscompleted,

areeffectedbyelectronicmeans.

At last, the implementation of a geo-portal in the framework of the afore-mentioned project,enhanced the Service’s social profilewhile improving on the quality of services offered, spreading

awarenessongeo-informationandallowingforsuccessfulonlinetransactions.

2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned

In context of the continued attempt to further improve on the quality of services and products

offered,certainshortcomingsneededtobeaddressedinorderfortheHellenicMilitaryGeographicalService (HMGS) to progress seamlessly to the era of Information and Communication Technology(ICT).Stakeholdersshouldbeabletocommunicatetheirconcerns,ideas,complainsand/orgratitude

88

inanunimpededway.Customers,either corporateorprivatecitizens, shouldbeable to completetransactions tailored to their needs in a most efficient manner. Production personnel needed to

effectivelytrackandfulfillproductionordersandlogisticspersonnelneededtoefficientlykeeptrackofinventory.GeographicalMaterialsProvisionSubdivisionstaffwasinneedofarobustsystemthatallowedforholisticordermanagementandtheintroductionofmetrics,standardsofmeasurements,

by which efficiency, performance and quality could be assessed. Then-current state of the artsolutions thatallowed for successful implementationof suchavast spectrumofapplicationswereconsidered, and Information Systems technologies came out on top. In this regard the Hellenic

MilitaryGeographicalService(HMGS)greenlightedin2009theIntegratedInformationSystem(IIS)project that upon completion addressed each and every one of the aforementioned issues in aneffectiveandefficientway.

The implementationof the EnterpriseResourcePlanning system (ERP) allows theHellenicMilitaryGeographicalService(HMGS)toprovideabroadrangeofcommercialcapabilitiesandrespondtothe

growingneedforonlinecommerce.

Incorporation with the other subsystems of the Integrated Information System allows for further

operationalsupportandadditionalfunctionality.

Figure4:Suppliedgeographicmaterial

Department of supplies

Fax or Ε-mail

ORDER MANAGMENT

Web Portal www.gys.gr

Internet

Eshop

Geoindex

GEOSEARCH

Geoindex

Additional order information

CASH MANAGMENT

Bank payment

CREDIT DARD

physical presentation Department of suppliesGeoindex E.R.P.

Department of supplies

ORDER PREPARATION

The successful implementation of the Integrated Information System (IIS) within the HMGS’s

premisesfortheefficientmanagementanddisseminationofgeographicalinformationisconsideredamilestoneinthecontextofInformationandCommunicationTechnologies(ICT)andhasresultedin

anumberofbenefits,asdescribedbelowaccordingtotheCAFEnablersCriteria.

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• EnablesoperationaltransparencyoftheGeographicalMaterialsProvisionSubdivision.(Criterion1)

• AllowsforinstrumentalcontroloftheSubdivision’soperability.(Criterion1)• Enables effectiveness regarding the correctness and reliability in which the Subdivision

enables the personnel in executing its duties and the public in submitting its claims.(Criterion1)

• AllowsforcommunicationoftheSubdivision’sactivitiesthroughtheHMGS’sofficialwebsite.(Criterion1)

• Enablesdiffusivityofgeographicinformation.(Criterion2)• Allowsforonlinesalessupportandmonitoringthatenablestransparency.(Criterion2)• Enablesefficientlogisticsmanagementandaccountingcorrectness.(Criterion2)• Asamonitoringsystem,itallowsforenablingdueprocess.(Criterion2)• The information subsystems’manual drawn under the Integrated Information System is a

valuable resource for every user,which allows for efficient operation of said systems andcontributesintroducinganddiffusingknowledgeinastructuredmanner.(Criterion3)

• InnovativesolutioninthefieldofawarenessthatenablesbrowsingofgeographicalmaterialsadministeredviatheInternet,allowingforefficientexecutionoforders.(Criterion4)

• Theemail serviceenablesonline communicationand transactionsbetween theHMGSandpeople living in remote areas, thus unable to be physically present on the premises.(Criterion4)

• Application of modern logistics management due to the use of the Enterprise ResourcePlanning(ERP)Subsystemthateffectstransactionandlogisticsmanagement.(Criterion4)

• The ability to export summary statements regarding sales and warehouse stock ofadministeredgeographicalmaterials, thusallowing foreffective financialmanagementandauditing. Online transactionmonitoring providesmanagement with a definitive picture ofsalestrends.(Criterion4)

• Enablesonlinepaymentbycreditcard.(Criterion4)

• Exemplarypresencewithinthemarket.(Criterion4)

• DocumentationofdueprocessregardingtheSubdivision’sproceduresresultedinsignificantimprovementofinternaloperationsandeffectiveprovisionprotocolsthatallowforefficienttransactionsandcustomersupportofclientsresidinginremotelocations.(Criterion4)

• Stakeholdersareabletosubmitcomments,proposalsandcomplaintsregardingtheofferedservices and products either through the official HMGSwebsite (www.gys.gr) or via email([email protected]) or by telephone, thus fully engagewith the process of geographicalmaterials’provision.(Criterion5)

• The implementationofthee-shopenablesprovisionofgeographicalmaterials frompeopleresiding in remote locations, thus unable to be physically present on the premises.(Criterion5)

• Theuseofemailforcommunicationpurposesandthesuccessfulcompletionoftransactionsincluding online payment by credit card, reflect the Subdivision’s commitment for thedevelopment of innovative processes that enable public engagement with regard togeographicalmaterialsprovision.(Criterion5)

90

3.FurtherareasofimprovementoftheHMGStobeprioritised

The implementationof the IISwasnot the resultof aCAFexerciseper se, sinceat the timeof itscreation, the concept of self- assessment was not a common practice within the broader public

sectorinGreece.HowevertheHMGS’smanagement,recognisingtheneedsofthetimes,relieduponits personnel’s expertise and pursued the implementation of the IIS as it could bridge theorganisation’sstrategyandvisionwith itsoperationalproceduresandoperatingstructure.Theaim

was to create an integrated system for the production anddiffusionof geographic information toserve the citizens’ needs. The project was accomplished under the operational programme‘Information Society’ of the third Community Support Framework (CSF) - technical form: regional

geographicalinformationsystemsandinnovativeactions-priorityaxis:citizenserviceandimprovedqualityoflife.

InformationSystemswereat thetime,andstillare, themosteffectivetechnologyavailablethatallowscompaniestoevaluatethemselvesrelativetodimensionsandhelpmaximizethevalueandimpactofinformationasastrategiccorporateasset,whichisamongHMGS’shighpriorities.

As part of the assessment process undertaken by the public with regard to the IntegratedInformation System, a pilot study regarding customer satisfaction validated the correctness of

practicesimposedupon.

Nevertheless, the process of implementing the CAF, highlighted certain areas in need ofimprovementfortheefficientoperationoftheGeographicalMaterialsProvisionSubdivision.

Specifically, while the Geographical Materials Provision Subdivision of the Hellenic Military

Geographical Service (HMGS) certainly meets the needs of the public, it is not aware of itsexpectations, since the Subdivision does not employ a systematic data collection method.

Consequently, certain importantvariables suchas social, ecological, economic, legal, fiscaletc. arenotregisteredandthus,theSubdivisioncannotproperlyassessstrengths,weaknesses,opportunitiesandthreats,norcanitsystematicallyadapttotheconstantlychangingbusinesslandscape.

As far as employee training is concerned, the lack ofmetrics results to inconclusive operational

needsthatinturncannotbetranslatedtoaspecificroadmapthatleadstopersonalandprofessionaldevelopment.Asa result,educationalactivities cannotbeevaluatedonacost–benefitbasis that

woulddeterminetheextenttowhichtheyarenecessary.

The Subdivision does not employ a Total Quality Management (TQM) Tool, nor does it require

certaingoals–thresholdstobemet.Specificmetricsthatallowforefficiencyandqualityofservicesassessment are yet to be determined, as well as definitive customer and employee satisfactionmeasurements. These metrics would allow for the continuance of the ongoing improvements of

organisationalandoperationalproceduresthatpositivelyimpactcorporateculture.

91

In present time, the CAF exemplified and rewarded the organisation’s best practices, and thusintroducedacultureofexcellence.Inordertomaintainhighstandards,anactionplanwasdeveloped

andiscurrentlyunderimplementation.

Figure5:Partoftheactionplan

C/N Sub-criteria

Action Priority(4-1)

Prerequisites EstimatedCost

TimeframeofMaterialization

Actor

1 4.3,9.2 Restructuringofcertainbudgetandfinancialgoals

4 Approvalfromthechainofcommand

Uponapproval HMGS/Leadership

2 1.2,2.2,2.3,2.4,3.3,5.1,5.3,6.2,7.1,7.2,9.1,9.2

EmploymentofaTotalQualityManagementTool

4 Appropriatepersonneltraining

Withinayear HMGS/GeographicalMaterialsProvisionSubdivision

3 1.2,2.4,3.2

Organisepersonnelparticipationinaconsistentwayintrainingactivities&assessments

4 Withinamonth HMGS/GeographicalMaterialsProvisionSubdivision

4 3.3,5.1,7.1

Consistentmeasurementofcustomers’andemployees’satisfaction,systematicandprogressivecollectionandmanagementofallpertinentdata

4 Within2months

HMGS/GeographicalMaterialsProvisionSubdivision

..29

ForHMGS,meetingbudgetandfinancialgoalsisamajorpriority.Reliabledata,systematicallyand

progressivelycollectedandmanaged, isakeyfactorforperformanceimprovement.Hence, it isofutmostimportanceforHMGStoemployaTotalQualityManagementToolthatallowsforconsistentmeasurementof customers’ and employees’ contentment andwork towards improving results, as

well as to ensure a positive work environment and encourage personnel to participate in aconsistentwayintrainingactivitiesandassessments.

In conclusion, the implementation of a TQM tool within the Geographical Materials Provision

Subdivisionisdeemedvalid, ifnotnecessary,andreflectsthemanagement’scommitmenttostriveforcontinuedexcellence.

92

Italy

Case:TheeducationandguidanceneedsoftheItalianSecondaryEducationInstituteGalilei-Artiglio

IstitutoTechnicoIndustrialeApplicateG.GalileiViareggio,Italy

MariaGraziaAnatraTeacherandresponsibleofthequalityimprovementplan

Tel.:393332945995/+39058453104E-mail:[email protected]

Sectoroftheorganisation:EducationandResearchGalilei-Artiglio is an I.I.S. (Italian Secondary Education Institute) located in Viareggio, Tuscany. It

includes a Liceo and two Istituti Tecnici (Industrial and Nautical Technical Institutes). Since 2015Galilei-Artiglio has also offered post-secondary technical courses in the nautical sector (yachtcaptains,engineersandrefitters).Galilei-Artigliomissionistoprepareitsstudentstobeproductive

citizensandlifelonglearnersinarapidlychangingworld.Galilei-Artigliostakeholdersareitsstudents,theirfamilies,itsstaff,andthewholecommunitytheyalllivein.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion2:StrategyandPlanning,sub-criteria2.1:Gatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation

93


Inour casepresentation the startingpointwill bea comprehensivedescriptionof thebest resultsachievedinrelationtotheenablersused(Criteria1-5),andthestrategiesandapproachesemployedtoachievethem.

Ourcasehasevidencedthreetypesofresultswithregardtothetrendsobservedintheyears2013-

2016.Theresults,asexpressedinpercentagevariations,arethefollowing:

1 Numberofnewstudentsenrolledintheschool increaseof32%

2 Numberofstudentsattendingthescientificseminarsorganisedbytheschool

increaseof40%

3 Positiveopinionsonourstudents'skillsandcompetencesexpressedbyhostingorganisationduringandafterthestudents’workexperience.

increaseof20%

Asdetailedbelow,the4criteriaof theCAFModelusedasreferencetobetterexplainsuchresultsarethoserelatedwiththefieldof1)citizens/customers,2)people,3)socialresponsibilityand4)key

performance.

Numberofnewstudentsenrolledintheschool(increaseof32%)

ThisresultreferstoCAFCriterion9(Keyperformanceresults)

Key performance results relate to all that the organisation has determined as essential for the

existence of the organisation itself and for its continuous improvement process, in order to bothsatisfytheneedsandrequestsofthedifferentstakeholders(externalresults),andbeabletomanageand improve the process itself (internal results). The annual monitoring that our Educational

Institutioncarriesouttokeeptrackofthenumberofnewstudentsenrolledprovidesevidenceofameaningfulpositivetrend:32%increaseinthreeyears.ThisfiguredemonstratestheeffectivenessofthepolicycarriedoutbyourInstitutioninordertoprovidethestakeholderswithservicesaimedat

improving the conditions of direct beneficiaries. These key performance results are particularlyimportant because they refer to the effectiveness of the process that is at the heart of anyeducational institution: the teaching/learning process. The results achieved encourage our

EducationalInstitutiontocontinueandexpandthestrategiescarriedoutsofar,tacklinghowevertheresidual issues and areas ofweakness (e.g. school failure anddropout percentages) that havenotbeensufficientlyresolvedyet.

94

Number of students attending the scientific seminars organised by the school(increaseof40%)

ThisresultreferstoCAFCriterion6(Citizen/Customer-orientedResults)

Since the recipients or beneficiaries of the services provided by our Education Institution arecitizens/customers, the Institution needs to measure directly the degree of its stakeholders’satisfaction,withregardtotheoverallimageoftheorganisation,theservicesandproductsprovided,

itsopennesstotheterritoryanditsabilitytoinvolvethecitizens/customersthemselves.

Our case points out the organisation of high-level scientific seminars held at our EducationalInstitution,thatischaracterisedbyahighlytechnologicalandscientificnature.Theseseminarshavebeen held in weekday afternoons by University professors and other specialists, and have been

aimednotonly at our studentsbut also at other schools’ students and all interested citizens. Thelevelofthespeakersinvolvedhasensuredthehighqualitycontent.Theaveragenumberofseminarattendees has evidenced an increase of 40% in three years, which can be considered a satisfying

result (as per sub-criteria 6.2 – Performance measurements). As per sub-criteria 6.1 (Perceptionmeasurements), after each seminar, attendees have been interviewed about the relevance andinterestofthethemesproposedfortheirpresentandfuturestudiesandthecommunicativeskillsof

the speakers. This is leading us to expand the number and themes of the seminars, increaseinformationaboutthemandimprovetheirdissemination.

Positive opinions onour students’ skills and competences expressedbyhostingorganisationduringandafterthestudents’workexperience(increaseof20%)

ThisresultreferstoCAFCriterion8(SocietyResults)

Suchcriteriaaimsatacquiringandprocessing theresults theorganisation isachieving insatisfyingthe needs and expectations of the local, national and international community. Such objective

includestheinternalmeasuresnecessarytoverifytheeffectivenessofthecontributionmadebytheInstitution itself to society. Inourcase thenumerousand frequentcontactsandpartnershipswithlocal companies where our students have their work experience, have led us to measure the

perception that the hosting companies have of our students, both in a direct way (personalstudent/company tutor relation) and in an indirect way (company/school relation). The positiveopinionsbythecompanieshaveincreasedof20%inthreeyears,highlightingthusthegoodlevelof

preparation(bothtechnicalandcommunicational)giventhestudentsbyourInstitution.

Moreover, this resultcanalsobeassessedunderCAFCriterion9 (Keyperformanceresults),and inparticular under sub-criteria 9.1 (Outcomes to goals). The increase in the appreciation of theeffectiveness of the institution’s plans and strategies to meet the expectations of the external

stakeholders (i.e.our students’good levelofpreparation for theirworkexperienceasassessedbytheirhostingcompanytutors)isapositiveexternalresultinlinewithourorganisationmission.

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Theimprovementactiondescribedbelowhasbeenadoptedafterself-assessmentwithCAFandhasbeennamed‘Educationandguidanceneeds’.

Contents

Such action has been structured around two different activities, both converging towards therealisation of the objective of answering the education and career guidance needs of ourcustomers/citizens.

The self-assessment has evidenced thepossible difficulties and/or feelings of inadequacy our ex-

studentsmayfaceeitherintheirentryintothelabourmarketorintheirfurtherstudies.Theanalysisofdata, still inprogress,hasprovideduswithabenchmarkingdataset containing indicatorsaboutthe changesand trends in theeconomic sectorsof the territory,useful forbotha revisionandan

updateoftheSchooleducationaloffer.

Anumberofdifferentinitiativeshavebeenundertaken:workexperiencesandinternshipsatsomeofthe best local companies and institutions; pre-university career guidance services in collaboration

withtheUniversityofPisa;and, inparticular,seminarsandworkshopscalledPomeriggiScientifici(ScientificAfternoons)onsubjects related toscientificand technological innovation.Seminarsandworkshops have been addressed mainly to our students but they have also been open to other

schools’studentsandallinterestedcitizens.

Startingpoint

ThechoiceofthisActionhasbeenbasedonacarefulassessmentoftheInstitution’sstrategiesandplanning(Criterion2)thatrequireconstantrevisionandupdateinordertomatchourstakeholders’ever-changingneedsandexpectations.

In this case,ourRAV (RapportodiAutoValutazione, Self-AssessmentReport) refers inparticular to

the4Sub-criteriaofCriterion2toidentifysomewaysofimprovingoureducationalpolicy:

• amorecarefulidentificationofalltherelevantstakeholders;• a closer involvement of stakeholders in the process of deploying strategy and planning by

prioritisingtheirexpectationsandneeds;• thecreationanddevelopmentofanewculture/readinessforinnovation;• themeasureofitsimpactonthecommunity.

ThemainareaofweaknessfoundhasbeentheinsufficientidentificationandcharacterisationofourInstitutionasascientificandtechnologicalcentrewithintheterritory.Theactionundertakenaimsat

tacklingandsolvingthismisinterpretation.

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Mainimplementationphases

Theactionhasconsistedoftwomainsimultaneousimplementationphases,coveringthetime-frame

March2015-June2016.Thetwophaseshavebeenbrokendownintoseveraladvancementsteps.The first phase has been labelled ‘Monitoring Phase’, the second one ‘Education and CareerGuidancePhase’.

On the one side, the ‘Monitoring Phase’ has involved four main actions: 1) revision and

improvement of both the questionnaire to be submitted to former students and its method ofsubmission;2) submissionof thequestionnaire to the respondents;3) comparativeanalysisof thedata collected through the latest version of the questionnaire with previously collected data; 4)

synthesisandpresentationofthedatatotheInstitutefaculty.

On the other side, the ‘Education and Career Guidance Phase’ has been developed through fourmaininitiatives:1)organisationofthird-yearstudents’workexperienceprogrammes;2)organisationof the abovementioned ‘Scientific Afternoons’; 3) organisation of the so-called ‘Giovani al Futuro

Days’ during which our students can meet and get in contact with the CEOs of important localinstitutionsandcompanies;4)participationofourstudentstotheUniversityofPisaOpenDays.

Mainobjectivesofbothphaseshavebeentogather,analyseandreviewrelevantinformationaboutthe present and future needs of our students, so that our Institution can revise and improve its

strategies and policies to meet the ever-changing need of all its stakeholders (students, theirfamilies,ourstaff,andthewholecommunitywelivein).

The two phases, as per the structure of the PDCAmodel, have been accompanied by amonthly

reportonthestatusoftheprojectthathasallowedustoassessitsdevelopment.Monthlymeetingsofthequalityteamhavebeenheld.

TheresultsthatweretargetedatthebeginningoftheAction(e.g.,increaseofthenumberofformerstudents interviewed though questionnaires, increase of the number of students attending the

scientific seminars, increase of positiveopinions on our students’ skills andcompetencesexpressedduringandafter

the students’work experience) have allbeenmet.

Roles and responsibilities of themajoractors

In the implementation phase of the

quality improvement plan, the school leader first selected and officially appointed the personresponsibleofthequality improvementplan.Atthesametime,theschool leadingteamchosethepeopleresponsibleforeachprojectandofficiallyentrustedthem.

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Criticalsuccessfactors

At the end of the self-assessment process, the self-assessment team, together with the School

Leader, has identified some critical success factors (or organisation key elements) upon which tofocusourattention.

Oneofthesekeyelementshasbeen identified inthecitizen/customersatisfaction,a fundamentalobjectiveforanyeducationinstitution.Inparticular,suchcriticalsuccessfactorhasbeenrelatedto:

a. thehighlytechnologicalandscientificnatureofourSchool;b. thedifferenttrendsinthedemandofthelocaljobmarket;c. the professional skills demanded by the various economic sectors at national and European

level.

Mistakes/Weaknesses

As pointed out in the description above, as per the structure of the PDCAModel, the casemajorstepshavebeenaccompaniedbyamonthlyreportonthestatusoftheprojectwhichhasallowedustoassessitsevolutionandprovide,ifnecessary,somereviewsandmodifications.

In our case, as mentioned above, both the

methods through which the questionnaires toformerstudentsareadministeredandthephoneinterview questions themselves have been

reviewed and fine-tuned. Such steps haveimprovedandenrichedtheinformationacquiredoneachspecificaspectoftheSchoolfunctioning

and organisation. All that has allowed us toreview, renew and improve the Schooleducationaloffer.

Caseimpactlines

In order to clarify the case impact lines, it is

useful to refer to the 5 enablers of the CAFModel. These criteria have helped us better

understand the beneficial impact of the actionundertaken, also in relation to other importantareasandvitalpartsoftheorganisation.

The improvement action facilitates the

identification of all the strategic partnersencouraging thus positive relations andcollaborations,andpromotetheinvolvementofthecitizens/customersinordertomeettheirneeds

andexpectations(Criterion4:PartnershipsandResources).

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TheactionstrengthensandreinforcestheroleoftheLeadership(Criterion1:Leadership)inordertoformulate and develop our mission (what our goals are) and vision (where we want to go) and

translatethemintostrategicactioninboththeshortandthelongterm.

The action also promotes and supports the personnel training (Criterion 3: People), especially ininnovativetechnologicalsectors, involvingthemintheplanningofprojectsandcollaborationswithexternal partners in both the public and private sectors (universities, companies, research

institutionsetc.).

At last, the action involves the citizens/customers to improve the services provided by theInstitution,forexamplethroughsurveysabouttheservicequalityitself(Criterion5:Processes).TheactionpresentedrefinesandenrichestheSchooleducationaloffer,improvingthusthequalityofits

fundamentalprocess,theteaching/learningprocess.


Our RAV (Rapporto di AutoValutazione, Self-Assessment Report) has revealed numerous areas of

improvement related to theenablers sub-criteria.With regard to the ‘prioritisation’ approach, theCAFModelsuggeststheadoptionoftworelatedtables:

1. anImportance/Valuematrix;2. anactionprioritymatrix(Impact/Resources/Time).

Our quality team has used such approach to identify a number of possible actions. Three actions

haveemergedasfundamentalforourimprovementplan,andthefinalchoicehasbeenbasedonthefollowingconsiderations.

Thefirstaction(Initiativestofightschoolfailureanddropout)aimsatreducingthehighnumberofstudents that, especially in the first two years, have to repeat a school year or choose to leave

school. This first action has been tackled by applying benchmarking practices already adopted bysimilar education institutions. Further initiatives to limit this phenomenon, however, need to beexploredandimplemented.

Theothertwoactions(Educationandguidanceneeds–hereillustrated–andOrganisationofWork

ExperienceProgrammes)bothfollowandrefinestrategiesalreadyundertakeninpreviousyears.

OurEducationInstitutionisperfectlyawarethatitsofferischaracterisedbydisciplineswithahighlyscientific and technological content. Such an educational offer needs to be constantly reviewed,improvedandupdated.Thisisthereasonwhy,overtheyears,wehaveestablishedcloserandcloser

relations with university teachers and experts on the one side, and with the main companiesoperatinginourterritoryontheotherside.Suchrelationsandcollaborationshaveledustoabetterunderstanding of the skills and competences our students are expected to acquire, and have

encouraged us to review and update the knowledge and training we provide. This continuousimprovementofoureducationalofferaimstofullysatisfyourcitizens/customers,enhancingthusthe

imageourInstitutionprojectsontothecommunity.

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Italy

Case:ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia

AutomobileClubd’Italia(ACI)ACITerritorialUnit(UT)Savona

Dr.AntoninaPennacchioResponsiblefordiffusionofCAFprocedureattheDirectionPresidencyandGeneralSecretary,withdelegationforDelegatedServicesTel.:+39.3208592248/+39.06/49982909e-maila.pennacchio@aci.itDr.SabinaSoldiDirectorofDirectionPresidencyandGeneralSecretarywithresponsibilityforDelegatedServicesTel.:+39.06/[email protected]

Sectoroftheorganisation:Transports,Infrastructures,PublicworksandPublicservices

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criteria1:sub-criteria1.1,1.2,1.3and1.4Criteria2:sub-criterion2.1Criteria3:sub-criteria3.1,3.2and3.3Criteria4:sub-criteria4.1and4.4Criteria5:sub-criteria5.1,5.2and5.3

1.Descriptionoftheimprovedresultsoftheorganisation

The increased performance obtained by Territorial Unit ACI ofSavona after the applicationof CAFmodel are: results relative to

customersatisfactionofservicesdeliveredbyUT(fromatargetof40%tocurrent70%);resultsrelatedtosatisfactionandmotivationof UT’s personnel (from a target of 50% to current 90%); results

relative to internalperformance indicatorsaimedatorienting theorganisationtowardsusers’needsandexpectationsfulfilment,likewaiting times at front office (from an average of 20 minutes to

targetof5minutes).

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TheseresultshavebeenmeasuredbetweenApril2014andMay2016usingtoolslike:

• Customer satisfaction (CS)measurements adoptedbySavonaUTona sampleof100citizens-users through a questionnaire structured according the following dimensions: accessibility,reliability,responseability,reassuranceability,empathyandprofessionalism.CSmeasurementswere performed according tomethodological requirements both ex-ante (April 2014) and ex-post(May2016).

• Personnelsatisfaction(PS)surveycarriedoutbytheoffice inSavonaamongtheUT’sstaff (15resources) to measure their service quality perception, based on the following aspects:accessibility,reliability,responseandreassuranceabilities.PSsurveywascarriedout,accordingtoCAFmethodologyrequirements, inApril2014, inMarch2015andoverthefirstsemesterof2016.

• TargetIndicator:WaitingTimeatFrontOffice:Datacollection,accordingtosamplingcriteriaforthemeasurementandassessmentofwaitingtimeat the frontoffice. (Target: fromanaveragewaiting timeof 20minutes to5minutes). In2014:maximumwaiting timewas1hour and15minutes,averageservicemanagementtime(frominitialservicerequesttotimeresolution)was22minutes,numberofcustomersatfrontofficewas3000.In2015:maximumwaitingtimewas53minutes, average servicemanagement time19minutes, andnumberof customers at frontofficewas6000.In2016:thelongestwaitingtimewas41minutes,averageservicemanagementtime12minutes,andnumberofcustomersatfrontofficewasroughly6000(1stsemester2016).Thesignificantdecreaseinwaitingtimehasledtogreaterserviceefficiency.

• UTServiceResponseAnalysis:Usingvarioussamplingmethods,ananalysiswascarriedout tomeasurehowmanycallsand/oremailstheUTreceivedduringtheperiodApril2014-May2015.In the reference time, the requests were recorded in terms of: user type, complex or simpleprocedures,meansofaccessoftherequest.Onasampleof65Customers/Citizens,thehighestpercentage of requests (43/65) were made by professionals (e.g. agencies handling vehicle-relatedtransactions).Professionalsmadecomplexrequestswhileordinarycitizensmadesimplerequests(22/65).

• Service Quality Problem Assessment: From April 2014 to May 2015 we analysed the mainproblems affecting service quality. Problems identified: increased work and fewer staff, andtemporaryITproblems.

Otherimprovementareasasfollows:

• Sub-criterion 6.1 Results regarding the overall image of the organisation and properimplementation of the practice; personnel courtesy and professionalism; flexibility andadaptabilitytousers’requirements;resultsregardingaccessibility.

• Sub-criterion6.2Reputationoftheorganisationanditsservices;numberofhoursoftrainingofpersonnel dedicated to effective management of competence and relationships with usersprocesses; extent of efforts to improve the transparency of information; number and thecomplainthandlingtimes.

• Sub-criterion 7.1 Results relating to personnel satisfaction compared to the overall image;respectoftheapproachoftheorganisationinthefaceofthestrategicfactorinnovation.

• Sub-criterion 7.2 Evidence on the ability to relate with clients and respond to their needs;indicatorsregardingmotivationand involvementofstaff inchangingprocess;thedevelopmentofskillsconcerningtheinternalmobilitybetweenbackofficeandfrontoffice.

• Sub-criterion9.2 theoutputefficiency in termsof costs,evidenceof success in improvingandinnovatingorganisationalstrategies,structuresandprocesses;processperformance.

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2. Implementationof improvementorchangingproject followingtheCAFself-assessmentfromwhichareobtainedresultsmentioned

The project carried out by the UT of Savona - started on April 1

2014andfinishedonJanuary312015-impliedanimprovementofthe front office processes and the setting up of a systemmonitoring the service quality perceived by userswith respect to

complaintsmanagementinparticular.

These improvement actions were taken in response to problemsencounteredby the front-office inmanaging peakworking hours.TheworkloadhadincreasedsincethestaffoftheUTofSavonawas

entrusted to deal with car tax related matters too, after anagreement(2014)betweenLiguriaRegionandtheAutomobileClubd’Italia(ACI).

Inparticular,theabovementionedaugmentedworkload,causedasignificantloweringinqualityof

delivered services at front office, of customer satisfaction and in general the satisfaction ofstakeholders (professionals, lawyers, public administrations, fiscal experts, associations, officialreceiver) and also of the front-office personnel.Moreover, this situation also caused a decline in

qualityofworkingenvironment.

Thedescribedplanofactionwasimplementedinthefollowingsteps:

1. MappingtheprocessesoftheUT.Thisimpliedaprocessanalysis,whichalsotookintoaccountthedistintionbetweencoreprocessesandtheirsub-processes:

• Core processes: managing the Public Register of motor vehicles (Pubblico RegistroAutomobilistico - PRA);managing PRA sub-processes such as: a)management of requestsfromordinary citizens; b)managementof requests fromprivate agenciesdealingwith anykindofcarrelatedtransactions;(c)cartaxmanagement.

• Supportingprocesses:beingpresentinareaswhereprivateagenciesdealingwithanykindofcar related transactions operate; active cycle accounting, i.e.management of cash inflowsand of slip payments; passive cycle accounting i.e. management of cash outflows,reimbursementsandoperationalexpenditures;URP(publicrelationsoffice)i.e.managementofparticularlysensitiveuserrequestsandofrelationshipswithotherpublicadministrations;runningoftheUTsecretariatandofofficeautomationsystems,aswellasmanagementofITprotocolsandofcertifiedmailboxes.

2. Final aim of the project was to reduce waiting times from an average of 20minutes to the

presentaverageof5minutes.

Thiswasachievedthroughsub-phaseslike:

a. Recordingofworkloadsatthefront-offices.b. Assessmentofdifferentcasestreatedatthedesksandmeasurementofresponsetimeonall

customer inquiries, classified in the followingway: simple information; consultations; userrequestsconcerningcarrelatedtransactionsandcartaxpayment.

c. Recordingwaitingtimesofusersatfrontofficedesks.

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3. Installationofthesoftwarerecordingthenumberofcitizens/clientsqueuingup,andthequeuewaitingtimes.

4. Better cooperation between front and back-office staff with a view to further reducingprocedureworkingtimes.Thiswasmadepossiblethroughstandardtrainingcourses forall thestaffdealingwithPRAandTaxmattersandthroughatargetedtrainingmeantforfrontofficestaff.

5. Devoting2outof4total front-officestocar taxmatters,withoutextendingopeninghoursoftheseoffices.

6. Thenewfront-officeprocessesweremademoreefficientbyestablishingasystemtomanagecitizen/client complaints. The following principles must be respected in reference to thecomplaints: accessibility of users in terms of clarity about how and where making claims;transparency and impartiality guaranteeing an equal opportunities treatment; gratuitous andprivacy;customer/citizensorientedapproach;clearidentificationandresponsibilitiesofwhoisincharge inmanaging theclaims; continuous improvementof thecomplaintmanagement systemandoftheservicequalityprovidedbytheSavonaUT.

7. StartingastructuredsystemofCustomerSatisfaction(CS)aspartoftheprocessimprovementphasecarriedout inMarch2015.CustomerSatisfactionaimedatdetermining:accessibilityandreliability; completeness and clarity of information provided to users and stakeholders;reassuranceabilities;empathyandprofessionalismoffrontofficestaff.

8. SettingupastructuredsurveyofPersonnelSatisfaction(PS).ThiswascarriedoutinMarch2015andmeant forUT staff (15 resources)with thepurposeof analysingperceptions about servicequalitydeliveredatthefrontofficeaccordingto:accessibility,reliabilityandreassuranceabilities.

Themainrolesandresponsibilitiesofthekeymanagers

a. TheHeadof theACITerritorialUnitofSavonawas fully responsible for the ‘ImprovementPlan’consistingoftheimprovementactionsdescribedabove.Shealsosupervisedtheactivitiescarriedoutbyalltheotheremployees.

b. A member of staff at ACI Headquarters in Rome played the role of facilitator of the serviceimprovementprocessinlinewiththeQualityStrategyoftheAutomobileClubd’Italia.

Themainsuccessfactorsareasfollows

a. Citizens/Clients Customer Satisfaction. As a result of self-assessment, the value of time wasconsideredakeypriority. Thishelped tobuildan imageof theUTasapublic serviceprovidingconcreteand tangiblebenefits tousers.Before the improvement, theUThad severalproblemsaffectingCitizen/CustomerSatisfaction:overcrowdinginthewaitingroomoftheUTSavonawithdeteriorationoftheACI’sbrandvalue; increaseofwaitingtimeatthefrontoffice;deteriorationoftrustbetweencitizens/clientsandACI.

b. Staffmotivation.Asaresultofself-assessment,staffmotivationprovedtobeakeypriority.Theemployees themselves were actually well aware of their responsibilities and contribution tokeeping a high level in the quality of services delivered at the front office. Before theimprovement theUThadseveralproblemsaffecting staffmotivation.The frontoffice staffwasstresseddue to the increase in thenumberand typeof requests.Thestaff felt tobeunable tocopewithitsjob.TheseproblemscausedafailureoftrustbetweenthestaffandtheheadoftheACIUTofSavona,althoughhewasacknowledgedasanauthoritativeleader.

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Thebiggestmistakewasthatqualityassessment(waitingtime,handlingofdossiers)-perceivedbothinternallyandexternally–wasbasedonasmallsample.Thisaspectwasamendedbyincreasingthe

sample (not 10%, but 100% of users coming to the Office) and considering busy office hours inparticular.

3. Description of the prioritisation process that led to the chosenproject

The defining process used by Territorial Unit of ACI Savona, was implemented according to the

followinglogicalsequence:

A.TopromotegoodpracticesimplementedbytheACITerritorialUnitinaccordancewith:

1. theregulationActNo.15of2009andfollowingLegislativeDecree150/2009;2. thecurrentgeneralapproachadoptedtostreamlinethePublicAdministration(PA)systemand

makeitmoreefficientandeffective;3. ACI’sguidelinesoninternalstrategicpolicy,whichareshapedontheCAFmodel,asatoolaimed

at planning, management, evaluation, correction and continuous improvement of productionprocessesandservicesprovidedtothecommunity.

B.IdentificationofimprovementactionswithrespecttoACI’svisionandmissiononthethemeofmobility,andbytakingintoaccountthefollowingpriorities:

Externalpriorities:

a. Guaranteeingcustomersatisfactionbymeetingtheneedsofcitizens/clientsandstakeholders.b. Partnershipswithdifferentsocial,economic,culturalandinstitutionalactorsoperatinglocallyin

ordertoaddressproblemsrelatedtolocalmobility,thusachievingacommongoalandcreatingvalueforusersandstakeholders.

Internalpriorities:

a. Taking into account organisational, economic andinternal technological skills, and favoring thoseimprovement actions that could be implemented byusing internal resources, both human (number andexpertise) and material (equipment, systems,processes, investment budget), thus respecting thelogicofspendingreview.

b. Timeframe to complete theproject - start and endof the activity according to the TerritorialUnit’simprovementplan,withaviewtoshowing,intheshortterm,theimpactofthemodelonimprovingorganisationalperformance.

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Norway

Case:IncreasedstakeholderinvolvementintheplanningoftheConsumerOmbudsman’sworkandpriorities

ConsumerOmbudsman(CO)Norway

MiriamKarlsenTel.:+4745490029


Sectoroftheorganisation:JusticeandLaw

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion2:Strategy,sub-criteria2.1Gatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation


AfterconductingtheCAF in2015, theConsumerOmbudsmanhas increased itsdirectcontactwithstakeholderswhileplanningtheorganisation’sprioritiesforcomingyear.

The implemented improvements have led to a more systematic approach to obtaining relevantinformationfromstakeholders,andthestakeholdersaredirectlyinvolvedintheplanningprocess.

As the diagram shows, you can see

thatthenumberofcontactmeetingsduring the planning process hasincreasedwithabout200%.

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In addition tomoremeetings, our contact with stakeholders is now based on amore systematicapproach.Thiscanbeillustratedbyournewformofcontactmeetings,seetheillustrationbelow:

Theformhasseveralfunctions.First,whenitisfilledin,itgivesusanoverviewofstakeholdersthat

we should be in regular contact with each year. Secondly, it helps us to spread the meetingsthroughout the year.We do not have capacity to meet with all our relevant stakeholders in theautumnduringtheplanningprocess.Byfocusingoncontactmeetingsthroughouttheyear,weare

able to meet with more stakeholders, and in this way, we are improving the stakeholderinvolvement.

As shown in the right column, we also select aperson responsible for organising each meeting,

which increases the likelihood that we actually willfollowthroughwiththeplanforcontactmeetings.

IntheConsumerOmbudsman’splanofaction,whichstates the priorities of the CO’s work for the

upcoming year, the stakeholder involvement in theplanningprocessishighlightedintheforeword.

Anexamplewherethestakeholderinvolvementhashadaninfluenceonourprioritiesin2016canbeobtained fromour supervisionwith the ICT-market. In thismarkedwe findmisleading use of test

resultsinadvertisementsforinternetandtelephoneservices,thusitisimportantfortheConsumerOmbudsmantotrytostopthismisinformation.

Coverageandspeedareimportantfactorsforconsumers,andareoftenemphasisedinthemarketingof Internet and telephony services. Strong competition between the operators on offering

consumers thebest coverageandspeed,have led toapracticewheredifferentoperators refer totestresultsshowingthattheirproductsgivesconsumersthebestcoverageand/orspeed.

However, determining which operator that can offer best coverage and speed is a difficult task.

Often there can be large local variations, and different tests may show different results. Hence,severaloperatorsallpublishadvertisementsclaimingtohavethebestcoverageandspeed, leavingconsumersconfused.

Photo:pixabay.com

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After inputsfromthestakeholders,weplannedtoparticipateandgive a lecture on code of conduct when using tests results in

advertisement at an annual ICT-conference where all marketplayersusuallyattend.TheconferencewasconductedinMay2015andhadabout250participants.After theconferencean identical

letter was sent to all operators, with information on code ofconduct when using test results in marketing. The ConsumerOmbudsmanalsohasinitiatedproceedingsagainsttwooperators,

whodonotcomplywiththelaw.


The Consumer Ombudsman (CO) is an independent administrative body which carries out

supervisionoftheMarketingControlAct.WhendeemednecessaryintheinterestofconsumerstheCO has authority to issue decisions banning unlawful marketing, or unlawful contract terms andconditionsinstandardcontractsinallsectors.Asasmallsupervisoryagencywithonly26employees

anda largeareaof supervision, it is vital toprioritise themost important issuesand find thebestworkingmethods, toachieve thegreatest impact. Inorder toachieve this,wenotonlyneed legalexpertise, but also good trade knowledge on the sectors we superintend, such as the financial

market, the housing market and the market for ICT services. Stakeholder involvement is vital toobtaingoodtradeknowledge.

Before carrying out the CAF assessment we had the impression that we had sufficient points ofcontactwithourstakeholders.TosomeextenttheCAFassessmentdidconfirmourimpression.We

haveasystemallowingconsumersandbusinessestoadviseusonviolationontheMarketingControlActtothedetrimentoftheconsumers.Wealsoattendconferencesthroughouttheyear,andcarryoutcontactmeetingswithtraders, industryorganisations,theConsumerCouncil,othersupervisory

authoritiesetc.However,theassessmentidentifiedsomeweakpointswhenitcametosystemisingthe stakeholder involvement as well as involving stakeholders in the planning of the ConsumerOmbudsman’s plan of action. We discovered that the organisation didn’t have sufficiently clear

proceduresforarrangingcontactmeetingswithstakeholdersduringtheplanningphaseoftheactionplan.Onlyasmallpartoftheorganisationdidactuallyholdsuchmeetingsduringtheplanningphase.

Photo:pixabay.com

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TheCAFassessmentalsomadeusconsiderwhethertherewereothermethods,thanregularcontactmeetings,toinvolvestakeholdersintheplanningofourwork.

AsaresultoftheCAFassessment,themanagementteamissuedclearinstructionstoallsectionsof

theorganisation, toarrangecontactmeetingswith relevant stakeholdersaspartof theprocessofmaking our action plan. The different sections of the organisation were required to identify andarrange meetings with relevant stakeholders, in their respective sectors.We also systemised our

existing practices for contactwith stakeholders. Thiswas considered necessary in order to ensurethattheopportunityforstakeholderinvolvement,inthedifferentsectorsofourorganisation,wasn’tduetochance.

In addition to increasing the number of contact meetings, and developing a more systematicapproach to obtaining relevant information from stakeholders, we arranged an internal seminarwherethreelargeindustryorganisationswhereinvitedtocomeandtalktousabouttheirviewson

theCO’sworkintheirrespectivesectors.Theywerealsoaskedtotalkaboutwhichchallengestheirindustrywerefacing,andgivetheiropiniononwhattheCOshouldfocusoninitssupervisionoftheir

respectivesectorsinthecomingyear.Thethreeindustryorganisationsrepresentedthemajorityofthecompaniesintheirrespectivesectors,whichisthefinancialindustry,therealtorbrokeragesandtheICTindustry.

Itwasagreatsuccessinvitingthemajorindustryorganisationstocomejoinusforhalfaday,while

wewere inthemiddleofplanningourpriorities fortheupcomingyear.The industryorganisationsappreciated the opportunity to give us their view on our performance, and we received usefulinformation on their focus areas for the upcoming year,which confirmed ourmain priorities. The

representatives from the organisations were also invited to stay for lunch, which gave a niceopportunityfornetworkbuildingbetweenourstaffandtherepresentativesfromtheorganisations.

Photo:pixabay.com

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TheCO carriedout theCAF self-assessment in January 2015. The final self-assessment reportwasmadeavailabletothemanagementteambytheendofFebruary. InApril theCAFSelf-AssessmentGroup presented the report, including a description of the process and themajor findings, to the

entirestaff.Theentirestaffthenspentonefulldaydiscussingthemajorfindingsandeveryonewereinvitedtogivetheiropinionsandsuggestionsforimprovements.

Therewerefourmajorfindingsoftheself-assessment.Weidentifiedaneedforincreasedknowledgeontheeffectsofourwork.Thiswewereawareofevenbeforetheself-assessment.Wedomeasure

effects in terms of less misleading marketing, or less unfair contract terms in standard contractsoffered to consumer. However, it is challenging tomeasure effects in terms of decreased conflictlevel, or decreased social costs, as a result of better contracts and more clear information in

marketing.

Photo:pixabay.com

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The second findingwas the potential of increased stakeholder involvement in the planning of theConsumerOmbudsman’splanof action. The thirdmajor findingwas related to criterion7;people

results. We didn’t have regular staff surveys, or other concrete measurements of the staff’sperception of the organisation. The final major finding was related to sub-criterion 4.5; managetechnology. The website of the organisation did not support showings on new devises, such as

mobilephonesorpads,verywell.Inaddition,thewebsitedidnotfulfilrequirementstoensurethatit would be user-friendly to peoplewith a poor vision. However, prior to the self-assessment theorganisationhadalreadystartedonaprojecttorenewthewebsite.Theprojectwasfulfilledinthe

first half of 2016. In addition therewere someother findings regarding the ICT tools used by theorganisation.

Aftergettinginputsfromthestaff,themanagementteamdecidedtofollowuponmostofthemajorfindingsfromtheCAFself-assessment.However,somefindingsdemandedmoretimeandresources

thanothers,suchasfindingawaytomeasureeffects intermsofdecreasedsocialcostsorconflictlevel.Themanagementgrouptherefordecidedtostartwith increasingstakeholder involvement inthe planning of the CO’s plan of action, as this was considered an important issue where the

organisationwithrelativelysimplemeasurescouldmakeimprovementsshortly.

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Portugal

Case:InnovativeHumanResourcesManagementintheLisbonMunicipality

LisbonMunicipalityHumanResourcesMunicipalDirectorate

Portugal

FátimaFonsecaE-mail:[email protected]

Sector:Localadministration

MainFigures:Lisbonas547.000inhabitantsandacommutingpopulationof926.000individuals.LisbonMunicipalityhas8.206workers,fromwhich160areManagersand375workfortheHuman

ResourcesDirectorate.TheInnov(ation)HRteamasaneffectiveof10workers.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):AllCriteria


Our approach to CAF was unconventional at first, back in 2011. We started by using it as an

inspiration for thedevelopmentofmanagementmodels andnot as anevaluation tool. Therefore,ourresultsareverysignificantandcrossrelatedwithallthecriteriaofenablersandalsowiththefourresultscriteria.

Inthescopeofcustomers'sideresultsoftheseveralprojectsthat

wehaveimplementedwithdirectimpactinourcustomers,thecivilservantsworkingforthemunicipalityofLisbon,wefoundresultsintwodimensionsinallthethreekindsofcustomerswehave:

Perception

1. Managers: They state that the creation of the HR Function team ‘was a contribution tostandardise theway activities are done’ they also emphasise that now ‘their teams are bettertrained’.

2. Interlocutors,thecontactpersonsonHRinthecityservices:80%areextremelypleasedwiththeinformationtheyreceiveand78%ensurethatithadapositiveimpactintheirperformance.97%consider that it is important and very important all the initiatives which aim to shareknowledge.

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3. Workers: 68% consider our health programme extremely useful. And our canteens are ratedwith3,85/5byourworkers.

Performance

1. Managers: All city services designated their interlocutors with HR and 83% of themimplemented the HR Function. All services presented their Evaluation and AccountabilityFramework.

2. Interlocutors:Reductionofpayrollmistakesandalsoreductioninthe‘helpdesk’phonecalls.3. Workers:More than 7000 participants in our health programme initiatives.More than 200

workersshowtheir‘talents’inourTalentWorkshops.

TheHRDirectoratealsobenefitsfromtheimpactofourCAFapproachinourpeople,andbeforegoingthroughtheresultsitisimportantto

statesomequotesfromourworkerswhichemphasisethatprogramslike the Participation Day ‘improve workers motivation’, ‘gives theopportunity to meet and mingle with co-workers’, ‘allows the

discussingandworriessharingrelatedtotheongoingprojects’,‘givestheopportunitytoshareideasforcontinuousimprovement’.Fromthiscriteriawecanextractthefollowingresults:

• 240participants(workersfromtheHRDirectorateandalsointerlocutors).• Almost400participants (HRDirectorateworkers, interlocutors,andinlesssignificantnumbers,

managersandworkersfromotherservices)in4editionoftheParticipationDay(DiaP).• In2015thenumberofparticipantsininternaltrainingisalmostthesameasin2012:14.• 28workersevolvedintheconstructionofHREthicalCharter,ourcodeofconduct.• 29internalprojectmanagers.• Workerswhoareself-willingtoparticipateinprojectsmorethandoublefrom2014to2015.• 18newsitemsregardinginternalteamsinournewsletter.

The third criteria fromwhere our organisation harvests results

was social responsibility, where we had 48 new workersreceived through 4 procedures, 869 workers moved within orbetween careers and 199 workers consolidated or changed

careerduetointernalprocedures.Allofthishappenedinatimeofsocialcrisis.Also:

• 8%ofourworkersenjoyspecialpermitstoconciliatepersonallifewithwork(work-lifebalance).• Wereceivedmorethan250interns(nationalandinternational).• Wepromoted22seminarsandconferences.• Wehavesigned45trainingconventions.• 100trainingsessionswheregiventocitizens,withmorethan3000participantseachyear.• Morethan1400workerssawtheirscholarandprofessionalqualificationupgraded.• 7articlesintheMediaregardingourHRModelasagoodpractice.

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Last,butnotleast,theperformanceoftheHRDepartmentwasimprovedwiththisapproach,bothinternandexternal,asprovedbythefollowingresults:

Internal

• 300workersperyearmovewithindifferentcityservices.• 844independentworkersintegratedinthepermanentstaff.• During the2011service restructuration84%of the redeploymentwhere

satisfiedaschosenbytheworker.• Reintegrationinthepermanentstaffoftheworkersfromanextinguished

municipalcompany.• During the administrative reform of 2014, 1200 workers were transferred to the Board of

Parisheskeepingalltheirachievedworkingrights.• CelebrationofPublicEmploymentEntityAgreementswithalltheUnions.• Outturnrates:PersonnelBudget:97,5%|Training:86,3%|Internaltrainersuse:94%.• 126HealthandSafetyaudits.• 181workersrecognised (128asspeakers inStaffEncounterSeminarsand53withRecognition

Letters).• 28workerswithcollaborativenetworkagreements.

External

• Bestpracticesacknowledgementin2013,2014and2015.• ExcellenceinHRawardin2013.• BestInternalCommunicationStrategyAward2014.• Runner-upintheInternalCommunicationAward2015.• MeritAwardasFamilyAwarenessMunicipality(since2012).• HonourMentionintheHealthyWorkplacesAwards2015.• RepresentingPortugalinthe8thQualityConferenceinLuxembourg2015.


As stated before our approach covered a vast array of CAF sub-criteria, so we will focus all thecriteriaandsub-criteria.

Criterion1:Leadership

Withtherestructurationoftheservicesin2011newmanagerswhereappointed,andwiththisnewmixofoldmanagersandnewmanagers,theHRdetectedsomelackofexperienceandalignmentamongthem.

Soweacknowledgedtheimportanceofhavingastraightforwardfocusforourworkandthedevelopmentofaself-identityperceptionamong

allthemanagers,whomustseethemselvesasateam.

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Westartedgatheringourstakeholders’opinionsregardingpeople’smanagementstrategytocreatethe conditions for an open discussion about our vision, mission, values and how could we share

knowledge among theorganisation to empowerourmanagers.With that informationwehad thebuildingblockstolaunchamonthlynewsletterwiththemainHRindicators,enforcingthestrategicalignmentandco-accountability.

We have also launched an executive coaching programme to

boost people’s management skills within the manager’s board,alsowe’veheldfocusgroupswiththemtoshapeamanagementmodelthatfitallthemunicipality.

Evaluation is key in all this approach, andwith the inputs from

the latest (2015) we developed the Ethical Charter (verydemandedbyalltheworkers)andwearenowworkingona360ºevaluationtoapplyintheHRDepartment,whichweaimtoapplyalsoinothercitydepartments.

Criterion2:StrategyandPlanning

Inaveryearly stagewewanted toknowtheneedsandwishesofallour stakeholders’andat the

same timegathering relevantmanagement information,andwewanted todo it inaparticipatoryway. From this first approach (2011) a strategic plan set upon three goals emerged: workplaceenvironment,trainingforanewmanagementmodelandcollaborativework.

In2013,theskillscharterwascreatedaimingtobeatoolthatallowedthealignmentbetweencore

organisationalskillsandthepursuedstrategy.

Again, and aswe are sure that evaluation is very important to guide us in the right direction,wedeveloped a model to operationalise the city governmentprogram, so that goals definedbymanagerswithin city services

couldshapethosedefinedbythecityelectedboard.

Also to ensure that everything has a true meaning we setindicators and targets in all activities of our plan deepening ourmanagement system and streamlining the individual goals, for

example for the axle ‘Support board of parishes in HRdevelopment and management in the scope of the city

administrative reform’ one of the indicators we use is ‘Rate of achievement of the HR sectorial

indicators of support to the administrative reform’, other example is on the axle ‘Implementing amanagementsystemfocusedinknowledgesharing,qualityandinnovation’wehaveasanindicatorthe‘rateofcityserviceswithparticipationinitiatives.

Criterion3:People

Hereiswhereourmanagementmodelandourbusinessgetmixedaround,mainlybecauseweuseourselvesasbeta-testersbeforespreading itamongtheotherdepartments.Sothatwecanevolve

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fromatraditionaladministrativeHRmodelweendowedourpeoplewithanewsetofskills,creatingtheHRInnovationTeam.

We’ve made a huge bet in internal communication and in the creation of team spirit, doing

teambuildingactionsandseveralotherleisureactivities.

Nevertheless,oneoftheworkersrecognitionandvaluingflagshipactionshadbeentheParticipationDay(DiaP),whichisatthesametimeatraining,alignmentandparticipationmechanism.Asinourapproachtheborderbetweencriteriaisverytenuous,wewereabletostreamtheneedsandtraining

withtheskillscharterandtheindividualdevelopmentneeds.

Also, we are creating a recognition and valuing programme which, while keeping the traditionalcompany-employeerecognition,willboostthepeer-to-peerrecognition.And inOctober2016we’llnothaveaparticipationday,butafullweek,wherefirstwe’regoingtoaskourcustomerstogiveus

their inputs inourperformanceand thenwe’llget togetherwithourworkers tobuildupon in theresults of our customers’ assessment anddiscuss new improvement goals. The intention is to useCAFasaself-evaluationtool.

Criterion4:PartnershipsandResources

Optimising resources and developing long term partnerships

are key elements in our management model. We’ve beenworking closely with organisations relevant both for ouractivities(universities,othermunicipalities,publicservices,etc.)

andforourworkers(servicescompanies,socialservices,etc.).

Sharing information is anotherkeybet, andweuseamonthlynewsletter,anintranetareaandathematicnewsletterjustfor

managers.We also endorse the shared use of resources, both knowledge and human, every two

yearswepromotean internalseminar,wherethespeakersaretheworkers,aimingtodisseminatebestpractices.

Anothersuccessinitiativethatwasaresponsetotheneedsbothfrommanagersandworkers,was the creation of the collaborative network.Workers from a

differentdepartmentcan(byathree-partsagreement)beallocatedtoaprojectout of their normal scope remediating on the one hand a lack of skill that adepartmentmayhaveandontheotherhandallowingtheworkertogetmore

motivation and learning opportunities, for instance having a lawyer from theLawDepartmentdeliveringshiatsutherapyinourHealthDepartment.

Also,andverypopularamongourworkersareourshealthandsafetyprogramsaswellasourtalentworkshops.

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Criterion5:Processes

Overandabovebeingaparticipatedandstrategicmanagementsystem,oursystemalso ingrainsa

processapproach.

Backin2012andstronglysupportedbytheassessmentmadein2011(Criterion1)westartedtomapour processes. We draw and optimised part of our processes, emphasising requirementsstandardisationanddematerialisation,andofcoursefocusinginalltimemonitoring.

In 2013 we created the Reference Framework for HRM, an annual HR policy document where

managerswill find informationonhowtodealwith themostcommonHRresponsibilities, suchashiring,workschedules,training,andsoon.

One of our main projects that also enforces co-accountability in HR Function is the creation andtraining of teams to support managers fulfilling their legal obligations and also making use of

managementbestpractices.


We have pursued our approach, incremental and centered on gradual learning of all the

stakeholders. Since2011wehavemadea significantevolution in thewayweapply themodel, aswellasintheachievedresults,thatwereonlypossibleduetowisechoicesandprioritisation.

Togettothechosenprojects,andasstatedbefore,theHRmanagementteamin2011decidedthatprojects that aimed an innovative and improvedway ofwork culture and that allowed trial space

shouldbeinourtoppriorities.Then,usingCAFasmodel,developingacommonvisionandaprocessof change,with a long learning curve,wedeveloped in the last five years a vast array of projectsalignedwithalltheCAFcriteria.

Weare aware thatprioritisation is a critical success factor

to any project that results from a CAF approach. Wecentered our approach in three main axes that respond

both to our strategy and the identified needs: 1) ProvidemanagerswithHRtools,2)Increaseworkersparticipationinmanagement decisions, 3) Share knowledge and

information to raise awareness andmanage an ambitiouschangeprocess,fromaproceduralHRmanagementsystem

to a strategic peoplemanagement system.Nevertheless, and as it’s very important to note, even

thoughwedidn’twanttouseCAFasaself-assessmenttoolinthebeginning,it,withnodoubts,hasbeenourguide inourmanagementchoicesandour inspirationto internalisetheneedtoevaluateeachprojectwehaveimplemented.

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At this stage,weareworkingonour self-assessmentmethodology touseduring theParticipationWeekinOctober2016.Onceagain,CAFmethodologyisourguideandwewillhave,forthefirsttime,

acomplete formal self-assessmentandanewactionplan to improveourmanagementmodelandourresults.Forthatweareplanningathreestageapproach:1)wewilldeliveranawarenesssessionto HR workers regarding CAF and the goals we aim to achieve, inviting all of them to use an

assessment survey to evaluate our management practices and results. 2) We will consult thecustomersidebypromotingapackoffocusgroupstodiscussontheCAFresultscriteriaandcollecttheir inputs and suggestions on our ongoing and future projects. 3) Finally,wewill gather theHR

workers (in our Participation Day) to discuss on the results from the previous stages and deliverimprovementsuggestions.

Tosumup:webelievethatmanagementmodelsmustfosterexperimentationandprovideroomforerror.Amodelisn´tcarvedinstone,itmustbeasourceforinspirationandmustmakesenseineach

organisation.CAFmodelhasallowedus tosetourownpath for improvementandtoachieveveryinterestingresults.Let´sseeifaformalself-assessmentincreasesourperformanceevenfurther.

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Portugal

Case:QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar

SchoolgroupingFigueiraMarPortugal

PedroMotaCurtoandPaulaParrachoPrincipalofAgrupamentodeEscolasFigueiraMar

SchoolGrouping(6schools)E-mail:[email protected]

Sectoroftheorganisation:EducationandResearch

AgrupamentodeEscolasFigueiraMar isamultilevel institution located inFigueiradaFoz,Portugalconsisting of 6 public schools with 1200 students and all levels of education from pre-school to

regularandvocationalsecondaryeducation.

Refrencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:1.3Motivateandsupportpeopleintheorganisation

Sub-criterion:2.1GatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformationSub-criterion:4.3.Managefinances


The sub-criteria that stood out the best practiceswere 1.3, 2.1 and 4.3. Themotto of the Schoolfollows aQuality RouteCreating Passion andCommitment. It is theonly public school in Portugal

recognisedasEffectiveCAFUserand1starCommittedtoExcellenceEFQM.

CAFallowedthereflectionaboutthenewlyformedschoolcluster(2012,June). Starting from the vision of each school, we construct a holisticidentityandculture,mobilisingtheentireschoolcommunityinorderto

make investments in improving student learning environment and toenhancestakeholdersatisfaction.

Theself-assessmentwasconductedin6schoolsfromJanuarytoApril2013andwereobservedgreatpotentialintheinvolvementofemployees(teachers-154;technicalandoperationalassistants-61),

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a well-established partner network and a sustainablefinancial management. These three good practices would

synergy for theachievementofbetter results inCAF leastscored criteria in a dynamic PDCA. Thus, the sub-criterion1.3receivedascoreof79,thesub-criterion2.1receiveda

scoreof80andthesub-criterion4.3.gotascoreof88.5.

Building up an institutional reality, adding peoplewho donot know each other, involves creating emotional andbusiness values. We applied satisfaction surveys which

demonstrates,amongothers,thefollowinglevelsofinvolvementofemployees:

• 76%ofemployeesaresatisfiedwiththeconditions/workingenvironment.

• 84%ofemployeespreferteamwork.

• 88% of employees see their training valued and recognises a school cluster with a project to

change.

• Higherthan84%enhancetheleadership,communicationpeer,thedelegationofpowersandthe

commitmentgiventhenewreality.

• 96%ofstudentsvaluetheworkofthestaffandteachers.

Studentsopinionsabouttheirschools:

• 89%valuetheperformanceoftheschoolcluster.

• 83%recognisetobetreatedwithequalopportunities,

genderandreferraltosuccess.

• 80%feelsupportedbystaff.

• 80%identifiedasaschoolclusterthatrespectsthecitizenandmaintainsdiscipline.

• 80%watchtherewardvalueandexcellenceinperformance.

• 87%recognisethepedagogicalrelationship.

• 80%identifygoodteachingpracticesinadynamicclassandevaluation.

The opening of the school cluster to the community is a success factor as a catalyst for learning,experience, resources and relaunch for future active life/integration into the labour market ofstudents and reveals the concern tomeetpresent and futureneeds.Over thepast four years the

schoolcluster:

• Over50partnershipswithbusinessentitieswereestablished, somewell-grounded in theworld

forinternships/traininginthejobandassignmentofmeritawardstogoodstudents.

• Protocolswithhealthunitswere created for trainingof students - preventionof risk behaviors

andbehaviorsofhealthylife-6protocols.

• IntegrationEPISprogramme-entrepreneursforsocialinclusion.

• Integrationinentrepreneurshipprojectsatnationalandinternationallevel.

• Relationshipwithgovernmentdepartments-Environment(EcoEscolas),TownHall.

• Relationshipwithuniversities-trainingnewteachers,scientifictrainingtostudents.

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CAFallowedreflectionaboutthenewlyformedschoolcluster.Startingfromthevisionofeachschool

weconstructaholisticidentityandculture,mobilisingtheentireschoolcommunityinordertomakeinvestmentsinimprovingstudentlearningenvironmentandtoenhancestakeholdersatisfaction.Wedeveloped strategic documents focused on the identity of the recent school cluster such as

EducationalProject,RegulationandaWelcomeprogrammetonewteachers,students/parents.Weapplied satisfaction surveys to stakeholders (partners, students, parents, staff) which highlightleadership,administrativeorganisation,resourcemanagementandeducationalstrategies.

As a result of self-assessment, improvement opportunities were analysed and we defined the

objectivesandgoalsinthesplitactions:

QualityRoute-Improvingthequalityofschoolorganisation

• Creationofunifyingstrategicdocuments:EducationalProject,InternalRegulation.

• Organisation of Integration Dossiers of teachers, students/guardians that guide the educational

practiceandcommunicationbetweenstakeholders.

Methodology

• Meetingswiththeeducationalguidancesectortoassess,integrateandbuildplansbasedontheneedsandexpectationsofstudents,toselectandconsultdocumentsandtodefinebetterwaystomonitorandevaluate.

• Variouslevelswereinvolvedsuchasmiddlemanagers,studentsandstaff.

• Criticalsuccessfactors:motivationandinvolvementofstakeholders.

• Obstacle:integratealllevelsofeducationandexpectationsofallstakeholdersinthedocumentsthatwereproduced.

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Results/Impactoftheaction

• Useofdocumentsthatguidetheeducationalactivity.

• Integrationdossierswereevaluatedasveryeffective.

• Sharingthespiritofmaintainingandimprovingthedossiersin2015/2016.

• Launch of new additional documents - Statistical Reports, Class Plans; CurriculumDevelopment

PlanandStrategicPlanforthepromotionofeducationalsuccess(2016/2017).

Theartofvoices-strengtheningcommunicationstrategies

• TotalreformulationofthewebpageoftheschoolclusterandcreationofaBusinessCard.

• Institutionalemailscreationforemployeesandstudents(accesstoparentsandguardians).

• Access to administrative tool - GIAE for booking meals and consulting movements and

expenditureatbuffets,cafeterias,printandadministrativeservicesbystudentsandguardians.

• CommunicationPlans-Reinforcementofpublicationofthegoodpracticesandactivitiesinlocal,

regionalanddigitalpress,newspapers,theMEOChannelandblogscreatedbyteachers(exampleSpecialEducationand1stCycle).

Methodology

• Consultationofallstakeholderstoidentifycommunicationdifficultiesandhowtostreamlineandimprovecommonline.

• Developmentactions-Google+anddigitalcommunicationplatforms.

• Creatingsurveysonline.

• ConjunctionwithITteachers.

Results/Impactoftheaction

• Privilegeduseofdigitalinformationacrossthegroup.

• Greatervisibilityforpartnersandeducationalcommunity.

• Increasethenumberofstudentsinregularsecondaryeducation.

• Recognitionofpartnerssincetheytooaretargetedbythisdisclosureandsharing.

• Intensificationofpublicationofthecourses.

• Increasingthenumberofparentsmeetings.

• Increasingthenumberofinstitutionalcontactsforpartnerships.

• Personalisedserviceinadministrativeservices.

• Increaseddemandforpsychologyandguidanceservices;increasebusinessrequesttoschoolsby

parents/EEandentities.

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EducationActionMiles(promotegreatercommunitymobilizationineducationalaction)

• Constructionoforiginalsatisfactionsurveys,adaptedtotargetaudiences.

• Applicationofsurveystostakeholders(partners,students,parents,staff).Treatmentofresults.

• Presentationof the results to representatives of stakeholders andbodies ofmanagement and

administrationoftheSchoolCluster.

Methodology

• SurveybasedontheCAFEducationcriteria.

• Workingmeetingswithrepresentativesofstakeholderstodefinepilotsurveys.

• Implementation.

• Questionnairesonline.

• Treatmentandpresentationmeetings.

Results/Impacttheaction

• SurveyEnhancementtoimprovepractices.

• StimulatecontinuousimprovementinPDCAcycle.

• Developmentofnewsurveyssatisfaction-services.

• Recognitionof the SchoolCluster (highlightingpositive leadership, administrativeorganisation,

resourcemanagementandeducationstrategies).

• Mobilisingpartnersintheallocationofperformancebonusestostudentsofdifferenteducational

levels;increasedinvolvementofpartnersinjointinitiatives.

In conclusion, CAF Education was the motto for an entire work in growing, shared with theparticipation in the38thColloquiumof theQualitypanel (APQ).APQ,asapartnerorganisationof

EFQM-EuropeanFoundationforQualityManagement,isresponsibleinPortugalforthepromotion,trainingandqualificationofprofessionalsintheExcellenceModelandassociatedmethodologies,aswell as the translation and commercialisation of itsmaterials. TheAPQ is also responsible for the

recognitionschememanagementLevelsofExcellence.APQColloquiumisthepremierannualeventoftheAPQandisrecognisednationallyasbeingthemost importanteventaroundthe themesofquality

andorganisationalexcellence.

The First NationalMeeting of CAF in 2014,markedthe award of the Effective CAF User certification,following the External Feedback Process. The

grouping is experiencing a continuous challenge,achieved with the commitment of faculty, staff,students,parentsandpartners.

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ThiscommitmentandpersistencetolaunchthechallengeoftheImprovementPlan,presentedinthispapersynthetically,according to theEFQMassumptions leading to the internalisationof thePDCA

cycle.TheMinistryofEducation,partnersand institutions thatevaluategoodpractice,particularlyDGAEPandAPQ,haverecognisedtheleadership,administrativeorganisation,resourcemanagementandeducational,visiblestrategiesinprizesawarded.TheGroupofSchoolsFigueiraMarreplicatesa

DNAexcellence:School2014PrizeawardedbytheMinistryofEducationandistheonlypublicschoolinstitutioninPortugalrecognisedasEffectiveCAFuserand1starEFQM.

Andfromabove,QualityRoutecreatingpassionandcommitmentisouridentity.


Beinganewlyformedschoolclusterin2012/2013,itwasnecessarytoprioritisestrategicgoalsinthe6schoolsregardingasustainablemanagementofhuman,financialresourcesandtime.Thefocusfor

theselectionoftheimprovementswastocreateandconveyabrandimagetoclients,partnersandcommunity

The prioritisation of improvement actions was developed in a workshop, applying the followingprioritisationcriteria:impact,capabilityandsatisfaction.

The results of the self-evaluationwere analysed and grouped into interconnected actions andwe

defined5improvementactions(IA)ofwhich3wereselected.

TheprioritisationmethodwastheratinggivenbytheImprovementTeam.

1. ImpactHigh(5):meanimpactonmorethanonegoalorperformanceindicators.Medium(3):Impactonatleastonegoalorperformanceindicator.

Low(0):Impactunlikelyinobjectivesorperformanceindicators.

2. Capacity

High (5): The action can be implemented in the short term, requires few resources, it can becontrolledbytheorganisation.Average(3):Theactioncanbeimplementedintheshorttermrequiresareasonablenumberof

featurescanbecontrolledbytheorganisation.Low (0): The action is hardly implemented in the short term requires a significant number ofresources,itdependsonfactorsexternaltotheorganisation.

3. Satisfaction(students)

High(5):Theactionhasadirectimpactonimprovingsatisfaction.Average(3):Theactionhasindirectimpactonimprovingsatisfaction.Low(0):Improbableimpactonimprovingsatisfaction.

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The3mostimportantagreedimprovementprojectswere:

Project1

RotadaQualidadeQualityRoute

(Improvingthequalityofschoolorganisation)

Project2

AsVozesdaArte

Theartofvoices(Strengtheningcommunicationstrategies)

Project3

MilhasnaAçãoEducativa

EducationActionMiles(Promotegreatercommunitymobilisationineducationalaction)

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Poland

Case:TheBankofIdeasintheCustomsChamberofBialystok

CustomsChamberBialystok,Poland

JanKaliszTel.:+48857458702E-mail:[email protected]:Customs,TaxesandFinances

About 1200 officers and employees performing their tasks in units and sections specified in theorganisational structure are employed in the Customs Chamber in Białystok. The organisational

structure consists of: (1) three customsoffices,which include customsborder branches andotherorganisationalunitsand(2)theCustomsChamber,superioroverthecustomsoffices,whichincludesspecificorganisationalunits.CustomsChamber isanorganisationofhierarchical type inwhich the

principleistomaintainofficialchannelsoftheinformationflow.

Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):Criterion3:People,sub-criterion:3.3Involveemployeesbydevelopingopendialogueandempowerment,supportingtheirwell-being


TheFunctioningoftheBankofIdeashasanindirectimpactonimprovingtheprocessescarriedoutby the Customs Service. It contributes to the process of increasing the quality of services and

expandingthecatalogueofferedtocustomerswithnewandinventiveservices.Itcontributestotheimprovementofkeybusinessperformance,customerrelationshipsand,asaresult,theimprovementoftheorganisationimage.

Here are some examples of better functioning of the organisation, resulting from theimplementation of some ideas proposed in the Bank of Ideas. This part focusses on the obtainedresults.Thepracticesthemselvesareexplainedinpart2.

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TheCustomsServicehasimplementedaninnovativeservicefortravellerscrossingPolishborder.Thefreeapp‘Granica’(border),whichenablestravellerswithmobiledevicesaccesstoinformationabout

the current situation at the Polish border crossings in such areas as the queue length, averagewaiting time for clearance, the estimated change in waiting time in the coming hours, messagesrelatingtobordercrossingsandotherrelevant informatione.g.camerasview.Theservice isuseful

forcustomersandisevaluatedpositively.

Theapplicationhasbeendownloadedby15.735ofourcustomersfromdifferentcountries:Belarus,Poland,Russia,Ukraineandother.AsofApril2016theapplicationattractedmostusersfromBelarus–numberoftakenapps–4189, fromUkraine-4069, fromRussia -3959, fromPoland–2112and

from other countries – 1407. The users made 433 applications ratings exposing the averageassessmentof4to5pointscale.

The implementation of the service resulted in the improvement of one of the key performanceresultsconcerningtheserviceofcargo/passengertraffic.In2014,beforetheimplementationofthe

service, thenumberofshiftswith lineofvehicleswaiting(export, import)atroadbordercrossingsreachedthelevelof60.75%attheCustomsChamberinBialystokand17.58%inthewholecustomsservice.In2015,aftertheimplementationoftheservice,thenumberofshiftsdecreasedtothelevel

of46.16%atthecustomsChamberinBialystokand12.82%inthewholecustomsservice.

The improvement of the customer service and the electronic handling of customs declarations isillustrated by the increase in the rate of electronic handled customs declarations to the level of98.98%.Itwasachieved,amongtheothers,bytheimplementationofstandardisedemailaddresses,

intended for the collection of customs declarations in the customs service. Before theimplementationoftheidea,theratestoodatapprox.92%.

Streamliningtheprocessandreducingthecostsofpenal–fiscalproceedingsasaresultoflaunchingelectronic communication, involving the exchange of pleadings in cases concerning tax offenses,

fiscaloffenses,otheroffensesanddatarelatingtosuchcases,whichareregisteredinITsystemsofdistrict courtsand in theRegisterofPenal – FiscalCases (ESKS)of theCustomsService. Electronicexchangeoflettersbetweentheauthoritiescarryingonproceedingsarosefromtheneedtooptimise

thepenalfiscalproceedings.Theimplementedmeasuresresultedinthereductionoftimespentoninvestigationsconductedandthereductionofcostsgeneratedbysendinglettersbypost.Nowadays,

approx.25%ofallcasessentmonthlyistransmittedelectronically(59outof230casespermonth).Thisprojectisunderdevelopment.

EmployeesatisfactionsurveysconductedintheCustomsChamberinBialystokdrawapositivetrendofchanges.TheBankof Ideasbecomesapermanentpartof theorganisationculture.Therewasa

slight increase in theassessmentofsuperior’sattitudetothe innovative ideas from67.5%positiveratingsin2011to71.79%in2013,improvedby5.5%assessmentofrelationshipswithsuperiorsfrom74.3%positiveratingin2011to78.43%positiveratingsin2013.22.73%increaseinrateofchangeof

officers/employeessatisfactionbecauseoftakingpartinandtheimpactonachievingtheobjectivesoftheorganisation.

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The functioning of the Bank of Ideas improved the assessment of sub-criterion 3.3. CAF from 23pointsinthefirstassessmentto28pointsinthefinal.Intheassessmentweapplythescaleof0to

100,basedontheDemingcircle(scoringofpotentialarea)andtheevaluationofachievementoftheobjectivestakingintoaccountthetrendofsubsequentmeasurements(scoringofresultsarea).


TheBankof Ideas createdasa resultof the implementationof the recoveryprogrammeafter theevaluation of the CAF, improves the process of internal communication both vertically andhorizontally.BankofIdeas,developedasawebapplication,allowstoforwardremarksconcerning

all aspects of activities and to remain anonymous. Managers at all levels of the organisationalstructurereceivetheupdatedmessageconcerningdifferentaspectsthatshouldbeimprovedandareimportantforemployees.Someentriesareusedbytheheadsoftheorganisationalunitstoimprove

thecurrentmanagementwithinexisting resourcesat the lowestpossiblecost.Non-interference inthe content of the message posted by the sender improves the effectiveness of internalcommunication. The recipients of the message at different levels of management (head of the

organisational unit,head of customs office, the director of Customs Chamber) receivemessage inaccordancewiththecontentsintendedbythesender.

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Implementation of the ideas andsuggestions for the improvement

affectstheefficiency.BankofIdeasalso confronts management withthe voice of criticism. After their

evaluation for suitability andpossibilityofexecutingthem,someentries initiate innovative activities

throughout the Customs Service.During the functioning of the Bankof Ideas 560 entries have been

posted,12ofthem(2%)havebeenused to implement innovations intheCustomsService inPoland.The

essenceoftheBankofIdeasisaproperattitudetothedialogueinordertoimprovetheinternalflowof vertical and horizontal information, streamlining the management. The implementation of theBankof Ideas increasedopennessofmanagementtodiscussionsanysubjectwithemployees.Each

entry is evaluated by the team in terms of suitability for the organisation and the possibility ofrealisation.Mostentriesrelatetomattersrelevantandimportanttotheemployeesintheirpositionandaresettledonregularbasis.

ToillustratetheimpactoftheBankofIdeas,3majorimprovementactivities,suggestedthroughthe

Bankofideasarepresentedhere.

Mobileapplication‘Granica’

PolisheasternborderisalsotheexternalborderoftheEuropeanUnion.

Passengerandcargotraffichavebeengrowingyearbyyearandcausingthe necessity to provide accurate information about conditions beforeandatthebordercrossingspoints.Suchknowledgeallowsthedriversto

selectthemostconvenientbordercrossinginbothcargoandpassengertraffic.

Mobileapplication‘Granica’providesthecustomerwithfullinformationaboutthewaitingtimeatthePolishbordercrossingswithRussia,Belarus

andUkraine.

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There is a possibility to switch between these sections, as well as thepossibility to change the type of vehicle (passenger/truck) and the

direction of travel (arrival/departure). The driver planning to cross theborderhasthepossibilitytocalculateanindividualtimelefttoentertheborder crossing in both directions. The application also detects the

directionofmovementoftheuserandonthisbasisdisplaysentryorexitdataaccordingtopositionsrelativetothePolishborder.

The new application of theCustoms Service also shows

predicted waiting time for theupcoming week, based onhistorical data that has been

collected on this websitewww.granica.gov.pl. Thanks tothe Synchronisation there is

also the possibility to sendnotifications and messages tothe user in several languages,

available to choose. Messagescan be general or relate tospecificbordercrossings.

An additional functions of ‘Granica’ available after its downloading isinterface of ‘widget’ type for Android and ‘the tile’ for Windows Phone.

Itshowsthetravellerthecurrentwaitingtimeatselectedbordercrossingsintheabridgedform,andallowsforquicklylaunchingoffullapplication.

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Application ‘Granica’ providestravellers, truck drivers as well

as entrepreneurs involved ininternational trade withPersonalised information on

how long it takes to cross theborder. They are also providedwithcurrentinformationonthe

situationbeforeandatselectedborder crossing. Implementedservice alsomakes it easier for

drivers to plan a trip by usingthe waiting time forecastsmodulefortheupcomingweekandhelpstochoosethemostconvenientplacetocrosstheborder.

Synchronisation with service provides the user thepossibility to send notifications and announcementsin selectable languages.Messages canbe general or

concern specific border crossings - e.g. difficulties ingetting to a particular border crossing, which isespeciallyhelpfulfortruckdrivers.

Information about the number of trucks

waiting in line for the ‘departure fromPoland’ are updated every 12 hours andare currently available on the website

www.granica.gov.pl. Waiting timeforecasts are updated once a day. The

application was implemented by usingCustomsServiceownresources.

The application is working correctly andaccordingtotheassumptions.However,it

should be noted that the correctapplication performance is also affected by factors not always dependent of the Customs Service,suchase.g.GPSsignalstrengthandaccesstotheInternetinaparticularlocation.

Thefreeapp‘Granica’isavailableonmobiledeviceswiththemostpopularoperatingsystems(iOS,

Android,WindowsPhone) instoresofparticularsystems (AppStore,GooglePlay,WindowsPhoneStore)in6languages:Polish,English,Russian,Ukrainian,BelarusianandGerman.

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Unificationoftheemailaddressesstructureforreceivingcustomsdeclarations

UnificationoftransferringXMLfilestothecustomssystemsinallcustomsbranchesinthecountry-

has provided customers with the opportunity to send their declarations in case of partial systemfailuresandtheinabilitytosendapplicationsviadedicatedpaths.Beforetheimplementationofthisidea, existing instructions did not provide detailed, unifiedmode of transmitting XML files to the

customsbranch-itcouldbedoneviae-mail,floppydiskorothermediastorage.

UsinganelectronicsignatureCELINAandECSsystemprovidesthepossibilitytosubmitdeclarationatanycustomsbranchwithouthavingtoappear inpersonat theheadquarters (also inanothercity).It requiredhowevertostandardisethemethodofdeliveringelectronicdeclarations inallbranches

foranydeclarants,inparticularforcustomsagencies.Theproposalwasbasedontheideathateachcustomsbranchhastocreateaseparatee-mailaccountwiththeaddressconsistentwiththenumberoftheunit.

Electronicmailbox isexclusively forsubmittingcustomsdeclarations, soyoucaneasily identify the

orderoftheirsubmission.Eachagencyknowstheaddressforsendingcustomsdeclarationsineachcustomsbranch,thereisnoneedtodetermineeachtimeamethodfortransferringaXMLfileincaseof any failure. Suchunification required toadd theappropriateentries ineach instructionmanual

ECS/ICSandCELINAandspreadtheinformationamongthosemakingcustomsdeclarations.Theideadidnotgenerateanycostsandisconsistentwiththefacilitatingcustomsformalities.

CustomsDepartmentoftheMinistryofFinance,afteranalysingtheproposalsandconsultationswith

thecoordinatorsofITsystemshasdecidedtoimplementthissolution.Aswearelivingintheeraofautomation and virtualisation of customs clearance, simple and clear rules of communicationbetween traders and customs branch are extremely important. Especially that there is often a

separateplaceof submitting thegoods fromtheofficeof lodgingcustomsdeclaration.Oneof thefundamental aspects of this simple communication is standardised and thus easily identifiablestructureofemailaddressesofcustomsbranches.

Electroniccommunicationwiththedistrictcourts

The idea of electronic communication involves the exchange of pleadings in such cases like taxoffenses,fiscaloffenses,otheroffensesanddatarelatingtosuchmatters,whicharerecordedinthecomputersystemsofdistrictcourtsand in theRegisterofPenal fiscalCases (ESKS)of theCustoms

Service.

Pilot-phaseinvolves

1. CustomsOfficeinBialystok2. ThecourtsoftheDistrictCourtinBialystok

• DistrictCourtinBialystok

• DistrictCourtinSokolka

• DistrictCourtinBielskPodlaski

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Typeofpapersanddatatransmittedinelectronicform

1. HeadoftheCustomsOfficeinBialystoktransfers:

• indictments

• dataonthecaseinXMLformat,generatedfromESKSsystem

• otherdocumentsresultingfromthecourseofthecourtproceedings

2. ThepresidentofthecourtsoftheDistrictCourtinBialystoktransfers:

• judicialdecisions,includingnotlegallybinding

• dataonthecaseinXMLformat,generatedfromESKSsystem

• otherdocumentsresultingfromthecourseofthecourtproceedings

Pleadings are sent through inbox electronic mail fixed on the Digital Office of GovernmentAdministrationPlatformofPodlaskieVoivodeshiphttp://e-podlaskie.eu/.

A prerequisite for the commencement of pilot

electronic communication was the tripartiteagreement between the President of the DistrictCourtinBialystok,DirectoroftheCustomsChamber

in Bialystok, and the Governor of Podlaske on theelectronic exchange of pleadings signed on 28August2014.

Digital Office of Government Administration Platform of Podlaskie Voivodeship launched another

internalemail service, throughwhich theCustomsOffice inBialystok sendsand receivespleadingsfrom the district courts of Bialystok. This pioneering solution accelerates the settlement of courtcases. In the agreement the Voivode of Podlaske is a guarantee of the safety of technical data

exchangebetweenthecustomsofficeandthecourts.


AfterCAFassessment, carriedoutby the teamconsistedofemployeesandexecutivesofCustomsChamberinBialystok,areasthatneededtobeimprovedwereidentified.Theself-assessmentteam,as a result of ‘brainstorming’, has identified the criteria for selecting the project. Hierarchy was

determinedafter identifyingthecriteriabyvoting.Theareawhich first requiredthe improvement,was the area included in Criterion 3: People. It was recognised that it is necessary to create theproject, which will apply to wide range of employees, and at the same time will be clear and

understandabletoall.

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Itwasagreedthatitshouldnotgenerateadditionalcostsandshouldbeimplementedonthebasisofown resources. In addition, the project must keep versatility and cover all areas of activity, be

adequatetotheneeds,easytoimplementandnottooengagingtheorganisation'sresourcesduringtheactivity.

Itwasagreedthattheimplementedprojectshouldbeeffectivelymonitored,bringrealbenefits,newquality to the functioning of the organisation and at the same time bring real benefits to the

organisation, customers. The intention was to implement the project that allows to achieve theobjectivesandtoimprovethefunctioningoftheorganisationinallareas.

Topmanagement approved the selected criteria. It approved the choice of recovery actions thatwould contribute to the sustainable development of the organisation. A project team, appointed

among the staff, commenced actions to implement the project. The whole project has beenimplementedsuccessfully.

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Poland

Case:TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw

TaxChamberWroclaw

Poland

ElżbietaBryckaCAFCoordinator

UL.Powstańcówśląskich24:2653-333wroclawTel.:+48713652567


Sectoroftheorganisation:Customs,TaxesandFinances

Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:3.1Plan,manageandimprovehumanresourcestransparentlywithregardto

strategyandplanning


The self-assessment process in theWroclaw Tax Chamber is regulated by the Instructions I/017/2‘The self-assessment according to the CAF model in the process of organisation improvement’(SamoocenawedługmodeluCAFwprocesiedoskonaleniaorganizacji).

The internal recruitment procedure formanagerial positions, implemented as a result of CAF self-assessmentintheTaxChamber,hasimprovedsatisfactionandmotivationoftheemployeesatwork.

It has opened the possibility and perspective for career promotion. It has been confirmed in thesatisfaction and motivation survey, that has been conducted among the employees, in the TaxChambercyclically,onceperyear,since2008.

Thequestionnaire:‘AnalysisofthesatisfactionandexpectationsoftheTaxChamberemployees’wasdeveloped for the Criterion 3: People and sub-criterion 3.1 Plan, manage and improve human

resources transparently with regard to strategy and planning, within the framework of the CAF

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methodology.Theobjectiveofthesurvey istoacquireanobjective informationonthesatisfactionlevelandexpectationsoftheheadsofunits,headsoforganisationalunitsandemployeesasregards

the working conditions in the Tax Chamber. The questionnaire, separate for employees andmanagers,wasplacedinthesystem‘Qasystent’,i.e.:theknowledgebaseavailableforeachmemberoftheorganisation.

The survey of the employees’ satisfaction and expectations, that drew the attention of the TaxChamber authorities to possible areas for improvement, was conducted in the Tax Chamber in

Wroclaw in 2012. Below there is a detailed description of motivation and satisfaction surveyconductedinOctober2012.

Thesurveywasplannedandconductedasaquestionnairestudyonthebasisandinaccordancewiththeregulationsincludedinthededicatedinstructionstitled‘Theinvestigationofthesatisfactionandexpectations of the employees’. The form was distributed among the persons via the Qasystent

application. Participation in the survey, directed to all employees of the Tax Chamber inWroclaw(exceptoftheDirectorandVice-DirectorsoftheTaxChamber),wasvoluntaryandfullyanonymous.Thedesirablequestionnairereturnratewasnotestablished.

Thedataincludedinthequestionnairefilled-inelectronically,wasdownloadedfromQasystentwithuse of the reports including: the number of the surveyed employees, the number of the

questionnairesreturned,thenumberoftheanswersforparticularquestionsetc.andthelistsoftheanswersforsocalled‘openquestions’.Onthebasisofthecollecteddata,theaveragevalueswerecalculated,comprisingintherangefrom0upto100(where0meansthelowestscoreand100-the

highest score).Next, fromtheaveragevaluesofallquestions, threearithmeticalaverages (for thewholeofthepersonsunderinvestigation,forthemanagersandfortheemployees)werecalculated,expressedas%values,thatmaybeconsideredasthegeneralindicatorsforthecategoriespresentin

thequestionnaire.

In 2012 the satisfaction level of the employees in the survey was 67.58%; within the employeesgroup the satisfaction level amounted to 65.3%. It was lower by 12.96 percentage points whencompared to that achieved in the group of managers (78.33%). In comparison to the previous

investigation,thesatisfactionlevelofallemployeesincreasedby0.98percentagepoint.Respondents(thewholeoftheemployees)evaluatedbestthefollowing:

• Their own competences (85.96%, an increase by 1.33 percentage point in comparison topreviousinvestigation).

• Goodprofessionalrelationswiththeco-workers(85.70%,adecreaseby0.56percentagepointsincomparisontopreviousinvestigation).

• The employment stability (80.72%, an increase by 1.62 percentage point in comparison to

previousinvestigation).

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Respondentsevaluatedworst:

• A possibility of the professional promotion (42.43%, an increase by 0.66 percentage point in

comparisontopreviousinvestigation).

• ThehousingconditionsoftheOffice,theworksafetyandhealthconditions(50.83%,adecrease

by0.4percentagepointincomparisontopreviousinvestigation).

• TheperceptionoftheOfficebythecustomers(47.76%,anincreaseby1.99percentagepointin

comparisontopreviousinvestigation). As regards the motivation – in 2012 respondents assessed their own commitment to work

performance and organisation on the level of 86.67%. The employee group assessed their owncommitment on the level of 85.42%,with a slight decrease in the ratings compared to 2012. Themanagergroupassessedtheirowncommitmentonthelevelof92.81%,withaslightincreaseinthe

ratingscomparedto2012.In the survey 24-28.09.2012, 172 people filled in the forms, that constituted 61% of the whole

personnel(presentatworkduringthestudy).

Theresultsof thequestionnaire,conducted in2012, indicatedoneof the lowestvalueswithin thepossibilitiesoftheprofessionalpromotion.Therefore,theproposalofdesigningandimplementingof

internal recruitment procedure, developed after the self-assessment,was indicated as a proposedimprovingaction.The teamforCAF indicated thisactionas second themost importantone in theranking. During themeeting of the Tax Chamber topmanagement, after presentation of the self-

assessmentresultsandtheproposalsofimprovementactions,theTaxChamberDirectoraccepted3out of 5 proposed actions for realisation. One of them was ‘Internal recruitment procedure formanagerialpositions’asexplainedinpart2.

In 2016 another survey referring to the employees’ satisfaction and motivation was conducted.

Althoughcontentofthesomequestionsandmethodologyofthestudyhasbeenchanged,accordingtotheachievedresultofthesurvey,employeesatisfactionindicatorwasimprovedandamountedto76%(anincreaseby8.42percentagepointincomparisonto2013).

These results allow assuming that the direction of changes are correct and implemented

improvementsasinternalrecruitmentprocedureformanagerialpositionsbringsthedesiredeffect.

It is important tonotice that theseprocedures are still in force although significantorganisationalchangesfacedbythetaxadministrationinPolandinthemid-2015.Afterconsolidationofthefiscalservices, by a decision of the Director of Tax Chamber, the instruction concerning the CAF self-

assessmentwasrepealed.ThenextCAFself-assessmentoftheorganisationisplannedafterthejoinofthefiscalandcustomservices,plannedbythePolishgovernmentin2016.

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The main reason for designing and implementing of the internal recruitment procedures for

management positionwas information obtained in 2013 from the analysis of the satisfaction andexpectationsof the TaxChamber employees in termsof theprofessional promotion – employees’perceptionofprofessionalpromotionpossibilitiesintheTCHwasoneofthelowestvalue.

Designingoftheinternalrecruitmentprocedurestookplacein3stages:

1. January/February 2014 – analysis of the internal law provisions in order to introduce theprovisionsontheprinciplesandcriteriaof internalrecruitmentformanagerialpositions intheTCHinWroclaw.

2. February2014–designingoftheinternalrecruitmentrulesformanagerialpositionstitled:‘Theprinciples of internal recruitment for the positions that involve leading a team in the TaxChamber in Wroclaw’ and submitting them for the acceptance to the Director of the Tax

Chamber.Thejustificationforintroducingtheprocedureswastoachieve:1)transparentrulesoftheinternalrecruitmentand2)improvedemployee’motivation.

3. 24 February 2014 – acceptance of the internal recruitment rules and their publication in theapplicationQasystentandIntranet.The informationwasalsodistributedamongallemployeesbye-mail.

The current provisions concerning the internal recruitment rules were updated and apply to the

entireLowerSilesiataxadministrationreportingtotheDirectoroftheTaxChamberofWroclaw,i.e.3.515people,equivalentto3.497,31full-timeposts.

Therulesofinternalrecruitmentforthepositions,whichinvolveleadingateamintheTaxChamberinWroclawandtaxofficesofLowerSilesia

'Manager' isunderstoodasthepersoninchargeorsupervisingtheworkoftheorganisationalunit,

which is a separate part of the Chamber or the tax office (e.g. unit, department, division, anindependent division, an independent section, section, multi-person position) established toimplementthetasksdefinedintheorganisationalrulesoftheChamberororganisationalregulations

oftaxoffices.

• In order to fill the vacancy for the position ofmanager, the Director of the Tax Chamber ofWroclawmayannounceaninternalrecruitmentforthevacantpost.Thepersonsupervisingthegivenpositionputforwardthemotiontoconductaninternalrecruitment,viatheHRunit.

• AnemployeeoftheHRunitpreparestheannouncementforthevacancy.Thisincludes,amongothers, the necessary and additional requirements resulting from the job description, theconditionsofsubmissionofanapplicationforamanagerialposition,thedutiesandrightsofthemanagerandthedeadlineforsubmissionofapplications.TheemployeesubmitsitforapprovaltotheDirectoroftheTaxChamberinWroclaw.

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• The announcement of the vacancy is transmitted to the employees of the Tax Chamber inWroclawandthetaxofficesprovinceLowerSilesiaby:- An internal information system, i.e. applications Qasystent, the internet webpage of the

organisation towhich all the employeeshave an access andeven anobligation tobrowsemessages.

- E-mailboxesofallemployees.• Theeffectivenessofthecommunicationisatthehighestlevel.Allemployeescaneasilyfindout

about the internal recruitment, there is no danger that some of themwill not be familiarisedwiththeannouncement.

• Candidatessubmittheiroffer,includingthedescriptionoftheirqualificationsandmotivationtotakeup the job, in themanner specified in theannouncement. Theemployeesof theHRunitregistertheoffers,receivedinresponsetotheannouncementofaninternalrecruitmentforthemanagerposition.

• The director of the Tax Chamber ofWroclaw decides on the composition of the recruitmentcommittee,whichincludesminimum3persons.

• Theemployeesof theHRunit verify if submittedoffersmeet the formal requirements.Offersthatdonotmeettherequirementsarerejected.

• Uniform rules are applicable to all participants of the process. In the course of the internalrecruitment process for themanagerial position, particular attention is put to the principle ofequaltreatment,theprincipleofprofessionalism,theprincipleofindependenceandimpartiality.

• Applicants are invited for an interview. The Commission assesses the candidates, using toolsadapted to the requirements associated with the workplace. The Commission documents itswork. Depending on the number of applications submitted, the commission (composed of atleast3people)providesthedirectoroftheTaxChamberwiththelistof5candidates,arrangedfrom the highest to the lowest number of points that the candidates have received in theprocess.

• The results of the committee's work are presented for approval to the Director of the TaxChamber,viatheHRunit,intheformoftheprotocolfromtheconductedrecruitment.

• The director of the Tax Chamber of Wroclaw makes the final decision on the selection ofacandidate for the managerial position. As a rule, the director should choose the personselectedbythecommittee.

• EmployeesoftheTaxChamberinWroclawareinformedoftheoutcomeofrecruitmentprocessinanystandardform(bye.g.:Qasystentapplications,IntranetIS,e-mail).

Thanks to thedevelopedand implemented improvement, informationon the internal recruitmentprocess for a managerial position is commonly known to all employees and transparent. Whenrecruitingforamanagerialposition,theunitresponsibleforthehumanresourcemanagementintheTaxChambersendstheinformationconcerningtherecruitmentforthemanagerialpositionstothepersonalboxes. Examplesofinternalrecruitmentprocesses,conductedinaccordancewiththeimplementedsolutionare:• SeniorSpecialistManagingIIIMulti-personITposition.• SeniorSpecialistManagingMulti-personCommunicationposition.• SeniorSpecialistManagingIIMulti-personBudgetAccountancyposition.• SeniorSpecialistManagingIIIMulti-personBudgetAccountancyposition.• ManagerIoftheIndependentUnitofGeneralAffairstheTaxChamberinWroclaw.• ManagingoftheMulti-personInternalAuditposition.

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The implemented rules, titled Internal recruitment procedure for managerial positions, were thesubject of verification 6 months after coming into force. The CAF coordinator, responsible for

monitoringthewayhoweachimprovementactionisfunctioning,checkedtheoperatingruleswithinthe framework of conducted supervision. The CAF coordinator verified the number of managersrecruitedaftercomingintoforcetheproceduresandthentheconformityoftheprocesseswiththe

procedure (ifeveryonewasproperly informedabout the recruitmentprocess, thewayofverifyingtheapplication,whoconductedinterviews).


The approach that led to the chosen project is based on general rules related to the CAF self-

assessment and implementation of the improving action plan binding in the Tax Chamber inWroclaw.Itisexplainedindetailunderpart1.

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Slovakia

Case:Theuseof6Ϭ(Lean–SixSigma)forstreamliningprocesses in the Implementation Agency of SlovakMinistryofEmployment,SocialAffairsandFamily

TheImplementationAgencyofSlovakMinistryofEmployment,SocialAffairsandFamily(IAMPSVRSR)Slovakia

PavelVečeřaQualitymanagerE-mail:[email protected]

Sectoroftheorganisation:Socialservices&socialsecurity

Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):

Criterion:5Processes,sub-criteria:5.1Identify,design,manageandinnovateprocessesonanon-goingbasis,involvingthestakeholders


The Implementation Agency of the Slovak Ministry of Employment, Social Affairs and Family (IAMPSVRSR)isimplementingCAFinitsmanagementsystemsince2015,butinfactIAMPSVRSRjustfollowedactivitiesofitspredecessor,theSocialImplementationAgency,anEffectiveCAFUsersince

2013.

Theactual ImprovementPlanwasdesigned inJune,2015and itsconsequencesarevisible inmanyareas.Thedevelopmentoftheprocessapproachintheorganisationisrepresentedintwoapproved

activities.Herearesomeexamplesfromtheareaofprocessapproach(Criterion5):

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Results 2015* 2016*

%ofemployeeswithaccesstosoftwaresupportforprocessmanagement 2% 100%

Nr.ofvisitedorganisationswiththepurposeofbenchlearning(incl.areaofprocessapproach)inthehomecountry

0 2

Nr.ofvisitedorganisationswiththepurposeofbenchlearning(incl.areaofprocessapproach)abroad

0 3

Nr.ofpartnerorganisationsforbenchlearning(incl.areaofprocessapproach)abroad 0 2

Nr.ofemployeestrainedinspecificTQMmethods:toolsusedinprocessmanagement 1** 5**

Nr.ofprocessdesignersinorganisation 2** 4**

*meantbythebeginningoftheyear

**total:250employeesby2015/01/01and198employeesby2016/01/01

Results 2015* 2016*

Nr.ofemployeestrained/certifiedinPRINCE2®Foundationlev.themethodologyusedfordesignofprocessesinNationalProjectsimplementation

2/2** 70/68**

Nr.ofemployeestrained/certifiedinPRINCE2®Practitionerlev.themethodologyusedfordesignofprocessesinNationalProjectsimplementation

1/1** 11/7**

%ofNationalProjectsmanagedbyprocesseswithPRINCE2®methodologyintegrated

0% 20%

TheeffectivenessofthemeasurementsystemusedinprocessmanagementintheareaofDemand-DrivenProjectsimplementation(1worst–10best)

2–randomaudit

6-measurewithouthumaninfluence

Nr.ofactivitiesintheareaofthesocialresponsibilityplannedfortheyear(througheasiercreationandmanagementofad-hocteams)

5 12

*meantbythebeginningoftheyear

**total:250employeesby2015/01/01and198employeesby2016/01/01

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Although the realised actions from the improvement plan were sometimes not popular, theemployee satisfaction showed growth. Next graph indicates main changes in satisfaction of

employeesinvariousareas(differencebetweenApril2015andNovember2015).

ComparisonoftheemployeesatisfactionsurveyspercentagedifferencebetweenAprilandNovember,2015


Theyear2015representstheyearofactivitiesrelatedtoendingtheprogrammingperiod2007-2013of the European Commission. The realised self-assessment helped by evaluating, defining and

prioritisingtheproblemsthatneedtobesolvedinthenextfundingprogrammingperiod2014-2020.

ThecustomersatisfactionsurveymadeonApril2015showedthatthereweresomeproblemsintheprocesseswithvarious importance.Customerorientedresultswastheworstevaluatedcriterionatall (right after the social responsibility results). That´s why the importance of the priority index

(describedinthepart3)wassohighbysuggestionsfor improvement intheareaofkeyprocesses,

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preferably with the positive synergy in social responsibility. Because, if you want to have moresatisfiedcustomers,youmustchangeyourkeyprocesses.

The mission was clear: we have to set up a key process to be able to satisfy our customer and

respond to the regulatory requirements. The system should allow fast access to data for allemployees,clarifyalltherelationsintheaudittrail,whereallemployeescanfindtheircompetencestotheirprocesses,subprocesses,activitiesandtypeofresponsibilitylikee.g.‘performs’,‘deputises’,

‘approves’, ‘signs’, ‘cooperates’, ‘is informed’etc.togetherwiththepossibilityofthe integrationofthePRINCE2®methodologyintorelevantprocesses.Secondarythesystemshouldbeabletosupportthe creation of ad-hoc teams andwork as a basic platform for benchlearning/benchmarkingwith

otherpartnersathomeandabroad.Sixsigma(lean6Ϭ)wasselectedasabasic tool tostreamlinekey processes with its data-driven improvement cycle DMAIC. The single steps of the cycle aredescribedindetailbelow.

D–Definephase

If you want to improve (lean) some of your processes, just be sure, that your process is clearlydescribed. In fact, this canhelp youdefine all components needed inother tools later (like SIPOCDiagramorQualityfunctiondeployment(QFD)).

Thestartingpointforoureffortsintheprocessimprovementwasthefactthatourorganisationhas

prepareddetailedflowchartsbasedongraphicswimlanediagramsforallofthekeyprocesses.Thisisthefirstonesimplystep,whichcanbedoneineveryorganisationinashorttime.Therearemany

variousfreesoftwaretoolsthatcanhelpandmaketheworkwithdiagramsmuchmoreeffective.

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Keyprocess:‘Administrationofpaymentrequest’–e.g.hereinswimlanes(situationbeforeimprovement)

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TheelaborationoftheProjectcharterinthisstepwasnoteasybecauseofthevarietyofcustomers’needs.Whenwewantedtosettheprimarymetric(datathatwewillimprove),theQualityfunction

deployment (QFD) method helped us to transform customer needs (VOC) into engineeringcharacteristicsfortheofferedservice.

QFDI:withweightofcustomers’requirementstransformedintoKPIs

BasedonQFD,thelead-timeoftheadministrationandthenumberofrequestsofcompletionofthedocumentationwere set up as theprimarymetrics. Secondarymetric (thatwewill not change) isrepresentedbythenumberofemployees,wagecostsandthenumberofprojectsadministratedby

oneemployee.

M–Measurephase

It´sallabouthowcanyoutrusttothedatayouaremeasuring.OurMeasuresystemanalysis(MSA)

basically shows e.g. the disability of project manager–newcomer for defect identification in theadministrationprocess.That´swhywedon´tneedtocancelthefour-eyesprinciplecontrol,whenthecontrolprocessadministeredbyprojectmanager isrevisedbysupervisor.Enhancedtrainingswere

automaticallyaddedtotheadaptationprocess.

A–Analysephase

Usuallyyouhavetousemanyvarioustoolstofindandanalyseproblemsinyourprocess.Youcannotonlyseeyourcurrentsituationindetailbutyouhavealsotoexaminethedevelopmentintime.Theanalysisevaluatesalltheprevioussolutions.

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Firstwewant to knowhow the variables or data thatweworkwith are in relationshipwith eachother.Forthisanalyseweusecorrelationdiagrams.Thenweneedtoknow,howdataarechanging

intime.

IndividualControlChart:e.g.fordevelopmentofadministrationofapplicationsforpayment(AfP)correspondingtocallsforproposal2012-2013(administeredJanuary2015-September2015)withhistogram

Ifallthedataareavailableandreliable,itispossibletomakeadetailedanalysisore.g.thedesignof

experiments(DoE).Thankstothis,weknowthattheageofprojectmanagerhasthegreatestimpactonhisperformanceandstabilityinthisprocess.Greaterthane.g.thesalaryorpraxis.

But sometimes data are missing or lost. When the process is clearly described, there is still thepossibilitytomakeFailuremodeandeffectsanalysis(FMEA).Ithelpsorientimprovementactivities

toareasofprocessstepswithhigherpriorityandimpact.

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FMEAforthekeyprocess:‘AdministrationofApplicationforpayment(AfP)’

Redboxesbasicallyindicateallprocessstepsandconcretesituations,wheretheRiskPriorityNumber(RPN) is high (in our organisation 200 andmore from1000potential). Proposals for improvementactionssubsequentlyreduceRPNbelowtherequiredlimit.

I–Improvephase

Itisourpractice,thatallsuggestedactivitiesareintegratedintoCAFImprovementplanasanupdate.

C–Controlphase

Our implemented management information system helps us now to manage and standardise allimprovementsinprocesses.

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Leanedkeyprocess:‘AdministrationofAfP’inmanagementinformationsystem

147

148

Leanedkeyprocess:‘AdministrationofAfP’inmanagementinformationsystem–detail

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Ourprioritisationprocessisdeterminedbyafewpremises:

1. People (excepting CAF teammembers and some representatives of top management) don´t

read the complete self-assessment report even when we implement all activities from thecommunication plan for the self-assessment phase andwe inform them all shortly about themain results (strengths and areas for improvement) after the end of the self-assessment

process. That´s why we offer to all employees the opportunity to send any proposal forimprovement(evenanonymously).Experiencehasshownus,thatinthiswaywewillgetmoreproposalsasintheprocessofconsiderationoftheself-assessmentreport.

2. Scoring in the self-assessment report basically shows the importance of the proposedimprovement actions regarding the 9 criteria of the CAF model, but not regarding thefulfilmentofthe8principlesofexcellence.That´swhyaftercollectingofallthesuggestionsfor

improvement, we usually arrange ameeting of the topmanagement with the CAF team. Allparticipantsgetasummaryoftheproposalsdividedinto:a. CAFcriteria(CC)

b. CAFprinciplesofexcellence(PoE)

Thismeetingstartsthenwiththeanalysisofthefulfilmentofprinciplesofexcellence,basedonthequestionnaireusedintheCAFExternalFeedbackprocedure(3rdpillar).TheanalysisismadeinsmallgroupsanditsresultcreatesthebasisforthePoEindex.

Finallywecansetuptwodifferentindexes:

1. Index depending on the CAF evaluation criteria (ICC) that basically shows urgency for

individual suggestion for improvementbasedon self-assessment (0points for criterion inself-assessmentmeansICC=1or100%urgency).

2. Index depending on 8 principles of excellence (IPoE): if we analyse that we are in thematuritylevelingeneralprincipleofexcellence,thenIPoE=0or0%andconversely.

3. The consensual scoring used in the self-assessment report is more accurate than the

consensualratingofprinciplesofexcellencebasedonCAFExternalFeedbackprocedure. It isbecausethescoringscaleinthecaseofself-assessmentisbetween0-100andtheprocessoftheself-assessment is more complex. We always evaluate every sub-criteria, every example

separately–thatiswhytheconsensusmeetingtakeusuallytwodays(atleast).Thescaleinthecase of rating the principles of excellence is based only on 4 levels (0, Initiation, Realisation,Maturity–wemodifytheminto0-100scale)andwemakeevaluationusuallyonaworkshopin

smallseparategroups.

That´swhyweusevariousscalesforthefinalpriorityindex(Ip):Ip=0,6*ICC+0,4*IPoE

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Slovenia

Case:TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje

AdministrativeUnitCeljeSlovenia

Damjan Vrečko Head of AU Celje Tel.: +38634265300 E-mail: [email protected]

Saša Košenina Tel.:+38634265428 E-mail: [email protected] http://www.uis.si

Sector of the organisation: Regional and local administration

Reference number of the sub-criteria of the CAF enablers related to the good practice(s): Sub-criteria 4.1 and 4.4


The implementationof theAdministrativeand InformationServiceSystemCelje (hereinafter:AISS)primarilyrepresentstheimprovementofadministrativeservicesandtheconsequentincreaseofthe

administrative standard. It makes it possible for users of our services to find answers to generalquestions in relationtomanyadministrativematters inoneplacewhile theydonotneedtoknowwhichadministrativeauthorityhasjurisdictioninthematter.Togaininformation,clientsdonothave

togotothepremisesoftheauthoritiesbecausetheyareabletoobtainalltheinformationontheirpersonalcomputer.ThroughAISS,164requestedpiecesofinformationwereprovidedtoourclientsin2010,154in2011,165in2012,227in2013,213in2014,and162in2015.AISShasbeenoperating

forsixyearsand,inthistime,ithasbeenvisitedby47.500peopleoraveragelyby8000visitorsperyear.Eachvisitorchecks2.89pagesofonlineserviceonaverage(sub-criterion6.1.CAF).

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Access toupdated information is availablenotonly to clients from theCelje area, but also clients

from other parts of Slovenia and to inhabitants of other countries who are managing theiradministrative affairs in the Republic of Slovenia. Itwas discovered throughGoogle Analytics thatmostAISSvisitorsarefromLjubljana(40.57%),Celje(22.80%),Maribor(9.66%),NovoMesto(2.46%),

Velenje (2.28%) and Koper (2.11%). Themajority of AISS visitors are from Slovenia (95%) and theother5%arefromtheUSA,Croatia,Serbia,Germany,BosniaandHerzegovina,Austria,Russia,andSwitzerland.

Since 2003, the Celje Administrative Unit (Celje AU) has been interviewing clients about their

satisfactionwiththeworkofCeljeAU.Eachyear,thelevelofourclients'satisfactionhasbeenhigh.Interviews in 2012 and 2014, which were done after the implementation of AISS, showed thatsatisfactionincreasedevenmore.ThequalityofCeljeAUserviceswasgivenascoreof4.67in2012

and4.79in2014(sub-criterion9.1.CAF).

Table1:ClientsatisfactionscoreswithregardtotheworkofCeljeAU

Year Client satisfactionscore

2009 4.63 BeforeimplementationofAISS

2010 4.62

2012 4.67 AfterimplementationofAISS

2014 4.79

InterviewsofCeljeAUclientsarealsousedtomeasureourclients'satisfactionwithaccessibilityand

understandability of the information they need. Firstly, users score their expectations (E) uponcomingtoCeljeAUandthentheyscoretheperceptionoractualcondition(P).TheactualconditionorperceptionofallintervieweesishigherthantheirexpectationsbeforetheycametoCeljeAU.The

difference between perception and expectation has been increasing each year. It has beendiscovered that, after the implementation of AISS, the accessibility and understandability ofinformationhaveimprovedandtheyhavebeenexceedingexpectationsofourclients(Table2)(sub-

criterion6.2.CAF).

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Table2:Comparisonofclients'perception(P)andexpectations(E)relatingtotheaccessibilityandunderstandabilityofinformationneeded

Year Expectations(E)

Perception oractual

condition(P)

Differencebetween

expectationsandperception

2009 3.79 4.51 0.72 BeforetheimplementationofAISS

2010 3.92 4.55 0.63

2012 3.76 4.54 0.78 AftertheimplementationofAISS

2014 3.79 4.69 0.9

SinceAISShasbeen implementedatCeljeAU, the shareof clientswhoobtain informationon themanagement of their affairs online has been increasing and it is higher than the average in the

RepublicofSlovenia.Therewere12.20%ofsuchclientsin2009,13.78%in2010,15.48%in2012,and15.87%in2014.

AISSwasmadeand isnowdevelopingasacommonprojectwithotherstateauthorities, localself-government authorities, and other public sector organisations in the area of Celje (hereinafter:

authorities). Celje AUmonitors and evaluates how results of different partnerships are achieved.Amongotherthings,theauthoritiesinvolvedareinterviewedabouttheirsatisfactionwithCeljeAU'swork. It has been discovered that, after the implementation of AISS, cooperation between the

authoritiesinourareahasadditionallyimprovedandthatsatisfactionofotherauthoritieswithCeljeAU'sworkhas considerably increased (sub-criterion8.2.CAF).CeljeAUhadbeenmeasuringotherauthorities'satisfactionwith itsworkevenbeforethe implementationofAISS in2006,2007,2008,

and 2009. The satisfaction was scored highly each year (average score: 3.93 - 4.26). The firstinterviews after the implementation took place in 2012. After the implementation of AISS, thesatisfactionwithCeljeAU’sworkincreasedsignificantly(averagescore:4,88).Authoritiesinthearea

ofCeljewillbeinterviewedagainattheendof2016,inaccordancewithouractionplan.

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Table3:ScoresofthesatisfactionofCeljeareaauthoritieswiththeworkofCeljeUE

year Score of authorities' satisfaction

2006 3.93 Before the implementation of AISS

2007 4.26

2008 4.14 After the implementation of AISS

2009 4.10

2012 4.88

The information obtained through AISS enable our clients to file complete claims to different authorities and local government offices with all necessary attachments. This is why authorities are able to resolve such claims more effectively and within legal time limits (30-60 days). Celje AU constantly monitors the number of matters resolved after the expiry of the legal time limit. After the implementation of AISS, there was an immediate (as early as 2010) decrease in the number of matters resolved after the expiry of the legal time limit. In 2013, 2014, and 2015, Celje AU resolved all matters before the expiry of legal time limits and was operating with no delays.

Table4:Numberofcasesresolvedaftertheexpiryofthelegaltimelimitinthe2008-2015period

Year Number of cases resolved after the expiry of the legal time limit

2008 31 Before the implementation of AISS

2009 15

2010 7 After the implementation of AISS

2011 7

2012 3

2013 0

2014 0

2015 0

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The added value of AISS with regard to the improvement of the quality of our services was also recognised by the Regional Chamber of Commerce in Celje, which gave Celje AU a bronze award for innovation in 2011 (sub-criterion 9.2.)

Figure 1: Regional Chamber of Commerce Celje Award Ceremony,where the bronze awardwasreceivedinJune2011


Celje AU has been answering our clients’ questions relating to administrative matters in different media for a few years now. It has been discovered that the Celje AU is not competent to answer many of these questions, but this is in the jurisdiction of other authorities. Clients have been asking questions regarding taxes, inspectional procedures, health and retirement insurance, employment, social services and much more that is not in the jurisdiction of Celje AU. Several times, questions were received, for which only partial answers were possible because, according to jurisdiction, more authorities would be needed to provide complete information.

Considering that the Republic of Slovenia does not have administrative districts and regions, authorities work independently on the territorial level in the area of their jurisdiction. According to dispersed activities of the authorities, good cooperation is that much more important to provide effective administrative services.

Therefore, a decision was reached to offer our clients online, interactive, publicly accessible service where clients will obtain answers to general questions about administrative matters in one place. To gain information, clients will not have to go to the premises of the authorities, because they will be able to obtain all information online on their personal computer. Furthermore, they will not have to know exactly in jurisdiction of which authority the matter of their question is (sub-criterion 4.4 CAF).

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The Head of Celje AU, Damjan Vrečko, has presented the idea about AISS online service to the heads of authorities operating together within the Coordination Advisory Committee of the Head of the Celje Administrative Unit. Heads of all mentioned authorities have supported the idea and have joined the common project of introducing AISS to practice (sub-criterion 4.1. CAF).

In February 2010, Celje AU signed the agreement on the establishment of AISS with all of the authorities who committed to participate in accordance with standards agreed upon in advance. An agreement was reached that the executive editor of the online service (online administrator) will be employed by Celje AU. Each of the authorities agreed to appoint a sectoral editor within their authority who will be responsible for preparing answers in the area of their jurisdiction. In the agreement, all of the authorities undertook to answer the questions in the shortest time possible, preferably in three days after receiving the question in the notification system.

That is how the Administrative Information Service System was invented. AISS has been active on the website www.uis.si since 31th of March 2010.

Figure2:AISSHomepage,www.uis.si

22 authorities provide answers to our clients within AISS. There are Celje AU, four municipalities, police and authorities that are working in the fields of environment, spatial planning, agriculture, surveying and mapping, finances, health, retirement and disability insurance, veterinary, food safety, employment, social work, protection against natural and other disasters...

AISS works by allowing clients to ask questions through an online form. If they want to receive the answer by e-mail, they can provide their e-mail address. Each question asked on our web site is processed by the executive editor of AISS, who works at the Celje AU. He examines the question, publishes it online and forwards it (tickets it in the system) to the sectoral editor of the authority which has jurisdiction over the topic of the question. The system sends a notification about the question and a link to the question in the online service by e-mail to the sectoral editor. The sectoral editor logs into the AISS with a user name and a password and prepares an answer to the question, The executive editor (online administrator) publishes the answer and marks it as ‘finished’. At this point, the system

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sends an e-mail with the answer to the asked question to the client's e-mail address in case the client provided it in the online form upon asking the question.

Clients that do not list their e-mail address upon asking the question can see the answer on the web page www.uis.si.

Furthermore, clients can track the status of their question. All newly received questions which were published and assigned by executive editor to the sectoral editor from the authority which has jurisdiction over the matter of the question have the status ‘new.’ The status ‘pending’ means that the sectoral editor is preparing the answer. The status ‘finished’ is for all already answered questions. When the executive editor (online administrator) assigns the status 'finished' to the question, the e-mail is sent to the client who asked the question and also provided their e-mail address.

All questions and answers are published online. They form a database, so clients who do not ask questions themselves can find answers as well. Questions and answers can be found by areas, authorities, statuses and by means of a search engine. The operation and use of AISS are easy and user-friendly.

All of the authorities who are cooperating within AISS try to answer the questions in the shortest time possible. The reaction time needed for answering the questions is constantly monitored and measures are immediately taken when the preparation of an answer takes too long. Most of the questions in AISS are answered the same or the next day, and the average time for the preparation of the answer is from four to six days. This time is successfully becoming shorter. Our goal is to answer all questions in fewer than three days.

Heads of the authorities that are cooperating in the AISS in addition to Celje AU introduced the launch of AISS at the press conference in April 2010. AISS was also introduced at the Days of Slovenian Public Administration in Portorož in September 2010.

Figure3:TheHeadoftheCeljeAdministrativeUnitintroducingAISSattheDaysofSlovenianPublicAdministrationinPortorožinSeptember2010

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AISS is the result of the development of a common partnership with other authorities in the public sector in the area of Celje (sub-criterion 5.3. CAF).

By implementing the AISS, we improved the satisfaction of our clients (sub-criterion 6.1. CAF). We improved and enabled access to updated information not only to clients from the area of Celje, but also to clients from other parts of Slovenia and from other countries (sub-criterion 6.2. CAF).

Clients who file claims at Celje AU and at other authorities that are cooperating within the AISS can gain information even before filing their claim. This helps authorities resolve the claims even before the expiry of legal time limits. At Celje AU, the number of cases resolved after the expiry of a legal time limit decreased and, in last three years, all cases have been resolved before the expiry of the legal time limit, which means that the Celje AU has been operating without any administrative delays.

Regular meetings of the Coordination Advisory Committee of the Head of the Celje Administrative Unit with the other authorities are held in order to monitor the operation of the AISS, what the reactive times are, and new solutions for improving the AISS are sought.


After the self-assessment with the CAF model was performed at Celje AU in 2006, the action plan with measures was adopted, in which Criterion 4: Partnership and Resources, included the measure ‘Proactive informing of clients through the Celje AU web page and the media', which should be performed as a permanent task. We assigned second stage priority to this measure.

Celje AU continues to effectively inform clients in various ways about its services and it looks for new ways of doing this. Our web site includes information on new and changed legislation that influences administrative proceedings. For a number of consecutive years, Celje UA has been answering its clients' questions about administrative matters in different media. It has presented its work at different trade conventions and other events.

AISS is the result of the strategical decision reached by the Celje AU management. Damjan Vrečko, the winner of the Golden Swallow Award for the best manager in Public Administration in 2007 and the Head of the Celje Administrative Unit, prepared a plan to provide information in the fastest, most effective, and client-friendly way possible, regardless of which authority is responsible for such information. He believes that clients primarily do not need to know the delimitation of working areas between different authorities.

There are 22 independent authorities cooperating in the AISS. Celje AU is not superior to these authorities, but it acts as their coordinator. Celje AU is putting a lot of positive energy into this cooperation, which is always excellent and high-quality.

The vision of Celje AU is performing administrative services in a legal, effective, innovative and client-friendly way. What is more, it wishes to develop a high level of trust from its clients with regard to the performance of our procedures and the satisfaction of its employees.

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Spain

Case:WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment

BenidormTreasuryDepartmentSpain

AntonioCholbiE-mail:[email protected]

IsabelFuster

E-mail:[email protected]:Regionalandlocaladministration

The treasurydepartmentof theCityCouncilofBenidorm is amanagement centre incorporated inthe economic area of the Finance Department. Its mission is to issue tax assessments and other

publicrevenuesthatemergefrompublicservicesprovidedbytheCityCouncilandtomanageothereconomic processes such as payments to suppliers or the refund of bank guarantees, etc. Thetreasurycountsonastaffof14people.Thetreasurydepartmenthasitsheadquarterslocatedonthe

ground floor in themain building of the City Hall, 14 deconcentratedmanagement centres and 5externaladministrativeoffices(outsidethemainbuilding)inthevariousneighbourhoodsofthecity.

Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criterion1.3Criterion2:Strategyandplanning,sub-criteria2.1,2.2

Criterion3:People,sub-criteria3.1,3.2,3.3Criterion4:PartnershipsandResources,sub-criteria4.1,4.2,4.4,4.5Criterion5:Processes,sub-criteria5.1,5.2,5.3

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Criterion6:Citizen/Customer-oriented

Increasingsatisfactionofcitizens.Surveys:generalaveragescoreof8.30points in2013to8.92 in2015.

Resultsinadaptationtonewtechnologies,increaseduseeveryyear(implementedin2014):

Electronic Work Volume 2014 2015

Aimed at citizens processes Number of processes initiated online 429 694

Total number of administrative steps 11.333 20.795

Internal work processes Number of processes initiated online 45 46

Total number of administrative steps 1.018 1.120

Processes regarding administrative task Number of processes 1.495 1.175

Total number of administrative steps 21.574 17.405 Resultsinuseofcorporatecashdispensers,installedtofacilitatethetaskofpayinginsitu:

Corporate Cash Dispenser (number of monthly operations)

Jan. Feb. Mar. Apr. May Jun. Jul. Aug. Sep. Oct. Nov. Dec.

2013 495 456 448 387 366 448 600 280 484 306 295 282

2014 453 453 391 382 395 874 514 227 492 325 305 342

2015 373 388 365 330 303 760 506 255 405 335 462 228

Satisfaction and demand survey

7,437,82

8 ,30

0 ,00

7,92 8 ,05 8 ,27 7,969 ,30 9 ,27 8 ,42

8 ,92

0,00

2,50

5,00

7,50

10,00

General Satisfaction w ithpayment systems

Satisfaction w ithadaptation to new

technologies

Satisfaction w ithService Charter

20132014

2015

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Resultsinusingnewtoolstofacilitatethetaskofpayingandbookingactivities:

PaymentGatewayinwebsite Deporwin1:Requestandbookingoflocalfacilitiesandcourses

Numberoftransactions Income Numberofoperations Income

2013 1.132124.693,85

€ 0 0€

2014 1.457130.536,85

€ 6.763 69.362,95€

2015 1.360126.048,10

€ 3.972(Somebookingstransferredtoconcessionaire) 61.758,37€

TotalofSUMA2CallCenterreceivedcalls:in2013:9.993,in2014:11.818.andin2015:6.283(othersstillappearinpersonoruseinternet).Resultsinsavingsasaresultoftheimplementationofnewtechnologies:

SAVINGS 2013 2013 2014 2014 2015 2015

Estimatedper

operation3Operations Estimated Operations Estimated Operations Estimated

Startofelectronicfile 75€ - - 429 32.175,00€ 807 60.525,00€

PDAspromptnotificationdiscount(reductionoftimefrom26%to50%) 60€ 20.559 1.233.540,00€ 16.840 1.010.400,00€ 16.202 972.120,00€

Deporwinimmediateconclusion 200€ - - 3.627 725.400,00€ 3.969 793.800,00€

Deporwinpromptresponse(reductionoftimefrom26%to50%) 60€ - - 3.084 185.040,00€ - -

TOTAL 1.233.540,00€ 1.953.015,00€ 1.826.445,00€

Whatweinferfromallthedataprovidedinthesegraphsisthattheimplementationofnewtoolshasmadepeoplefeelmoresatisfiedwithalltheservicesprovided,evenifsomenewtoolsarenotusedmoreoftenthanthepreviousyear. Insomeitemsthescore in2014was lowerasnewinnovationsemployedtooksometimetobeinstalled.

1Softwaretobookculturalandsportfacilitiesandactivities.2SUMAisthedelegatedtaxmanagementbodyinmattersoffeesandtaxes.3SavingscalculatedaccordingtotheHandbookofadministrativesimplificationandreductioninadministrative

burdensforGeneralAdministrationeditedbytheMinistryofFinanceandPublicAdministrationin2014.

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Criterion7:People

Increasingsatisfactionofemployees.Surveys:generalaveragescoreof7.71pointsin2013to8.18in2015 and very high satisfaction increasing in many items, so this means that everything done ismakingemployeesfeelbetter.

Criterion8:SocialResponsibility

Socialresponsibilityactivitiesby: 2014 2015

Hidraqua4 8activities 8Activities

Caixabank5 6activities 8Activities

SUMAGestiónTributaria 1activity 4Activities

Total 15activities 20Activities

4HidraquaisthewatersupplierinBenidorm(privatecompany).5CaixabankisthebankthatactsasonlymanagerofallbankactivitieswhichhavetodowithBenidormTownCouncil,sothatistheonetocontactotherbanksandunifyalltherevenueanduseoftelematics.

Staff surveys

8,18

7,177,71

7,00

8,00

9,00

10,00

2013 2014 2015

Evolution of very satisfied employees' perception

36,445,554,5

7,114,3 18,2

63,6

21,4

100

64,3

50,0

62,5

42,9

0

20

40

60

80

100

2013 2014 2015

Monitoring of agreed goals

Work-life balance

Participation in decision-making regardingw orkplace and w ork environment

Ways to pass along complaints, suggestionsand needs to the manager team

Working atmosphere

Satisfaction w ith training plan

Satisfaction w itn empow erment

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OneoftheactivitiescarriedoutbySUMA: 2013 2014 2015

Helptofilltaxreturnsforpeoplewhocan’taffordpayingaconsultancy 456 445 461Socialresponsibilityisakeyconcerninperiodsofeconomiccrisisastheonewearegoingthrough,andactivitiesarenotonly focusedonculturalandsportactivities forchildren,butalsoonhelpingpeopleto,forexample,fulfiltheireconomicduties.

Criterion9:KeyPerformance

TaxsettlementscollectedbyTreasuryDepartment n.º2013 Amount2013 n.º2014 Amount2014 n.º2015 Amount2015

Directtaxcollection(LandValueAppreciation) 5.380 5.121.860,47€ 4.743 5.574.865,74€ 4.237 5.663.262,54€

Indirecttaxation(Taxonconstruction,installationsandbuildingworks) 923 328.470,22€ 1.139 373.230,76€ 1.270 1.196.141,71€

Feesandotherincome 19.941 10.216.424,34€ 20.115 10.891.447,19€ 16.908 8.921.470,65€

TaxsettlementscollectedbySUMA:IndependentTaxAdministrationBody

n.º2013 Amount2013 n.º2014 Amount2014 n.º2015 Amount2015

Directtaxcollection(Property,road,business) 133.423 41.923.324,18€ 133.372 42.148.535,61€ 133.410 42.721.648,18€

Indirecttaxation - - - - - -

Feesandotherincome(Solidurbanwastetax,...) 93.173 14.728.050,28€ 89.612 13.428.265,05€ 88.678 13.102.498,52€

Self-assessmentspaid(thecitizensettlesthepaymenthimselfaccordingtocityordinances) - - 8.748 117.256,67€ 5.706 112.068.07€

Theprevious tables showhow theglobal amountof revenue varies according to the years, thesedata cannot be much influenced unless the City Council changes the ordinances (increasing ordecreasingpercentages)ortherealestatemarketbeginstobuildagain(asitishappeningfrom2014withTaxesonconstruction).

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Percentageoftaxsettlements'collection 2012 2013 2014 2015

Duringthevoluntaryperiod(treasury) 90,78 91,11 92,00 89,41

Duringthevoluntaryperiod(SUMA) 91,21 90,06 90,04 90,63

Duringtheenforcementperiod(SUMA) 92,52 91,46 87,51 32,426

Self-assessments - - 100,00 100,00

Sanctioningsystem 2013 2014 2015

PercentageimposedbyPDA 80,31% 76,54% 78,46%

Amountcollected 2.590.640,00€ 2.313.620,00€ 2.267.811,00€

Thepreviousdatashowhowtheglobalsystemisadoptingnewtools,wecanseethatduringthefirstyearthereisaboomtousenewelementsandthenitissettleddown.

Otherrelevanteconomicdata

EconomicTransparency(TransparencyInternationalIndexformunicipalities-ITA)

Itwas14,3in2012anditachieved81,8in2014

Complaintsfiled Decreasingfrom88.930in2013to17.242in2015

Paymentaverageperiod Decreasingfrom69daysin2012to33in2015

Indebtednesslevel Decreasingfrom102,1%in2012to75,6%in2015

Localdebtamount Decreasingfrom130.604.414,22€in2012to87.530.683,09€in2015

Thistablegathersthemainresults,aftersomeeffortsdoneonparticularitems:forexample,ahugeeffort was done to enhance the information published on the webpage and so ITA score hasincreased, or also for example, the fact of usingmore electronic devices which reduces the time

takentopayinvoices.

6Stillcollectionforanotheryear

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The treasury department was an old-fashioned department whichhad not been the subject ofmany changes formany years. It hasbeen only since 2006when the new Treasurer arrived that a new

system began to be implemented based on managerial andorganisational techniques. A first strategic plan was implementedfrom2010to2012andmanychangestookplaceanditwasin2013

when the management team realised that the organisation wasmatureenoughtotakeastepfurther.Aself-assessmentwascarriedoutandasecondstrategicplanwasdeveloped,soinsomewayalltheimprovementshavetodowithCriterion2.

AffectingCriteria1,2,3and4

Inordertoachievebetterresults insurveys(satisfactionandworkclimate)anda lowernumberofcomplaints,aninformationexchangesystemwasestablishedthatincluded:

• thesystemofsurveysitself,tocollectrelevantdata;

• regular group meetings and two professional social communities to collect concerns, get

feedback and communicate activities with: employees, politicians, other departments,partners,suppliersofsoftwareandcolleaguesworkingforotherpublicadministrations;

• anewsystemofcomplaintsandsuggestionstocollectcitizens’concerns.

Theestablishmentofregularsurveysandmeetingshasbeenacornerstoneforalmostallouractivities:fortheinnovationfieldwith improvement teams (software,paymentmethods,

SUMA,andothers),forinterchanginginformationwithallthestakeholdersmentionedandithasalsobeenthebestwaytocollect new suggestions and listening to the different needs

andcomplaints.Wealsodecidedtogatherbetterinformationaboutdifferentitemsofourinterestbymeansofcreatingtwosocialcommunitiesrelatedtoqualitymanagementtogetintouchwithothercolleaguesandshareexperienceswiththem.

To implementbothsystems(surveysandmeetings), themanagementteamestablishedacalendar

andpresentedittolocalauthoritieswhoratifiedtheagreementsinofficialdocuments.Inthecaseofsurveys, the technical specifications were fixed, budgets were requested and contracts were

awarded,surveyswerecarriedoutandconclusionsweremet,

andsoisdoneeveryyearsince2013.Inthecaseofmeetings,there isadifferentfrequencydependingonthestakeholders.Forexample,meetingswithemployeesindividuallytakeplace

onceayearandingroupsseveraltimesayear,whilemeetingswithpoliticiansareheldonceaweek.Suppliersofsoftwareare

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invitedmore frequently when implementing new tools and less frequently during the rest of the

year.Regardingthesocialcommunities,itisadvisabletopublishatleastonesubjectamonth.Forallthesethreeitems,oneofthemanagersisresponsibleforarrangingmeetings,preparecontractsandpublishthethreads.

Theobstaclesfacedwere:1.Noneofthepersonsintheself-assessmentteamhaddonesomething

similarbeforeandtheyfeltstrangejudgingthefacilitiesandtheworkdone.Soitwasnecessarytoexplainhowthiswasgoingtohelp intheevolutionofthedepartment,2.Nobodywasusedtothesystemofregularmeetingsandsometimes itwasdifficult toestablishadate forameeting. Itwas

throughinsistencethatmeetingswereheld,3.Customersdidnotwanttocollaboratewithsurveysduringthefirstyear(astheywerereluctanttogivethatkindofopinions).Moreexplanationthantheoneweoffertodaywasneededbeforefillingthesurveys.4.Employeesdonotuseveryfrequently

thesocialcommunities,buttheydoreadeverythingthatisposted.Inthisfield,wecannottalkaboutmistakes.WhatwehavedoneistoworkwiththePDCAcycleand,forexample,wehaveaddednewquestionsorchangedthetextinthesurveyscarriedoutbothwithcitizensandemployeestogather

informationthatismoreaccurate.

AffectingCriteria2and3

Inordertoachievebetterresults,specificallyinstaffsurveys,atrainingplanwasalsodefinedasbig

concern in the strategicplanabovementionedandanEmployeeHandbookwasdesigned, asbothaspectshadbeenneglectedduringmanyyearsbypreviousmanagers.

A calendar for general training was notnecessary in this case, as the application

period corresponds to the HumanResourcesDepartment. The field toworkhere was to focus on developing

individual skills, so the managersassessed individually which were theabilities to enhance in each case. Apart

from that, there was a specific trainingprogramme for theDepartment and the self-assessment teamonqualitymatters and introducingCAF 2013 thatwas agreedwith AEVAL (the National Agency for supporting and evaluating public

policiesandprogrammes).Acalendarwasestablishedso thateverybodycouldattend the trainingwithout interfering in theday-to-dayworkandMr.Cuellar (thenationalCAFcorrespondentat thetime inSpain)providedthetraining.Oneof themanagerswas inchargeof theconversationswith

AEVALandpreparingtheEmployeeHandbook.Theothermanagerscoordinatedtherest.

Thefactorsofsuccessareprobablyandmainlythegradualempowermentandthespecialisationincertainprocessesof someemployees. Theobstacle insteadwasalways foundwhenan innovation

wasgoingtobeimplementedandsomeoftheemployeesresistedtochange,astheyneverreceivedafinancialreward.Butsoontheysawhowthemeasurestakenimprovedtheperformanceandhow

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their colleagues were progressing. Another very relevant obstacle is that the training policy is

ultimately depending on the Human Resources Department, so even if the management teamadvisesandrecommends,notalltheemployeesareselectedtobereceivetrainingeveryyear.

AffectingCriteria2and5

Therearetwopointstomention:

1. Toimprovetheserviceofferedtocitizens,itwasthoughtasabasicitemtodevelopaServicesChartertoenabletodefinecustomers’rightsandexplainhowtheircomplaintswillbehandled.

2. Onthe technologicalaspect,anadvancedmanagementandpaymentsystemwas theunique

scopeforseveralstrategicgoals:

• Newpaymentsystemswithonlineservicesavailableforthecitizenthatwouldfacilitatethe

taskofpayingtaxes,other feesandself-assessments. Inthecorporatecashdispensers,aninnovation has been implemented. It is now possible to pay taxes and fees with directconnection with the bank, transferring all the files to the treasury department directly

incorporated into the management and payment registration software without theinterventionof anyperson.Paymentgateway andanappwith catches are theother twonewsystems.

• Simplifiedprocesses.

• Accessibilitybyelectronicmeanstoallprocessesonthewebsite.

For the Services Charter: bench learning and

brainstorming prepared the charter and one of themanagersconductedalltheprocessuntilpublicationin2013. The revision is scheduled for 2016 and the

Treasurywillapplyforcertification.

The rest of activities have been coordinated throughimprovement teams were seven suppliers oftechnologyhavebeeninvolved:fromsoftwaretoapply

foracoursetosoftwaretoposttherevenueandrangingfromfilemanagers.

It has been a hard task to coordinate all the suppliers and bring them together to produce anintegrated systemwhich unites different steps: application and processing of administrative files,issueofself-assessmentandacquittance(documentthatpermitspayment),booking,paying,transfer

tothebank,standardisationoftypeofincome,transfertotheTreasurydepartment,registrationinthetaxmanagementsoftwaretoolandpostoftherevenue.Inacertainway,thefactofworkingsoclosehasbroughtaboutgreatercohesionamongallthestakeholders.

Thistimeallthemanagerswereinvolvedintheimprovementteamsscheduling,preparingfilesand

lookingfornewsolutionstoprogressintheproject.Asthetimegoesby,newinnovationshavebeen

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incorporated along the process improving

indifferentwaysthepaymentsystems,thesimplification of processes and differentpossibilitiesforaccessibility.Inthesecases,

a meeting of the improvement team isarranged and new decisions areincorporated to the strategic plan in the

shortterm.

Sometimes theproblemwas technologicalandithascauseddelaysinexecution,butintheend,weareallmanagingverywell,astheproductsareavailableforcitizensandtheyincludenewadvantageseverytimeanewgoalisreached.

AffectingCriterion4

Awaytoenhanceourrelationwithpartnersandstakeholdersandofferabetterservicewasthroughpublic-private agreements after the initial service contracts that had been signed with SUMA,CaixabankandHidraqua.

With the passing of years several partnership agreements have been added, such as the transfer

contractswithSUMA(thecessionofPDAs7 forsanctioningregimeandcessionofacorporatecashdispenser), Caixabank (advanced telematic payment systems) and Hidraqua (agreements toincorporatepaymentthroughcorporatecashdispensers).

The beginning was the usual relationship between

PublicAdministrationandtheserviceprovider.Nowwecall them partners or allies. In all cases, the startingpoint was the public bidding and working in the

improvementteammeetingscreatedalliancesinorderto enrich each other experiences. The implementedinnovationscannowbetransferredandused inother

public administrations as it’s already happening inotherTownCouncilsthatareadoptingoursystemsinamodularway,asforexampleinTorrePacheco,SanJavier,Sabadell,AzuquecadeHenares,SantJoan

d’Alacant,Cieza,SanVicentdelRaspeig,ElVendrell,PuertodeSantaMaríaoElda.Atthemoment,otheradministrationsandpublic-privatebodiesarealsointerestedinourprojects.

7PDAsarePersonalDigitalAssistantsusedbypoliceofficerstoimposefines.

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Once the first self-assessment was carried out,suggestions were made which would affect all theenablers’ criteria. It was then the time for the

management team to analyse all the proposals andtake the appropriate decisions for qualityimprovement. On the one hand, they took into

consideration inwhich fields theywouldstrategicallyobtainbetterresultsaccordingtotheirvision.Ontheotherhand,theyconsideredthefeasibilityofrequired

actionsandtheyalsoweighedtheadvantagesanddisadvantagesofthedifferenttoolsavailable.

Thentheydeliveredtheirplantolocalauthoritiesandthestrategic document was ratified. Improvement teamsstarted working. Themanagement team and twomore

employees formed the team for the Services Charter.Another improvement team coordinated actions withSUMAwithperiodicmeetingsalmosteveryweek.Athird

team coordinated all the payment systems wheredifferent software companies usually gather with themanagementteamandalsobytheirowntocompletethe

actionsdiscussedonthesessionagendas.

From thatmoment on, every year the sameprocesswas followed gathering information not onlyfrom the second self-assessment, but also from individual and group meetings, surveys and the

resultsinthebalancedscoreboard.

Theorganisation focuseson results.Results areachieved thatpleaseall of theorganisation’s stakeholders

(authorities,citizens/customer,partnersandpeopleworkingintheorganisations)withrespecttothetargetsthathavebeenset.

Principle2:Citizen/Customerfocus(CCF)

The organisation focuses on the needs of both present aswell as potential citizens/customers. It involves

theminthedevelopmentofproductsandservicesandtheimprovementofitsperformance.

Principle3:Leadershipandconstancyofpurpose(LCP)

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PART

2:Th

eprioritisation

metho

dologies

171

PrioritisationmethodologyTheEIPAapproach.1

Introduction

For a successful implementation of the Common Assessment Framework, many public sectororganisations follow the 10-step process as defined in the CAF 2013 brochure, that covers the 3

majorphasesoftheimplementation:thestartoftheCAFjourney,theself-assessmentprocessandtheimprovementplanningandimplementation.

Based on the CAF model, the TQM diagnosis of the organisation is made and besides this, alsovarious areas of improvement are discovered across the 28 Sub-criteria of the model. Concrete

proposals for actions to tackle these areas of improvements (some call them weaknesses) are

1TheEIPAapproachedisbasedontheBelgianprioritisationmethodology,developedbyJean-MarcDochotandPatrickStaes.AnumberofadditionalfeatureshavebeenelaboratedbyPatrickStaesandNickThijsfromtheEuropeanCAFResourceCentre.

172

formulated. Some self-assessment reports contain more the 100 proposals for actions. But at acertainmomentchoiceshavetobemadeinarationalway,optionshavetobetakenforthefuture.It

would be a signal of bad management to try to go for everything. Unfortunately, this reflectionremainsoftena relicof theoldWeberianbureaucratic administrationswereeverythinghad tobeperfectbutat theendmany thingsdidnotwork.Makingnochoiceswouldbevery inefficientbut

making choices is not easy. In one of the previous CAF studies, CAF users indicated that theystruggledalotwiththisdecisionmakingprocessbecausetheywerelackingasoundandoperationalmethodology. Nevertheless, in step 7 the moment comes to draft conclusions and to launch an

actionplan.Duringstep5indicationshavealreadybeengiveninwhatdirectionsolutionsshouldgobutthefinalchoiceneedsspecialattentioninthebeginningofstep7.

Objectiveofthemethodologicalapproach.Thewaytothefinaldecisionsshouldbesystematicbutsimple at the time. Management and members of the Self-Assessment Groups(s) are involved in

differentstagesandcreateacommonplatformforchangeinthisway.

Definitionoftherelevantareasofimprovementforeachsub-criterionoftheCAFby the Self-AssessmentGroup (SAG)during the self-assessmentprocess and theformulationofproposalsforimprovementactions

During the self-assessment consensus meetings, the SAG agrees for each sub-criterion on thestrengths,areasofimprovementandproposalsforimprovementactions.Somestrengthsmightneed

tobefurtherimprovedbutthatshouldbementionedasaspecificareaofimprovement.IntheEIPAapproach,theSAGisinvitedtobringonthetabletheirexpertisetoproposeadequateimprovementactions for the most relevant improvement areas. Managers welcome self-assessment reports

indicating what should be improved but they appreciate even more concrete suggestions forsolutions.

Sub-criterion

1.0

Strengths Areasofimprovement

1. 2. 3. 4.

1. 2. 3. 4.

Score ProposedImprovementActions:

1. Action1:Linkedtoareaof improvement2becausethisareawasconsideredtobeoneofthemostimportanttobeimproved.

2. Action2:Linkedtoareaof improvement3becausethisareawasconsideredtobeoneofthemostimportanttobeimproved.

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MembersoftheSAGareinvitedtoformulateimprovementactionsforwhattheyconsidertobethemost relevant improvement areas in relation to the achievement of themission and vision of the

organisation. This means that a first selection of critical areas for improvement is done by themembersoftheSAGwhohaveanin-depthknowledgeofthestateoftheartofthesub-criterionastheypreparedtheanalysisindividuallyanddiscusseditduringtheconsensusmeetingingroup.This

isnotveryeasy tobedone,especiallynot for the first time,asanalysingmanagerialpracticesandformulating improvement actions is not exactly a required core competence for the normal civilservant.

Nevertheless,clearwordingatthisstageisveryimportantfortherestoftheselectionprocess.Very

oftenithappensasillustratedbelow:

ImprovementactionsshouldbeformulatedinaSMARTway:

• Specific:inlinewiththemostrelevantareasofimprovement.

• Measurable:itmustbepossibletomeasuretheprogressintheexecutionoftheaction.

• Acceptable:allstakeholders,especiallymanagersandstaff,supporttheaction.

• Relevant:astheyarelinkedtothemostrelevantareaofimprovement,theactionswillhave

thepotentialdirectorindirectimpactontheorganisationalperformance.

• Time(bounded)

In this stage, the actions proposals should not be formulated toomuch into detail as later in the

process,theyshallbecollected,sometimesintegratedwitheachotherand/orrewritten.

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1. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Thestandardapproach

By preference,managers and allmembers of the SAGmeet during a one- or two-day seminar toselectthemostappropriateimprovementactionsforthecoming2years.

Priorisationmethodology

1.Preparatorywork:screeningandcleaningoftheactionlist

All the proposed actions, linked to themost relevant areas of improvement of the different sub-

criteriaofCAF,arelisted.TheCAFprojectleaderortheSAGchairreceivesthemandatefromtheSAGto make this list coherent and consistent: actions related to similar areas of improvement areintegrated,eventuallythroughreformulation,tocomplexactionsaresimplifiedorsplitintodifferent

actionsetc.Allthis isdoneinrespectwiththeoriginalproposalssothatnovaluableideasarelost.TrustisaconditionsinequanonforeverychangeprocessandforCAFinparticular.ConfidentialityandrespectfortheinputofthemembersoftheSAGarecrucial.

2.SelectionoftheQuickWins

In the first part of the seminar, the project leader creates mixed groups of managers and the

membersoftheSAG(s).Bypreference,staffwillnotbeinthesamegroupastheirdirectsuperiorsto

assureopendiscussions.Thesegroupsgothroughtheactionslistandselectactionstheyconsiderto

beQuickWins.QuickWinsareactionsthatcanberealisedeasilyandquickly (withinafewweeks)

and encourage staff to implement actions that are strategically more important but also more

difficult.Intheplenarysession,theresultsoftheworkinggroupsarecomparedandaconsensuson

the Quick Wins is build up. The Quick Wins will not be taken further in the prioritisation

methodology, they do not need to beweighed on their strategic importance or feasibility as it is

decided to execute them in a short delay. It is very important that this selectionofQuickWins is

done in a serious way as management and staff engage themselves to implement them. It is

absolutelytobeavoidthatproposals forcomplexand indepthactionswithgreat impactcomeon

theQuickWinlist.

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3.DefinetheStrategicWeightoftheactions(SW)

OnceallQuickWinsaretakenoutoftheactionlist,theremainingactionswillbefirstevaluatedontheir strategic importance. As mentioned before, during the self-assessment, a first selection ofactions per sub-criterion has already been done as only actions in relation to themost important

areasofimprovementaremaintainedforfurtherdiscussions.

Intheactualphase,managersandmembersorrepresentativesoftheSAG,deepenoutthestrategicimportanceoftheprosedactionsbasedon4criteriatheyhavetoscore:theimpactoftheactiononthe citizen/customer, on the staff, on the internal results and on the social responsibility. By

preference,theyevaluatetheimpactinmixedworkinggroupsandfindconsensusontheresultsoftheworkinggroupsintheplenarysession.Theimpactoncitizen/customer,staffandinternalresultshavethesameimportance,theyhavethesameweight.Theimpactonthesocialresponsibilityhasa

lowerweight.

The impact on citizen/customers (IMCC) has to be scored from 1 (=minor impact) to 4 (=majorpact).Toscore,differentaspectscanbetakenintoconsiderationsuchustheimpactonthequalityofoutput and outcome, on the satisfaction of the citizen/customer, on the visibility of the

organisations'performanceetc.OrganisationsarefreetoinvolvetheaspectstheyconsidertobeofthehighestimportanceregardingtheIMCC.

Theimpactonthestaff(IMST)followsthesamescoringlogic:from1(=minorimpact)to4(=majorpact).Aspectstobetakenintoconsiderationcanbe:theimpactoftheactionontheperformanceof

staff, their motivation and satisfaction etc. Organisations are free to involve the aspects theyconsidertobeofthehighestimportanceregardingtheIMST.

The impact on the internal results (IMIR) also follows the same scoring logic: from 1 (= minorimpact)to4(=majorpact).Whataretheconsequencesofthisactionregardingthemanagementof

theresources,thepartnershipsandtheprocessesetc.OrganisationsarefreetoinvolvetheaspectstheyconsidertobeofthehighestimportanceregardingtheIMST.

Regarding the impact on the social responsibility of the organisation (IMSR). Here it is onlyimportant toknowwhetever there is a (positive) impactornot: score0no, score1 yes.Does the

actionhasapositiveimpactonsustainabledevelopment,onsocio-economicissuesbeyonditscorebusiness,onethicalbehavioretc.

The StrategicWeight of the action is defined by adding the 4 scores: from 3, very little strategicimportanceto13,hugestrategicimportance.

ThescoringoftheImpactofanimprovementactiononthecitizen/customer(IMCC),thestaff(IMST)

andtheinternalresults(IMIR)hastobedonefromabroadholisticperspectiveandnotbasedonasimple one to one cause/effect relation.Actions directly linked to citizens/customers can e.g. also

haveagreatimpactonstaffandviceversaorevenontheinternalresults.

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Table1:AnexampleofevaluatingtheStrategicWeightoftheproposedactions

N° Sub-crit.

Proposedimprovementactions CAFScore

StrategicweightSW

IMCC IMST IMIR IMSR SW

1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin6months

30 2 3 3 0 8

2 3.1 Developacompetenceidentificationand

measurementsystem

30 1 4 2 0 7

3 3.3 Dobenchlearningoninternal

communicationanddialoguesanddecidewhatactiontoundertake

35 1 4 4 0 9

4 3.3 Implementthe360°evaluationsystemon

thetopandmiddlemanagement

35 1 2 3 0 6

5 9.1 Developasystemtobettermonitoroutputandoutcomeindicators

31 4 2 3 1 10

6 9.1 Createacoordinationcouncilwithpartnersonstrengtheningcooperation

31 2 2 3 1 8

7 9.2 Analyseandimprovethefinancialplanning

system,includingriskmanagement

20 1 1 4 0 6

8 9.2 Developprojectmanagementinthe

differentactivitiesoftheorganisation

20 3 4 4 0 11

4.DefinetheEaseofImplementationofthemostimportantactions(EIM)

In the next step, we continue examining the proposed improvement actions with the higheststrategicweight.Everyorganisationcandefineforitsowntheminimumscorethatisneededforan

actiontobefurthertakenintoconsiderationbutingeneralonlyactionswithastrategicweightof8andhighershouldbefurtherdiscussed.Beforeanydecisioncanbetakenonwhichactionoutofthemostimportantwillbechosentobeimplemented,itisimportanttohaveanideaofthefeasibilityof

theaction.

177

As in the previous phase,managers and staff will discuss in working groups the feasibility of theactionsbasedon3criteria:thelevelofdifficultyoftheaction,theresourcesneededandthespeed

ofrealisation.Theywillfindconsensusontheresultsoftheworkinggroupsintheplenarysession.

The Level of Difficulty (LD) has to be scored from 1 (= very difficult) to 4 (= very easy). Differentaspectscanbetakenintoconsiderationsuchasthelevelofcomplexity,thelevelofinterdisciplinary,thescopeoftheimplementationoftheaction(itconcernstheentireorganisationorjustapartofit)

or theprocessof implementation (firstviaapilotprojector immediatelydeployedthroughout thewholeorganisation).

The Resources Needed (RN) have to be scored from 1 (= many) to 4 (= very few). This can beresources of a different nature e.g. internal resources of the organisation, with or without extra

training, support fromhorizontal or logistics services from the public sector, support fromprivateconsultants,financialortechnicalresourcesetc.

TheSpeedofRealisation (SR)has tobe seen in addition to the level of difficulty and theneededresourcesbutat thesametimeasakindofan integratorofbothaspects.This criterionhas tobe

scored from1 (very slow) to 4 (= very fast). A guiding example could be: score 1 Long term (= 2years),score2Mediumterm(=1year),score3shortterm(=6months)andscore4veryshortterm(=3months).

TheEaseofImplementationoftheactionisdefinedbyaddingthe3scores:from3,verydifficultto

realiseto12:veryeasytorealise.

Table2:AnexampleofevaluatingtheEaseofimplementation

N° Sub-Crit.

Proposedimprovementaction CAFScore

Easeofimplementation

LD RN SR EIM


30 3 2 3 8

2 3.3 Dobenchlearningoninternalcommunicationanddialoguesanddecidewhatactiontoundertake

measurementsystem

35 4 3 4 11


31 2 2 1 2

4 9.2 Developprojectmanagementinthedifferentactivitiesof

theorganisation

20 2 2 2 6

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5.Definethepriorityofimplementation(PIM)

Now that the strategic weight and the feasibility of the most important actions are known, thepriority of implementation has to be defined. It gives an indication of the extent to which the

proposedactionhastobetakenintoconsiderationforthefinalchoice.Ascorefrom1(lowpriorityforimplementation)to4(highpriorityforimplementation).HowtodefinethePIM?

Step1:MakethetotaloftheStrategicWeightandtheEaseof implementationoftheactionswiththehighestSWasdefinedbefore.Themaximumscoreis25(13+12).

Step2:Alltheactionswithatotalscorehigherthe20,areveryimportantactionsthatcaneasilybe

implemented.Theyarecalledstarters.TheyautomaticallyreceivethehighestPIMscore4andwillbeseriouslytakenintoconsiderationforthefinalchoice.

Step 3: It is obvious that most of the actions will not score higher than 20, meaning being veryimportantandatthesametimeeasytobeimplemented.Thatwouldbeveryunrealistic.Somecan

beveryeasytobeimplementedbutnotofthehighestimportance.Othercanbeveryimportantbutdemandalotofeffortstoberealised.

Howtoselecttheotheractionsthatshouldthatshouldbeseriouslytakenintoconsiderationforthefinal choice and give thema high PIM score of 3 and 4? First identify amongst the actionswith a

scorelowerthen20,theactionswiththehighestStrategicWeight.Someofthemmighthavealowscore on the Ease of Implementation, which means that they might be difficult to be realised.Nevertheless, this should not be an argument not to give them a high PIM score. An important

indicatorforthePIMscoreistheCAFscorefortherelatedsub-criterion.AlowCAFscoremightbeanargument for a highPIM score, despite thehighdifficulty rate as it indicates that there is a greatneedforimprovement.ButalsootheraspectsmayhaveanimpactonthedefinitionofthePIMe.g.

theprioritiesofthegovernmentalprogrammeonPublicAdministrationReform,thelinkwithrollingimprovementprograms in theministry etc.Defining thePIM is not just a calculation.Mangementandstaffareinvitedtoreflect,discussandmakestrategicchoices.Withtheavailableinformationon

the Strategic Weight of the action, the Ease of Implementation, the CAF score and otherstakeholder’sneeds,theyarewellarmedtodosoinarationalway.

Asinthepreviousphase,managersandstaffwilldiscussinworkinggroupsthePIMoftheactionandfind consensus on the results of theworking groups in the plenary session, creating a list of PIM

scoresforalltheproposalsforimprovementactions.

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Table3:AnexampleofdefiningthePIM

N° Sub-

Crit.

Proposedimprovementaction CAF

Score

SW EIM TOT PIM


30 8 8 16 3

2 3.3 Dobenchlearningoninternalcommunicationanddialoguesanddecidewhatactiontoundertake

measurementsystem

35 9 11 20

starter

4


31 10 5 15 4

4 9.2 Developprojectmanagementinthedifferentactivitiesoftheorganisation

20 11 6 16 3

6.Makethefinalchoiceoftheimprovementactionsthatwillbeimplemented

ThefinalchoiceofthekeyimprovementactionswillbedoneamongsttheimprovementactionswithaPIMscoreof3and4.Itisstronglyrecommendednottogoformorethe10improvementactionsto

beimplementedinthecoming2yearsbutitisuptoeveryorganisationtoestimateitsowncapacityforchange.

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Table4:Anexampleofthefinaltable

N° Sub-

Crit.


Score

SW EIM TOT PIM Chosenaction

1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin

6months

30 8 8 16 3



measurementsystem

35 9 11 20

starter

4 x


31 10 5 15 4 x

4 9.2 Developprojectmanagementinthedifferentactivitiesofthe

organisation

20 11 6 16 3

Inannex1,anintegratedprioritisationtableispresented.

2. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Theconcentratedapproach

The standard approach presented under chapter 1 is themore rich and deepened approach and

forcesmanagementandmembersor representativesof theSAGtoreflectonthedifferentcriteriaforthestrategicweightandtheeaseofimplementationandtoscorethem.Incasetherearemany

proposalsforimprovementactionstobediscussed,thismightdemandaconsiderableinvestmentintimeandanalysis.

The concentrated approach presented in this chapter allows to go faster without neglecting thedifferentaspectsof thedecisionmakingbutnotanalysingandscoring themonebyone.After theselection of the QuickWins,only one scorewill be given for the StrategicWeight from 1 (= an

action with low strategic importance) to 10 (= an action with very high strategic importance),globally reflecting on the impact on citizens/customers, staff, internal results and socialresponsibility. Inthisapproach,onlyactionswithaweightof7andhigherwillbetakenfurtherfor

theanalysisof theirEaseof Implementation.AlsofortheEaseof Implementation,onlyonescore

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willbegivenfrom1(=anactionthatisverydifficulttobeimplemented)to10(=anactionthatisveryeasytobeimplemented)globallyreflectingonthelevelofdifficulty,theresourcesneededand

thespeedofrealisation.AddingSWandEIMgivesamaximumof20.Actionswithmorethan14areconsideredtobestarters

andreceiveautomaticallythePIM4.DefiningthePIMfortheotheractionsisdoneinthesamewayasinthestandardapproach,aswellasthefinaldecisionmakingonthechosenimprovementactions.

Table5:Theprioritisationtableisofcoursemuchsimplifiedthisapproach

N° Sub-

Crit.


Score

SW

1-10

EIM

1-10

TOT

20

PIM

1-4

Chosenaction



measurementsystem

35 7 9 16 4 x

2 9.1 Developasystemtobettermonitor

outputandoutcomeindicators

31 9 4 13 4 x

3. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Theconcentrated approach including policy decisions by the political decisionmakers.

Inthestandardapproach,thepolicydecisionsonpublicmanagementoradministrativereformsaretakenintoconsiderationwhenrelevantatthemomentthePIMhastobedefined(seepoint5step3). Some organisations want to include the evaluation of the link between the proposed

improvementactionandthepolicydecisionsmoreexplicitlyinthestrategicweighingoftheaction.Tosatisfy theirneed,anextracolumncanbeenaddedto theconcentratedapproach, splitting thestrategicweighinginto2parts:50%ofthescorewillbegiventothelevelofconnectionoftheaction

with the policy decisions (to what extend joins the proposed actions the policy of the politicaldecision makers) and 50% for the impact on citizen/customer, staff, internal results and socialresponsibility.

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Table6:Inthisapproach,thetablewilllookasfollows

N° Sub-

Crit.

Proposed improvementaction

CAF

Score

Linkpolicy

decisions

1-10x50%

SW

1-10 x50%

EIM

1-10

TOT

20

PIM

1-4

Chosenaction

1 3.3 Dobenchlearningon

internalcommuni-cationanddialogues

anddecidewhatactiontoundertake

measurementsystem

35 4x50%=2 7x50%=

3.5

9 14,

5

3

2 9.1 Developasystemtobettermonitoroutput

andoutcomeindicators

31 9x50%=4,5

9x50%=4,5

4 13 4 x

Theprioritisationseminar

The prioritisation of the proposed improvement actions are first of all the responsibility of the

managementoftheorganisation.Theyreceivetheself-assessmentreportfromtheSelf-AssessmentGroupthatexplains themajor findingsonstrengthsandareasof improvementof theorganisationandwhattheSAGconsiderstobevaluablesuggestionsforimprovementactions.

Sometimes part of the management is involved in the self-assessment process and shares the

outcome with the other managers. But often the discussion on the self-assessment report is themomentwhenmanagementjoinstheCAFprocessagainafterthelaunchingoftheprocessmonthsago.Astheyhavenotalwaysgainedthesameinsight inthedifferentaspectsofthefunctioningof

their organisation as the members of the Self-Assessment Group who really analysed theorganisation into depth, itmight be difficult for them to understand the underlying reasons for anumberofproposedimprovementactions.

This is way the EIPA methodology is very much in favour of bringing together top- and middle

managers in a one- or two-day seminar to discuss the outcome of the self-assessment in mixedgroupsandplenarysessions.Experiencelearnedthatthismeetingishighlyappreciatedbythestaffas it is often the first opportunity they have to discuss with their management openly on

organisationalissuesandstrategicoptionstobetakenforthefuture.Butalsoforthemanagers,thiskindof a seminar is often anmomentof corporatediscussions on the improvementof thewholeorganisation and not only the part of the organisation they are responsible for. This silo breaking

exerciseopensnewperspectivesforstaffaswellasfortheleadershipoftheorganisation.Bothwillberesponsibleanywayforthesuccessfulimplementationoftheimprovementplantheydecidedon.

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Discussions between staff and management are very enriching but at the end, the managementcommitteeortheboardofdirectorswillhavetotakethefinaldecisions.Theseminarcanbeseenas

the lastpreparatorystage.Theactivesupportandengagementof the topmanager in theseminarandthefinaldecisionmakingcanthereforenotbeunderestimated.

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Annex1:PrioritisationTable

Application file: prioritise improvements actions

ORGANISATION XXXXXXXX

N° Sub-

Crit.

Proposed Action Score

CAF

Strategic weight (SW) Ease of implementation (EIM)

TOTAL SW+

EIM

PIM Chosen actions

IMCC IMST IMIR IMS SW LD RN SR EIM

1.1 Update the vision and mission with participation of all the employees

34-40

1.2 Introduction and application of the CAF model.

30-35

1.3 Motivate and reward employees for good individual or team work

25-30

1.4 Etc. 40-45

2.1 Etc. 31-35

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PrioritisationmethodologyTheItalianapproach1

Thefirststepintheprocessofdraftinganimprovementplanistorationalizetheresultsdescribedin

the Self-Assessment Report (SAR), in order to better understand how tomake use of them. As amatteroffact,agoodSARcanhighlightnumerousstrengthsandweaknesseswithrespecttothe28sub-criteria of the CAF model, from strategic issues to the operational ones. In most cases, the

available resources are not sufficient to implement all the improvement actions. Focusing theattentiononthecrucialimprovements(theso-calledvitalfew)allowtoadequatelytargetthefactorswiththegreatestimpactontheorganisation'sperformanceandonitsabilitytoachievethestrategic

objectives. By consequence, it is fundamental to define the importance of the potentialimprovementsidentifiedduringtheself-assessmentphase(definepriorities)andtouseastructuredmethodtoselecttheprioritiesforaction.

HowtoidentifyprioritiesbasedontheSelf-AssessmentReport(SAR)?

Thischapterillustratesthemethodofselectionofpriorityareasforimprovement.ThismethodnotonlymakesdirectreferencetothefundamentalcomponentsoftheCAFmodel,butalsointroduces

severalinnovativeassessmenttools.IthasbeendisseminatedintheformofguidelinesandappliedinalargenumberofschoolsandinotherpublicadministrationsinItaly.

Themethodincludesfivephases:

• Phase1:Analysisandaggregationoftheresultsoftheself-assessmenttoselectstrengthsand

weaknessesoftheorganisation.

• Phase2:Useofthe‘Relevance-Value’matrixinordertographicallyshowtheresultsoftheself-

assessment,underliningthesignificanceofeachsinglesub-criterionanditsscore.

• Phase3:Identificationofpossibleimprovementinitiativesonpriorityareasdetectedthrough

phases1and2.

• Phase4:Identificationofahypothesisofprioritiesofinterventionbasedontheconceptsof

relevanceandfeasibilityoftheactions.

• Phase5:Decisiononprioritiesofintervention.

1TheItalianNationalCorrespondent.

186

Activities identified in the first twophases are completely in chargeof the Self-AssessmentGroup

(SAG)which, in phases 3 and 4, can be integratedwith representatives of the sectors potentiallyinvolvedinimprovementactivities,ifthemanagerconsidersitappropriate.ThemanagercancloselymonitorallthedifferentphasesoftheprocessordelegatetheirimplementationtotheSAG,ensuring

his support and availability to meet the group. He must participate to the definition of CriticalSuccessFactors(CSF),totheassessmentcarriedoutwiththe‘Relevance-Value’Matrix(Phase2),andapprove the resultsofall theseactivities.Thedecisiononprioritiesof intervention (Phase5) is an

exclusive competence of the manager because of its overall knowledge of the organisation, itsresponsibilitiesinmanagingtheorganisationanddefiningstrategicplansandobjectives.

Phase1

What:Analysisandaggregationoftheself-evaluationresults

Who:SAG

ThestartingpointistheSAR,articulatedaccordingtotheCAFmodelcriteria,andcontainingforeach

sub-criteria:

• Strengths

• Weaknesses

• Areasforimprovement

• Ideasforimprovement

• Scoreandevaluation

TheSAGreviewsstrengthsandweaknessesforeachsub-criterionandimplementsacross-sectional

analysisof thedifferentcriteriaof themodel,searching forconnections (forexamplebetweentheenabler3relatedtohumanresourcesandtheresult7)andcausesoftheidentifiedweaknesses.Forinstance, the analysis can classify weaknesses related to each sub-criterion according to three

characteristics:

1. Recurrence:when aweakness appears in several sub-criteria. It is appropriate to indicate thesub-criteriainwhichtherecurrenceappears.

2. Strategic importance: when a weakness is important because it has a potential impact onpoliciesandstrategiesoftheorganisation

3. Operational importance: when a weakness is connected to a particular process of the

organisationand/orhaslimitedimpacttothatprocess.

Theoutputofthisphaseisafirstsynthesisoftheweakpoints.Itisnotascoredlistbutjustalistof

theweakpointsclassifiedaccording to their recurrence,strategicandoperational importance.Themostrelevantweakpointsinthiscasearetherecurrentandstrategicones.Thiswillbeusefullaterwhentherewillbetheclassificationofcriteriaaccordingtotherelevancevaluematrix.

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Table1:Anexampleofthelistofweakpoints

Sub-criterion1

WeakPoints2 Score3 Recurrent4 Strategic5 Operational6

1.1 Lackofcommunication 38,75 x x

1.2 68,50 x

1.3 56,25 x

1.4 60 x

2.1 66,25 x

2.2 67,5 x

2.3 67,5 x

2.4 70

3.1 Lackofcommunication 42,5 x x

3.2 65

3.3 62,5

4.1 70

4.2 57,50

4.3

4.4 65

4.5 60

4.6 65

5.1 70

5.2 70

5.3 63,75

1Inthiscolumnthereisthelistofallthecriteria2Inthiscolumnthereisthelistoftheweakpointsrelatedtoeachcriterion3Inthiscolumntherearethescoresgivenduringtheconsensusmeetingtoeachcriterion4Theweakpointisclassifiedaccordingitsrecurrence:whenaweaknessappearsinseveralsub-criteria5 Theweakpoint is classified according its strategicweight:whenaweakness is importantbecause it has apotentialimpactonpoliciesandstrategiesoftheorganisation

6Theweakpointisclassifiedaccordingtooperationality:whenaweaknessisconnectedtoaparticularprocessoftheorganisationand/orhaslimitedimpacttothatprocess.

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6.1 55

6.2 60

7.1 Lackofcommunication 10 x x

7.2 35

8.1 35

8.2 35

9.1 75

9.2 65

Phase2

What:Useofthe‘Relevance-Value’matrix

Who:SAGandManager

Through this phase it is possible to link the score attributed to each sub-criterion (Value) to theimportance that it has for the organisation (Relevance). In order to define the relevance, the first

step is to identify the Critical Success Factors (CSFs), namely the essential conditions which, ifimplemented,wouldallowthesuccessofthestrategiesoftheorganisationandtheachievementofthemostrelevantresults.TheManagermustcollaboratetotheidentificationoftheCSFs.

The inspiration for defining the CSF are the mission, vision and strategic objectives of theorganisation.

Here are some examples of CSFs (indicatively they have to be between 4 and 6). Others can beidentified,buttheyhavealwaystobeconnectedtothemission,visionandstrategicobjectivesthekeyfactorsoftheorganisation:

a.Customer/citizensatisfactionb.Efficiencyofthestructure(orcostreductionorproductivitygrowth)

c.Motivationandemployeesatisfaction(orcompetences)d.Diversificationoftheservices(orintroductionofnewservices)e.Addedvaluetothesocialenvironment

g....AsasupporttoidentifytheCSF,theSAGandtheManagercanusethetablebelow:

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Table1

Strategicobjectivesoftheorganisation Enablersfortheachievementofeachobjective

Example:X%Increaseinstudents’scoresintheevaluationtest/intestsadministeredbytheschoolat

theendoftheschoolyear

a. Sharingoftheeducationalprogramme

b. Improvement/reformulationofthetrainingplanforteachers

c. Introductionofnewtechnologies

…

Subsequently,theSAGandtheManagerassesstheimportance(intermsofcontribution)thateachsub-criterionhasfortheachievementoftheCSFsidentified,consideringthescalebelow:

Table2

Criteriaforassessingthesignificance/contributionofthesub-criteriatoCSFs

Highrelevance Mediumrelevance Lowrelevance

3POINTS 2POINTS 1POINTS

Thesub-criterionprovidesan

importantcontributiontotheCriticalSuccessFactor

Thesub-criterionprovidessome

contribution,however,clearlyperceptibletotheCriticalSuccess

Factor

Thesub-criterionprovideslittle

ornocontributiontotheCriticalSuccessFactor

Thisassessmentoftheimportanceofeachsub-criterionfortheachievementoftheCSFisdoneafterthe self-assessment. In our experience the results of the SA have never had an impact on theassessmentoftheirimportancefortheCSF.Improvementisthemainaimofself-assessmentandif

theorganisationpursuesthisaimduringtheassessment,theriskthattheresultsoftheSAmayhaveanimpactontheassessmentoftheimportanceoftheCSFwillnotoccur.

Thegivenvalueisnotedinthetableattheintersectionoffactor(1,2,...,n)andsub-criterion.

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Table3

Definitionofthedegreeofrelevanceofeachsub-criterion

Relevance

(1:low;2:medium;3:high)

Sub-criterion Total

CriticalSuccessFactors S1.1 S1.2 S1.3 S1.4 S2.1 S2.2 …… ……

Factor1

Factor2

Factor3

…………

Totalscores(addition)

Normalisedscores

(transformingintobase10thehighestvalueofthesub-

criteria)

Therow ‘Totalscore’ indicatestheoverall impactofthesub-criteriononalltheCFS,andtherefore

the impact on the elements that determine the success of the strategies and the achievement ofresults.

Therow‘NormalisedScores’indicatesTotalScoresbase10inordertomakethemcomparablewiththescoreof thesub-criteria in theRelevance -ValueMatrix. It isasimplemathematicaloperationthatisobtainedbyplacingthehighestvalueoftheTotalscorerowequalto10,andchangingallthe

otherscoresaccordingly.

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Figure1

Example:intherowTotalScoresofthetable,12forsub-criterion1.1,25forsub-criterion1.2,18for

sub-criterion1.3,16forsub-criterion1.4,15forsub-criterion2.1,11forsub-criterion2.2,17forsub-criterion2.3,etc.Thehighestvalue(25)hastobe10(bymultiplyingitby10/25);alltheothervaluesmust bemultiplied by 10/25 to obtain the normalised value to 10. The normalised valueswill be

respectively:4.8(12*10/25),10(25*10/25),7.2(18*10/25),6.4(16*10/25),6(15*10/25),4.4(11*10/25),6.8(17*10/25)etc.

Alongwith scores assigned to different sub-criteria of the SAR, total scores for each sub-criterionallowtovisualisetheprioritiesasintheexample.Inthegraph,thehorizontalaxisshowsthescores

attributedtothesub-criteriaoftheSAR,theverticalaxisthescores(intermsofrelevance)assignedtothesub-criteriainachievingCFSsandinthequarterseachsub-criterion.

Forthesakeofclarity,itisbesttoreporttheNormalisedScoresontheverticalaxis.

Thematrixallowsfortheanalysisofsub-criteriaaccordingtofourpriorityclasses:

Quarter1(topleft):Sub-criteriawithlowValue(score)andhighRelevance(priority1).Thethemesaddressedby the sub-criteria thatappear in thisquarterare thosewith thehighestprioritygiven

that theyarestrategically important issueswithhighpotentialandwhichhad lowscores fromtheself-assessment.

Quarter2(bottomleft):Sub-criteriawithlowValueandlowRelevance(priority2):sub-criteriathatmaybesubjectedtoalaterimprovement.

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Quarter3(topright):Sub-criteriawithhighValueandhighRelevance(priority3):sub-criteriawithhigh scores that have to be maintained at this level or that have to be the subject of further

improvementfortheircrucialcontributiontotheachievementofstrategicobjectives.

Quarter4(lowerright):Sub-criteriawithhighValueandlowRelevance(priority4):sub-criteriawithhighscoresbutlittlestrategicimportanceandmustthereforebemonitoredandmaintainedatthislevel of efficiency, or possibly even reduced if the use of resources for this maintenance is high.

Conclusion:Firstly,theanalysismustfocusonthesub-criteriaofthequarter1andthenonthoseonesofthequarter2.

Despite being a very effective tool to identify themain areas (sub-criteria) onwhich to focus, thematrix is not sufficient for the selectionofpriority areas for action, and thus, it is fundamental to

focustheanalysisonthesegmenteddataofthesub-criterialocatedinquarters1and2.

ThemanageralongwiththeSAG,afterhavingselectedthesub-criteriatobeexamined,analysestheweaknesses,withparticularattentiontothoseoneswhicharerecurringandstrategicallyimportant:theresultofthisanalysisisapreliminarylistofweaknesses(generallybetween8and15).

Note:intheexample,thefourquartersaredeterminedbytheverticallineonthe50%ofthescores

andbythehorizontal lineonthe levelof importance5. Intherealcase, itwillbeappropriatethatthese linesaredrawnsoasto leavethehalfofsub-criteriatothe left,halftotheright,halfbelowandhalfabove.Thesub-criteriaaredistributedlikethattodetectthesub-criteriawithlowscoreand

highrelevancethatistosaythesub-criteriawhereitisnecessarytoimprove.Itisalwayspossibleifyouputtheverticalaxisandthehorizontalaxisatacertainstageaccordingtotheglobalvalueofthescores.

Phase3

What:Identificationoffeasibleimprovementinitiatives

Who:SAG

Foreachweaknessthathasbeenchosen,theSAGdefinesthepossibleimprovementinitiatives(i.e.:theweakness ‘Theadministrationdoesnothaveavailabledataon theclients/citizens’ satisfaction’

can be translated into the following initiative ‘Development and implementation of a customersatisfactionsurvey’;or,theweakness‘Thecompetenciesofemployeesdoesnotappearsuitabletothe use of ICT’ can be translated into the initiative ‘Creation of a classification of ICT skills of

employees’and‘Preparationofaspecificformationplantodecreasethegapbetweenavailableskillsandneededskills’).

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Asawhole, the improvement initiatives thatcanbeachievedvary from10to18,accordingtothedimensionandthecomplexityoftheadministration.Someof identified initiatives,whichdealwith

similarorcorrelatedsubjects,couldbeprobablygathered(inthesecondexampleabovementionedthetwoinitiative,relatedeachother,couldgetinvolvedinthesameimprovementproject),andsofrom10-18startinginitiativesyoucouldarriveto6-12initiatives.

Phase4

What: Identification of a priority intervention hypothesis based on Value andFeasibilityconcepts

Who:SAG

Foreachofimprovementinitiativeaformisfilledoutwiththefollowinginformation:

• Shortdescriptionoftheinitiative.• Potentialcontribution,stated inconcisequalitativeterms,thatthe initiativecouldoffertothe

administration’spoliciesandstrategies,throughcriticalsuccessfactors(i.e.specifyingonwhichofthesecriticalsuccessfactorsithasanimpactandthelevelofthatimpact).

• Estimate of resources needed to realise the initiative in terms of people commitment(months/man)andneededskills,bothintermsofcostsandinvestmentstoevaluatethetangiblerealisationpossibilityandthepotentialcriticaspects.

• Estimateoftimeneededintermsofmonthstocompletetheproject.

Onthebasisofthesedata,theSAGcompletesthefollowingtableabouttheprioritylevels:

Table4

A B C D

ImprovementinitiativesImpact

(1–5)

Feasibility

(1-5)

Prioritylevel

(B*C)

Realisationtiming

(months)

Initiative1-……………….

(Sub-criterion..)


(Sub-criterion..)


(Sub-criterion..)

…………………………………

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1. Listof all the improvement initiatives taken into consideration in the columnA) Indicating thedenominationandthesub-criterion(orsub-criteria)whichtheyarerelatedto.

2. With regards to the column B) Impact represents the assessment of the importance of theinitiativeonthecriticalsuccessfactorsoftheorganisationthathavebeenpreviously identifiedandbearing inmindthepreviouslyanalysisabout therelevanceof thesub-criterionwhich theinitiativeisreferredto.Onthisbasis,theSAGassignsascoreofrelevancefrom1to5basedonthefollowingtable.

Table5

3. ‘Feasibility’ is considered as the ability of the administration to implement the improvementinitiativethatcanhaveascorefrom1to5accordingthefollowingchart,andthedata is filledoutinthecolumnCofthecharttopriorityassignment.

Table6

Evaluationcriterionoftheparameter‘Feasibility’

Highfeasibility Mediumfeasibility Lowfeasibility

SCORE5 SCORE3 SCORE1

• implementationwithmoderateresources

• implementationonlywithadministration’sresources

• autonomousimplementationbytheadministration

• implementationwithreasonableresources

• implementationonlywithadministration’sresources

• implementationdependspartiallyonexternalconstraints

• implementationwithconsiderableresources

• implementationdependsonexternalfactorsthatarenotunderthecompletecontroloftheadministration

• implementationdependscompletelyonexternalconstraints

Evaluationcriterionoftheparameter‘Impact’

Highimpact Mediumimpact Lowimpact

SCORE5 SCORE3 SCORE1

Theinitiativecouldoffera

relevantcontributiontotheCriticalSuccessFactors

Theinitiativecouldoffersome

contribution,clearlyperceptibletotheCriticalSuccessFactors

Theinitiativecouldofferalow

contributiontotheCriticalSuccessFactors

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4. It is important to notice that the term ‘Feasibility’ refers to the autonomy degree of theadministration and to the availability of the entire amount of the resources that theadministrationhas touse to get theexamined initiativedone, amongwhichhuman resources(numberandskill)andmaterialresources(tools,ICT,processes,investmentbudgeting,..).

5. Thepriorityofevery improvement initiative isdeterminedbythemultiplicationof thevalue inthecolumnBandCandnotingdowntheresultingvalueinthecolumnD.

6. The improvement initiativesare listed inadecreasingorderofpriority. Foreach initiative, theestimatedtimefortherealisationisnoteddown.

Theresultsofthisevaluationprovideinformationabouttheprioritiesthathastobesubmittedtothe

management for the final decision and the choice of actions to implement, taking also intoconsiderationtheimplementationtiming.

Phase5

What:FinaldecisionoftheManageronthepriorityoftheintervention

Who:TheManager

Thefinaldecisiononthepriorities isuptotheDirectorwhocannotdelegateit,sincethechoiceoftheareaonwhichfocusingtheimprovementisakeydecisionforthesuccessoftheorganisation.

TheSAGpresents to the topmanagement the resultsof theassessmentof thepossible initiatives

andontheassessmentoftheconnectedpriorities.

TheinitiativesandtheprioritiesarediscussedandthefinalresultisascaleofprioritythatissharedwiththeDirectorwhodecideshowmany initiativeshavetobe launched,consideringtheir impact,thecapabilityoftheadministrationandthetimeneededtogetthemdone.

Indicatively thenumberof the initiatives chosenasprioritary couldvary from3 to5, according to

theircomplexity,theavailabilityofresourcesandotherprioritiesoftheorganisation.

Someactionscansupporttheinitiatives,becausetheydonotrequiretheelaborationofastructuredprojectplanandcanberealisedattheendoftheself-assessment.Theyaresimpleinitiatives,QuickWins, whose implementation allows to give an immediate visibility to the results of the self-

assessmentprocess, strengthening theperceptionof theirusefulnessamong the stakeholders. Forexample, thepresentationofa synthesisof theSAR in thehall, itspublicationon thewebsite, thearrangementofaformattoreportthemeetings,thedecisionofsendingthemeetingmemorandum

foremailarequickwinactions.

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PrioritisationmethodologyThePortugueseapproach1

Portugalpresents itsprioritisationmethodology inthecontextof its ‘ImprovementPlanTemplate’,availableontheirwebsite,whichisaguidetodevelopimprovementplansandcontainsinformationontheprioritisationmethodology.Thissupportmaterial isusedontrainingsessions.Organisations

arefreetoadaptthecontentoftheseguidelinestotheirownneeds.

IMPROVEMENTPLAN

[Identifytheorganisation’sname]

[Insertdate]

Model–adaptandaddwhatevermaybenecessary]

ExecutivesummaryThe executive summary includes the objective and structure of the Improvement Plan and a

summaryofImprovementActions(IA)tobeimplemented.

FrameworkExplains themethodology fordraftingan improvementplan,without forgettingtorefer that these

actionshaveresultedfromaself-assessmentprocedurebasedontheCAFmodel.

1ThePortugueseNationalCorrespondent.

197

Self-assessmentresultsIn thispointa listof improvement suggestions identifiedduring thediagnosis is shown,and theseonesmustbeaggregatedbytopics.

Table1:Listofimprovementsuggestionsaggregatedbytopics

Topics/Self-assessmentteam’simprovementsuggestions

TopicsStakeholders’suggestions

(source:satisfactionsurveys)

Leadership

Planningand

strategy

People

Partnerships

Resources

Processes

Clients

Communication

Improvementactionswide-rangingscopeandrelevanceTable1hascontributedtocreatingwide-rangingactionsandTable2shallservetoknowwhethertheIAsarerelevanttakingintoaccounttheorganisationalobjectives.

Table2:Relevanceofactionsfortheobjectives

Organisationalobjectives Improvementactions

(Addthenecessaryrows)

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Wide-rangingpriorityimprovementactions

PrioritisationcriteriaOrganisations have to describe their prioritisation criteria for improvement actions. The following

criteria can be used to enable the ordering of the improvement actions, according to a priorityrankingbuttheyarenotcompulsorytoallorganisations.

C1:Impactonorganisationalperformance

C2:Capacityofimplementationintermsoftime,resourcesandautonomy

C3:(Impacton)clients’satisfaction

Prioritisationcriteria

Prioritisationcriteria

Points Description

C1

Impact

5TheIAshallhaveasignificantimpactontwoormoreorganisationalobjectivesorperformanceindicators

3TheIAshallhavesomeimpacton,atleast,oneorganisationalobjectiveorperformanceindicator

1Itisunlikelythathasimpactonanyorganisationalobjectiveorperformanceindicator.

C2

Capacity

5

Itmaybeimplementedintheshortterm.

Itrequiresfewmaterialorhumanresourcestobeattained

Itmaybecontrolledbytheorganisation

3

Itispossibletoimplementinthemediumterm

Itrequiresareasonablenumberofresourcestobeattained

Itmaybecontrolledbytheorganisation.

1

Unlikelytobeimplementedintheshortterm

Itrequestsasignificantnumberofresourcestobeattained

Itdependsonthedecisionorexternalfactorstotheorganisation

C3

Clients

5TheIAhasdirectimpactontheimprovementofthecitizen/clientsatisfactionorservice/client.

3TheIAhasindirectimpactontheimprovementofthecitizen/clientsatisfactionorservice/client

1 Unlikelyimpactonthecitizen/clientsatisfactionorservice/client

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Tablewithimprovementactionsranking

Presentationofimprovementactionsbypriorityorder,accordingtothescoringobtained.

ImprovementactionsImpact

(a)

Capacity

(b)

Clients

(c)

Scoring

(axbxc)Ranking

(Addthenecessaryrows)

Justificationofimprovementactions

Justification-improvementaction___________________________

Criterion Scoring Justificationofthescoring

Impact

Capacity

Clients

[Fillinatableforeachpriorityimprovementaction]

Improvementstobequicklyimplemented(QuickWins)

Identify theaction list forquick implementation, referred toasQuickwin. This typeofactionsareextracted directly from the Table 1 and are not subject to the subsequent prioritisation process,giventhat:maybeimplementedwithinthedeadlineofonemonth;needforaminimuminvestment

on human and financial resources; have effectiveness and quick visibility at collaborators andmanagers.

PlanningofimprovementactionsDraftasummary-frameworkofimprovementactionstobeimplemented(Table4)enablingtoobtain

a general and synchronised vision of improvements underway and shall serve to monitor theirimplementation.

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Table4:Improvementplanexecutionschedule

Improvementactions

ResponsibleforIA

Completiondate Key-activities Executionschedule State*

M1

M2

M3

M4

M5

M6

M7

1

2

3

Quickwin

Quickwin

Quickwin

*•red•yellow•green

(Addthelinesandcolumnsthatarenecessary)

DetailedplanningofIAFor each priority improvement plan a planning form must be created where the responsibilities,

schedule,resourcesneeded,interaliaaredefined.

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ImprovementActionform1

DesignationoftheImprovementAction

(NameoftheIA)

Managerincharge Coordinatoroftheaction Operationalteam

DominancecriterionofCAF Stakeholders

(Whoisinvolvedintheimplementationoftheactionandwhomayhaveinterestintheactionresults)

Descriptionoftheimprovementplan

(Whatdoestheactionconsistof?Briefpresentationoftheaction)

Objective(s)oftheimprovementaction

(Whatisthepurposeoftheaction?)

Activitiestobecarriedout

(Whattheorganisationhastodo–stepbystep–inorderthattheactionmaybeimplemented;wherethe

action shall be implemented –what are the organic units covered;who contributes to implementing theaction)

Resultstobeachieved

(What isexpected toattainwith theaction?Whatare thequick results?Measurablegoalsmustbeset toassesstheresultsachieved)

Criticalsuccessfactors Dateofstart

(Whatisessentialtoguaranteethesuccessoftheaction,

thematerialization of results expected (e.g. partnershipwithotherservices;collaboratorsinvolvement)

(Start-up of the implementation phase thatcoincidewiththefirstactivitytobecarriedout)

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Constraints Dateofcompletion

(Thecircumstancesthatexistor thatmayariseandthat

canhinder theaction, suchas, the resistance to changebycollaborators)

(Date in which the action implementation is

completed, that coincides with the last activitytobecarriedoutprogrammed)

Humanresourcesinvolved(numberofpersons/day) Cost

(This information serves to assess the cost with humanresourcesneededtoimplementtheaction)

(Costwithgoodsandservices)

Reviewmechanisms/actionanddatesassessment

(The review serves to monitor the action implementation; the assessment serves to check whether the

results achieved correspond to those expected. In any case, a number of corrections may arise to beintroducedinrelationtowhatisplanned)

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PrioritisationmethodologyThePolishapproaches1

WhenconsideringPolishcases,therearethreemethodsofimprovements’selection.

1.PrioritisationbasedonconcretecriteriaagreedinadvancebytheSelf-AssessmentGroup.Thosecriteriaallowtoidentifypossibleimprovementsthatweresuggestedtobeimplemented.Thefinaldecision to implement the given improvement actionswasmadeafter taking into consideration

the results of areas’ assessment. Actions in areas assessed as themost requiring improvementwerefirstimplemented.Belowthedescriptionfrom2introducedcases:

Theprojectwaschosenaccordingtotheadoptedapproachthattheproposalsoftheimprovementswereassessedagainst12criteriaagreedbytheSAG.Thesecriteriawere:

1. Betransparentandunderstandable

2. Encompassthehighestpossiblenumberofclients3. Beuniversal,multi-area4. Becost-free

5. Beeasytoimplementandexecute6. Givesatisfactiontolargenumberofemployees7. Improvetheimageoftheorganisation

8. Befitforpurpose9. Bringtangiblebenefits10. Bemonitorable

11. Bringnewquality12. Beusefulforreachinggoalsoftheorganisation

Additionally thegeneralprinciplewasadoptedthat the first improvementsaredeveloped in thoseareasthatscoredtheleastduringtheself-assessment.Inotherwordsthedeficiencyareasarefirstto

beimproved.

2.Prioritisationbasedonconcretecriteriadeterminedbythetopmanagement,after taking intoconsiderationtothemajorgoalsoftheorganisation.Belowthedescriptionfrom2othercases:

Based on self-assessment worksheet listing improvement actions. Prioritisation criteria aredeterminedbythetopmanagement,withregardtotheprimarygoalsoftheorganisation:providing

1ThePolishNationalCorrespondent.

204

revenue for the statebudget from taxes, to facilitating legitimatebusiness, removingbureaucraticbarriersandimprovingcooperation.

3.Prioritisationbasedonthedecisionofthetop-managementaftertakingintoconsiderationthe

result of the CAF self-assessment and familiarisation with the suggestions/opinions of theemployees.BelowthedescriptionfromtheTaxChamberinWroclaw.

The approach that led to the chosen project is based on general rules related to the CAF self-assessment and implementation of the improving action plan binding in the Tax Chamber in

Wroclaw.Accordingtotheseprinciples:

1. After the self-assessment, the CAF coordinator prepares the meeting aiming to select theimprovingactions,byfillingintheform‘Planningtheimprovingactionsonthebasisoftheself-assessmentoftheofficefunctioning’–partI,column:‘theareasforimprovement’–andonthe

basisofthemanagementstrategicchoices,partII.2. The CAF coordinator, in consultation with the head of office, calls the meeting in order to

developthedraftimprovementactionplan.Inthemeeting,allmembersoftheCAFteamand,if

necessary,theothermanagersorofficeemployeesaretoparticipate.3. Participants of the meeting reformulate all areas to be improved into the improving actions

proposal inaccordancewiththeform: ‘Planningthe improvingactionsonthebasisof theself-

assessmentoftheofficeoperationfunctioning’.4. Next,theparticipantsofthemeetingattributetoeachimprovingactiontwoscoresinthescale

from 1 up to 10, i.e. they assess the possible effect of the action on the execution of the

priorities, established by the management and the office capacity to implement the action.Prioritisationcriteriaaredeterminedbythetopmanagement,withregardtotheprimarygoalsoftheorganisation:providingrevenueforthestatebudgetfromtaxes,tofacilitatinglegitimate

business, removing bureaucratic barriers and improving cooperation. The product of the twoevaluationsgivesthetotalassessmentoftheaction.

5. Aftercompletionoftheassessmentofalltheimprovingactionsproposed,theyareorganisedin

decreasingorderaccordingtothenumberofpointsobtained.6. Thelistofatleast5proposalsofimprovingactions,thatgainedthehighestscore,ispresentedto

theofficemanagement.

7. The head of office approves at least 3 improving actions from the list for realisation in thecurrentyear.

8. The information about the improving actions assumed for realisation in the given year is

disseminatedamongtheemployees,inthemodeacceptedintheoffice.

Thekeyresults inrelationswithemployeesweredecisive intheselectionof improvementactions,proposed by the CAF team. The assessment of the evidence in this regards, with the use of theDemingcycle,indicatedthelowestvalues.Hencethechoiceofthisactionandthedesiretoimprove

relationshipsintheworkplace.

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PrioritisationmethodologyTheAustrianapproach1

The Austrian CAF Centre does not offer a common systematic and documented guideline for thepriorisationofimprovementactions.Neverthelessthefollowing‘milestones’canbeobservedinthemajorityoftheCAFimplementationsandarerecommendedbytheCAFCenter.

ConsensusWorkshop

1. TheSAGcollectsimprovementactionsduringtheconsensusworkshop(strengths,improvementareasandimprovementactions).

2. After the consensus workshop the facilitator/moderator compiles the list of improvementactions.Thislist(average80improvementactions)isthebasisforthe‘actionplanworkshop’.

ActionPlanWorkshop

Participants: in most cases half of the SAG, in some cases full SAG takes part in the Action PlanWorkshop.Theparticipationoftheleadershipisbasedonagreementduringprojectstart.WhenhighmanagementdoesnotparticipateintheSAGit isoftenagreedthattheyareinvolvedintheActionPlanWorkshop.

Moderation/Facilitation: The moderator of SAG is preparing and moderating the Action PlanWorkshopandcompilingtheresults.

1. QuickWins:ThelistofimprovementactionisscreenedforQuick Wins (easy to implement, no or very low costs,realised in onemonth). Themoderator suggests and thelistwhichwillbediscussed,changedandacceptedbytheworkshopteam.(1,5hours).

2. Therestof the improvement listwillbeprioritisedbasedon a points query selecting the most important actions.Further distinctions between effects, importance andurgency are not done. Each participant gets 5-8 points(1hour).

3. The 10-20 highest prioritised improvement actions areselectedforbeingfurtherspecified.Duringthepriorisationprocesssimilarimprovementactionsarecombinedorclustered.

1TheAustrianNationalCorrespondent.

206

GroupWork:Theparticipantswillbesplitin2-3groups(each2-5persons)withanotebooktodevelopdraftprojectdescriptionsfor10-20actionswhichshouldbeimplementedinthenext2years.Thetemplatecoversahalfpagewithtitle,milestones,responsibilitiesandtimeschedule.

1. Each group compiles 2-3 actions andpresents it totheplenum(duration2hours).

2. Asecondroundofgroupworkisforeseen(2hours).

3. Asresult10-20draftprojectplansarecompiled.4. The low prioritised actions are documented in a

topic-storageandwillbedealtwithaftertheimplementationoftheprojectplans.

AsresultalistofQuickWins,10-20draftprojectplansandatopicstorageisforeseen.

The 10-20 project plans are categorised to 3-6 actionswith 10-20 subactions. The 3-6 actions arebroadlycommunicatedasTHECAF-result.

Thomas Prorok, CAF Centre Austria

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PrioritisationmethodologyTheFinishapproach1

InStateTreasurywehavebeenusingaprioritisingmodelfocusingonbenefitandamountofworkinselectingdevelopmentplanmeasuresafter theCAFself-assessment.Thesametoolhasbeenused

also in prioritising other development challenges in public sector organisations. Themodel canbeused in differentways starting from a thorough analysis of proposed development directions andtheir impactandendinguptoaquicklookofimpactsdifferentproposalswouldmeanineveryday

work.Prioritisingofproposalsisdoneontwo-folddimensions:

1. Anticipatedusefulnessorbenefitofthedevelopmentaction.2. Theamountofworkneededtotakethatparticularaction.

All the development proposals are assessed according their nature and placed on the model inrelationtothesedimensions.Afterthattheproposalsformgroupsofdifferentkindofpotentiality.Forexample:

Highusefulness Smallamountofwork Mostpromising

Highusefulness Mediumamountofwork Verygoodpotential

Highusefulness Lotsofwork Futurepotential

Mediumusefulness Smallamountofwork Quickbenefit

Mediumusefulness Mediumamountofwork Potential

Mediumusefulness Lotsofwork Possiblypotential

Someusefulness Smallamountofwork Potential

Someusefulness Mediumamountofwork Possiblypotential

Someusefulness Lotsofwork Leastpromising

1TheFinishNationalCorrespondent.

208

Themodelworksbestwhenusedinvisualform:

Aftergroupingtheproposalsonthetable it iseasytostart implementingthedevelopmentactionsfromtheupperleftcorner,wherethemostpromisingandquicklybeneficialactionsarefound.Withthese ‘Quick Wins’ the development actions can be started straight away and that sets the

developmentworkgoing.Theseareusuallymattersofwillandeffortoftheorganisationitself.

Furthermore it is important to examine the potential or future potential proposals and makedecisions how to proceed with them. These are typically actions that require more preparation,planning work and assigning human as well financial resources and building partnerships. At this

stage it isuseful toreflect theproposalsonthestrategicprioritiesandfinancialpossibilitiesof theorganisation. Some proposals might need remarkable financial and human input, inquiring newfinancesordevelopingnewpartnerships/networks.Theymightnotbeimplementedquicklyoreasily,

buttheycanstill(orjustbecauseofthat)bevitallyimportantforthefutureoftheorganisation.Itisimportanttopickadecentnumberofthiskindofmorechallengingandlonger termactionstothedevelopmentplanandstartwithfirstactionsleadingtofuturegoalsstraightaway.

209

Incasethereareseveralproposalsrequiringremarkableeffortandresources,theremightbeaneedforadditionalcriteriainprioritisingthem.Oftenusefulcriteriaatthisstageare

• effectonproductivenessandsavings

• effectoncustomer/citizenbenefitandlongtermeffectiveness

• critical/beneficialtimeforaction

• importantenablingorriskminimisingaction

Thecriteriaabovecouldalsobegivenweightsaccordingtothestrategicprioritiesoftheorganisation

and the situationathand. Insteadof givingeach criteria theweightof 25%outof 100%, someofthem can bemore and some less important in the given situation and getting a prioritised orderaccordingtothat.

One advantage if this prioritisationmodel is that it is visual and therefore can be easily used for

participatory prioritisationwith a larger group. The picture below illustrates the use of themodelafterCAFself-evaluationofonedepartment.Aftertheself-evaluationgrouphadfinaliseditsworkbyformulatingthemainproposalsforadevelopmentplan,thewholedepartmentwasgatheredinone

roomtohearabouttheresultsandgothroughtheproposalsandprioritisethem.Eachproposalwaswrittenonapost-itpaperandaftercommondiscussionplacedontheboard,wherethedimensionsof usefulness and amount of work where drawn. After that the discussion continued to actions

needed for the implementation to start and the responsible persons/groups for each actionwerewritten down on the same post-it papers. After a two-hour meeting the whole department wasaware of the results of the CAF evaluation, had personally participated in prioritising and had a

sharedviewofthecontentsoftheimplementationplan.

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PrioritisationmethodologyTheSlovakapproach1andtheapproachoftheSlovakcase

1.Prioritisingforimprovementandbreakthrough

Self-assessmenttotheEuropeanCAFmodelquitereliablyidentifiesimprovementopportunities.Thiswillcreateaverylonglistofthingstodo.Sothenextstepistheprioritisation,firstofallthedivisionofprocessesintotwomaingroups.Thefirstgroupcompromisesthoseprocesses,thataremanaged

prettywell.Wecansubjectthemtoacontinuousimprovementregimeandsetpriorities.Thesecondgroup consists of those processes which we identify as being poorly carried out or even badlymanaged.Wemaysubjectthemtoacompletere-visioningandre-design.Ithinkthat'swhatfriends

arefor.InthiscaseourfriendisBPR(BusinessProcessRe-engineering).

Sowhatwearedoingatthisstageisprioritisingforimprovementorbreakthrough.Attheendofthiseffort,wecanhaveatoolkitforimprovementidentificationandprioritisation.Perhapsitcouldbeacompilationandmodificationofsometoolsthathavebeenaroundforalongtimethataremeantto

be used together in making better informed decisions about processes and their continuousimprovementorredesignandre-engineering.

Wearealsohavingaveryintensediscussiononthe3functionalanalysismethodologies,designedas

aself-assessmenttoolforuse incivilserviceandotherpublicsectororganisations.Thetoolcanbeusedinteraliaforprioritisationthatisgovernedbymerit-basedprinciplesofstabile,professionalandpolitically neutral civil service. By understanding the level of merit principles application, we can

begintodecidehowto improveanorganisationthroughredesign(byBPR).Thoseprinciplesareasfollows:

1. Recruit,selectandadvanceonmerit.2. Treatfairlyandequitably.

3. Provideequalpayforequalwork.Rewardexcellentperformance.4. Maintainintegrity,conductandconcernforpublicinterest.5. Manageefficientlyandeffectively.

6. Retainonthebasisofperformance.7. Educateandtrainforbetterperformance.8. Protectfrompoliticalinfluence.

9. Protectwhistlebloweragainstreprisal.

1TheSlovakNationalCorrespondent.

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2.PrioritisationintheSlovakcaseisdeterminedbyafewpremises:

1. People(exceptingCAFteammembersandsomerepresentativesoftopmanagement)don´treadthe complete self-assessment report even when we implement all activities from thecommunication plan for the self-assessment phase and we inform them all shortly about the

mainresults(strengthsandareasforimprovement)aftertheendoftheself-assessmentprocess.That´s whywe offer to all employees the opportunity to send any proposal for improvement(evenanonymously).Experiencehasshownus,thatinthiswaywewillgetmoreproposalsasin

theprocessofconsiderationoftheself-assessmentreport.2. Scoring in the self-assessment report basically shows the importance of the proposed

improvement actions regarding the 9 criteria of the CAF model, but not regarding the

fulfilmentofthe8principlesofexcellence.That´swhyaftercollectingofallthesuggestionsforimprovement, we usually arrange a meeting of the top management with the CAF team. Allparticipantsgetasummaryoftheproposalsdividedinto:

a. CAFcriteria(CC)b. CAFprinciplesofexcellence(PoE)

Thismeetingstartsthenwiththeanalysisofthefulfilmentofprinciplesofexcellence,basedonthequestionnaireusedintheCAFExternalFeedbackprocedure(3rdpillar).Theanalysisismade

insmallgroupsanditsresultcreatesthebasisforthePoEindex.

Finallywecansetuptwodifferentindexes:

1. Index depending on the CAF evaluation criteria (ICC) that basically shows urgency forindividualsuggestionfor improvementbasedonself-assessment(0pointsforcriterion

inself-assessmentmeansICC=1or100%urgency).2. Index depending on 8 principles of excellence (IPoE): if we analyse that we are in the

maturitylevelingeneralprincipleofexcellence,thenIPoE=0or0%andconversely.

3. The consensual scoring used in the self-assessment report is more accurate than theconsensual ratingofprinciplesofexcellencebasedonCAFExternalFeedbackprocedure. It isbecausethescoringscaleinthecaseofself-assessmentisbetween0-100andtheprocessofthe

self-assessment is more complex. We always evaluate every sub-criteria, every exampleseparately–thatiswhytheconsensusmeetingtakeusuallytwodays(atleast).Thescaleinthecase of rating the principles of excellence is based only on 4 levels (0, Initiation, Realisation,

Maturity–wemodifytheminto0-100scale)andwemakeevaluationusuallyonaworkshopinsmallseparategroups.

That´swhyweusevariousscalesforthefinalpriorityindex(Ip):Ip=0,6*ICC+0,4*IPoE

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Conclusion

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Conclusions

Sustainabilityisoneoftheconditionsforsuccessinpublicsectorreforms.Ittakestimetochangethedirectionofthelargetankerthepublicsectorcanbeconsidered.Aconsensusbetweenthedifferent

stakeholdersonalongtimevisionthatguidesthereformestablishesthesolidbasisforasustainablechange. Constant feedback has tomaintain the strength of the vision and the engagement of allstakeholders in its fulfilment. This counts also for the instruments developed to implement the

vision. European Union Member States created in 2000 the Common Assessment Framework tointroduceandimplementTotalQualityManagementinthePublicsectoranditsorganisations.Theywereconvincedthat thisholisticapproachoforganisationaldevelopmentwould leadpublic sector

organisations systematically to the levelof excellence inperformanceand results achievement forthe different stakeholders, in particular for the citizens/customers. The revised versions of 2002,2006 and 2013 maintained the consensus on the importance of TQM for the Public sector and

guaranteedthesustainabilityofthiseffort.ThelaststudyundertakenbytheEuropeanCAFResourceCentre (CAFRC)ondemandof the Italianpresidency in2014wasanadditionalmomentofcriticalreflexiononthevalidityoftheCAF.Thisstudyfocusedontheimpactoftheuseofthemodelonthe

results achieved by the CAF Users, in particular in the sector of Education. As mentioned in theintroduction,oneof themost remarkableconclusionsof the studywas that the scoresofalleightCAFresultssub-criteriaincreasedaftereachCAFimplementation.

Whatarethelessonstobelearnedfromtheselected20goodpracticesintroducedby13countries?

Thisnewstudybuildsfurtheronthesefinding,broadeningthescopetoorganisationsofthewholepublicsector.Apparently,therewasaneedformoreconcreteexamplesillustratingtheinnerlogicof

theCAFmodelandthewayforward.Thecallforcasedescriptionsputtheemphasisontheobtainedresults in performance by implementing improvement activities chosen after the self-assessmentwithCAF.43CAFUsersfromoverallEuroperespondedonavoluntarybasis. 'After16year,CAFis

stillaliveandkicking',couldbeasideconclusionofthishighresponserate.

ItwasadifficulttaskfortheCAFRCandtheSlovakpresidencytoselect20casesthatwereinvitedtodeepen-out their case description and present their case at the 7th European CAFUsers Event inBratislava on 30 November 2016. The study itself presents them in-depth per country. These

conclusions however present some clusters of similar good practices that public organisationsprioritised and implemented. It helps organisations to find inspiration in other organisationsachievements. It isdifficult to findgeneral tendencies inorganisational improvementstrategies,as

thecontextofeachorganisationineachcountryisspecific.Buttheclustersgiveanideaofthemajordomainsofpublicmanagementtheimprovementactivitiesdealtwith.

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In most case descriptions, clear data illustrated the link between the better results of theorganisation and the undertaken improvement actions. This proves once more that a sound

diagnosis isneededforaneffectivedecisionmakingprocessonimprovementactivitiesthatmatterandmakethedifference.AnumberofcasesshowtheuseofCAFasalong-termsteeringmechanismforbuildingupanexcellentorganisation.

Cluster1:Theeffectivenessofstakeholderinvolvement

The education and guidance needs of the Italian Secondary Education Institute Galilei-Artiglio,Viareggio,Italy

Gathering information on the present and future needs of stakeholders as well as relevantmanagementinformationisthebasisofsuccessforthiseducationinstitute.20%increaseofthenewentrees,40% increaseof theattendances to seminarsof indepthstudyand20% increaseofgood

reportsbycompanieswherestudentshavedonetheirinternship.Thisshowsthatthemainstrategicinitiativestakenweresuccessful.Mostimportantwerethesurveysaboutthefutureemploymentofthe graduates from this school in the employment market their choices at university, the

organisationofseminarsandscientificpost-graduatecourses.

Increased stakeholder involvement in the planning of the Consumer Ombudsman’s work andpriorities.ConsumerOmbudsman,Norway

The organisation has installed a more systematic approach to obtain relevant information from

stakeholders in theplanningof theorganisation’spriorities for thecomingyear. Ithelda seriesofmeetings with relevant stakeholders during the planning phase of the action plan. Selectedstakeholders where invited to give presentations to the organisation. The foreword of the

organisation'splanofaction2016highlightstheincreasedinfluenceofitsstakeholders.

Cluster2:HumanResourcesManagement

HRManagementattheDistrictofUpperBavaria,Germany

TheinstalledHRManagementattheDistrictconsiderstheemployeeasthefoundationofitssuccess.

Themostrelevantcomponentsthatwereestablishedwereastandardisedfeedbacksystemfortheexecutivestaffbytheemployeestoimprovetheirmanagementskills,acurriculumfortheexecutivestaffandmiddlemanagement,theintroductionofanoperationalhealthmanagementsystemwithin

thedistrict andexternal assessmentof theorganisation and keyprocesses at theHRdepartment.InnovativeHumanResourcesManagementintheLisbonMunicipality,Portugal

ByusingCAFasaguide,thisMunicipalitywasabletoprovideaclearvisiononHRresponsibilitiesand

builduptheHRFunctionbycreatingtrainingteamsthatworkwithmanagers,promotingvoluntaryand short-term participation on projects, aligning organisational and individual competences withrespective development plans and creating a learning community for performance management.

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Employees' participation levels on training increased by 21% andmore than 126 employees (250hoursoftraining)weretrainedontopicssuchasHRFunctionandininternalclientrelations.

Cluster3:PerformanceandStrategicManagement

Consequences of the implementation of Performance Management in the entire FederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery,Austria

ThecomprehensiveintroductionofperformancemanagementintheFederalAdministrationin2013hadabigimpactontheCAFresultsinLeadershipandStrategicmanagementinDGIIIoftheFederalChancellery. With the introduction of the new system of performance management, the Federal

Chancellery has developed amission statement, outcome-goals,measures, indicators on all levelsandanevaluationsystem.

StrategicplanningintheFlemishDepartmentofAgricultureandFisheries,Belgium

The outcome of the CAF exercise at the Flanders Department of Agriculture and Fisheries can be

summarisedastheneedforoneoverall‘strategicexercise’.SeveralSWOTanalysiswithinternalandexternalstakeholderspreparedtheexerciseandidentifiedtrends.Atwo-daystrategicseminarwithmanagement representatives and key persons resulted in the new strategic framework with a

mission statement, vision, strategy and values for the new organisation. Within this strategicframework, the organisation further elaborated several key elements such as the HR strategy,integrity,diversity,wellbeingandcommunication).Itdefinedandfollowedupoperationalplans.

Cluster4:CAFbasedTQMManagement

Stakeholder analysis in the Hessian Administration for Land Management and Geoinformatics,(HVBG),Germany

HVBGisintheprocessofreducingpersonnelexpenditureandcostsofinfrastructure.Itconcentratesoncoredutiesandoffersgoodproductsandservicestocorecustomers. It improvesprocessesandtechnology to reduce treatment/process times in order to reduce process costs or to decrease

complaints on products/service. HVBG invests at the same time in personnel development andtechnology. All this is achieved by implementing Strategic Management including contracts withpoliticalleadership(2010,2011-2016and2017-2022),partnershipswithrelevantorganisations/core

customers, leadership development programs for all hierarchical management, staff developmentactivties/programmes, teamwork-structure in every section of the organisation and Process,KnowledgeandProjectManagementsince2009.

CAF-inspiredLeadershipintheCityofVienna,Austria

CAFisshowntobeausefultooltoenableexecutivestoquicklyandsuccessfullytakeuptheirnewposition,andtooptimiseanorganisation inanevolutionaryway.Thenewmanagementoptimisedvalues, strategies, structures, processes, facilities for people and other managerial assets. It

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transformed the former authoritative one-person leadership into a multi-competences leadershipteamby introducingdivisioncoordinators,executivedepartmentsanddecentralisedadministrative

units. A thorough remodelling regarding the organisational structure and procedures took place,following the principles ofmodern leadership and involving staff and stakeholders. Targets of thenew leadership culturewere for example: enhance trust, promote a positive error and complaint

culture,developmanagementprinciples,implementamissionstatementforleadershipanddevelopaneducationstrategyforseniorstaff.

Walkinghand inhandwith taxpayers towardsExcellence in theBenidormTreasuryDepartment,Spain

Thankstodifferentimprovementactivities,theTreasurydepartmentrealisedaremarkableincrease

inthenumberoftaxsettlementsandreverse-chargespaid,taxcollectionsduringthevoluntaryandthe enforcement period, economic transparency, interdepartmental coordination, satisfaction ofcitizensandemployees,accessibilityoffacilitiesandpartner involvement. Itdecreasedthenumber

ofcomplaintsfiled,theaveragepaymentperiod,theindebtednesslevelandthelocaldebtamount.Itcreatedtwoprofessionalsocialcommunities,simplifiedprocesses,madeallproceduresaccessibleby electronicmeans andnewelectronic payment systems. It established an information exchange

system with regular surveys and meetings, a training plan and gradual empowerment andspecialisationofsomeemployees,aServicesCharterforthecitizensandanadvancedmanagement

andpaymentsystemaswellaspublic-privateagreements.

Cluster5:Customerandpeopleorientedcontinuousimprovement

ContinuousimprovementoftheMinistryofFinance,Estonia

Results under criterionNo6 citizens/clients andunder the keyperformance results criterionNo9stronglyimprovedduringtherecentyearsbutincriterionNo7thepeopleresultsonlyslightlyraised.The citizens/customers andpartners needswerebetter understoodwhich led tomore andbetter

e-services for the clients. New agencies started up: the Information Technology Centre of theMinistryofFinanceaimedatofferingICTsupportandtheStateSharedServiceCentreconsolidatingof all the support services. Changes in the budgeting process and the efficient application of EU

StructuralFundsresourcesalso ledtotheadvancementofservicesandabettergoverningsystem.Constantchanges inthepeoplemanagementtookplacewiththeelaborationofapersonnelpolicydocument, a better accessibility of information, a more understandable salary system and

fundamentalchangesinthesystemofappraisalinterviewsinlinewiththecompetencymodel.

ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia,Savona,Italy

TheSavonaTerritorialUnitachievedremarkableresults regarding theuserssatisfactionofservices

(from40%tothecurrent70%),thesatisfactionofthepeople(from50%tothecurrent90%)andthereductionofthecitizenwaitingtimes(fromanaverageof20minutestoanaverageof5minutes).

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Thiscouldberealisedthankstotheimprovementofthefront-officeprocessesand,inthemeantime,to the development of a systemic and structured system of complaints monitoring to check the

statusoftheimprovingactions.ThemajorimprovementareadefinedintheCAFself-assessmentwasmanagingpeakworkinghoursatthefrontoffice.

Cluster6:Staffinvolvement

Theinitiative-systemintheStateResidentialSchoolLiminka,Finland

The staffof the residential school is actively involved in thedevelopmentof activities through the

renewedinitiativework.Thenumberofinitiativeslaunchedbythestaffhasrisenfrom16in2010to84 in 2014. Initiatives are a good tool for improving safety and shared ownership in the verydemandingeverydaytasksoftheorganisation.Themanagementmadepresentinginitiativesaseasy

as possible. People enter the initiatives directly to an electronic ‘MAP’, i.e. themanagement andoperational system of the organisation. In case somebody wishes so, he or she can ask themanagement to write the initiatives into the system by face-to-face contact or e-mail. The

managementteamdealswiththenewinitiativesonamonthlybasis.

TheBankofIdeasintheCustomsChamberofBialystok,Poland

The Bank of Ideas improves the process of internal communication, both vertically as well ashorizontally.On a regular basis, themanagement at all levels is informedabout all the aspects of

activitiesneedtobeimprovedandwhichareimportanttostaff.ThefunctioningoftheBankofIdeasimproves the satisfaction of officers/employees and increases the identification ofofficers/employeeswith the service. TheBankof Ideas is a costless platform throughwhich every

employeeof the localcustomschambercansubmitany ideato improvetheorganisationalcultureand governance. The Bank of Ideas promotes the innovation of processes and the creativity ofofficers and employees. This case presents three major improvement activities: the Mobile

applicationGranica,providing full informationaboutthewaitingtimeat thePolishbordercrossingwithRussia,Belarus andUkraine (1), theunificationof theemail addresses structure for receivingcustomsdeclarations(2)andtheelectroniccommunicationwiththedistrictcourts(3).

Cluster7:Workingtogetherforbetteroutcome

Target-orientednetworkleadershipofeducationalservicesinthePäijät-häme,Finland

AnetworkofindependentmunicipalitiesintheregionofPäijät-hämehasbuiltacommonvisiononeducational services and the municipalities are committed to work together in a cooperative

manner. The vision is present in the production of educational services and harmonising thosethoughcommonprinciples.Thenetwork-basedapproachinvolvingcentraloperatorsfromdifferentmunicipalitiesinthesameserviceprovisionchainandunderthesamedirectionhasturnedouttobe

a well-functioning method of collaboration. The proposed measures affect all profit centres,

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customersscores,staffscores,socialresponsibilityscoresandkeyperformancescores.ThebasisisaCAF based operating system for network leadership. The commitment of city and municipality

governmentstooperativecooperationisessential.Plansfordevelopingnewnetworksforsubstanceareas,startingcommonprojectsandbuildinganelectronicdatabase,areonthetable.

QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar,Portugal

SixSchoolsGroupFigueiraMar isamultilevel institution located inFigueiradaFoz,consistingof6

public schools with 1200 students and all levels of education from pre-school to regular andvocationalsecondaryeducation.CAFallowedthereflectionaboutthenewlyformedschoolcluster.Startingfromthevisionofeachschool,theyconstructaholisticidentityandculture,mobilisingthe

entire schoolcommunity inorder tomake investments in improvingstudent-learningenvironmentand to enhance stakeholder satisfaction. They developed strategic documents focused on theidentityoftherecentschoolclustersuchastheEducationalProject,theRegulationandtheWelcome

programme to new teachers, students and parents. The cluster applied satisfaction surveys tostakeholders (partners, students, parents and staff) which highlight leadership, administrativeorganisation,resourcemanagementandeducationalstrategies.

Cluster8:Sharinginformation

TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService,Greece

HMGS has designed, developed and implemented an Integrated Information System (IIS) for thedissemination of all pertinent geographic information to the public, aswell as to both public andprivateinstitutions.Successfulcompletionreliedupontheadaptationofcurrente-shoptechnologies

and practices. HMGS’s objective was to deliver accurate, precise, real-time information on allavailable, distinct Geospatial Materials and allow for directory browsing, product selection andpurchase.Salesandinventorymonitoringresultinimprovedproductioncapacityandefficiency.The

IIS implementationhasproventobean importantaidto leadership.Managementpracticesreflectupon performance and are appropriately fine-tuned to support continuous improvement andinnovation,hencefosteringeffectiverelationswiththestakeholders.Furthermore,theIISallowsfor

clear vision and proactive planning, since data analytics offer insights on the present and futureneedsofstakeholdersanddriveresourceallocation.

TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje,Slovenia

The Administrative Information Service System Celje (AISS) contributed to an even bettercooperation between the Administrative Unit Celje and other authorities. The information passedthroughAISSenablestheirclientstodeclaretheirrequestswithallnecessaryattachments.Because

ofthis,theauthoritiescansolvetherequestsmoreeffectivelyandbeforelegaltimelimits.Resultingin higher satisfaction of clients and employees. While determining the satisfaction of otherauthorities of Administrative Unit’s Celje work, the grade received was ‘excellent’. Since 2013 all

casesarebeingsolvedinorbeforelegaltimelimitsattheAdministrativeUnitCelje.

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Separatetheme:Communicationasthedriverforchange

A quality approach focussed on internal and external communication in the “Haut Ecole” ofHainaut,Belgium

A continuous improvement of the communication and strategic skills led to the promotion of acultureof quality in this education and training institution. It targets the future students, learners

and graduates (alumni) as well as teachers, administrative and technical employees of the HEH.Different approaches were installed: a participative organisation for external communication, theelaborationofaQualityCharteranditsinternaldiffusionwithplannedself-awarenessofeachitem,

aneffectiveinternalcommunicationwithextranet,computerisedsupport,freeprogrammes,onlinelearningtoolssupportedbyanITteam,andprojectsalikeawelcomeguideandalumnifollow-up.

Separatetheme:Internalrecruitmentofmanagers

The internal recruitment procedure for managerial positions in the Tax Chamber of Wroclaw,Poland

The setting of a transparent procedure for managerial positions not only contributed to bettermanagement of human resources as such with reference to the organisation’s goals but also

improved thesatisfactionandmotivationof theemployees. In thePolishcivil service therearenorecruitment regulations dedicated to the mid and lower level managerial positions in the taxservices.Thesearetreatedasregularcivilservicepositions.Inordertoprovidebettertransparency

of recruitment and better alignment of the employees hired to the organisation’s goals, arecruitmentprocedurewasestablisheddefiningrulesandselectioncriteria.

Separatetheme:ProcessManagement

Theuseof6σ(Lean–SixSigma)forstreamliningprocessesintheImplementationAgencyoftheSlovakMinistryofEmployment,SocialAffairsandFamily,Slovakia

The implementation of Lean Six Sigma into the process approach brought measurement of theemployee’sperformancealongwiththeimpacttotheirfinancialremuneration,thereductionofthe

errorrateandmajoraccelerationofservicedelivery.Amanagementinformationsystem(ATTIS)wasintroducedtotheentireorganisation(250employees).Otheraspectswerethemappingofthekeyprocesses and the assistance of the management and support processes by PRINCE2® project

management.

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Whatinsightsdotheintroducedprioritisationmethodologiesprovide?

Under thePolish presidencyof the EuropeanUnion, The EuropeanCAFResourceCentremade an

extensivestudyontheuse,thesupportandthefutureoftheCommonAssessmentFramework:FiveyearsofCAF2006:fromadolescencetomaturity.407CAFusersfromof27countriesansweredalistof questions not avoiding the critical issues related to the use of CAF. Regarding the obstacles

encounteredindevelopingtheimprovementplanaftertheself-assessment,43,7%foundthelackofagoodmethodologyforprioritisingtheactionstoalimitedextendaproblem,17,5%eventoalargeextent,but34,3didn’tseehereaproblematall.

Obstaclesencounteredindevelopingtheimprovementplan:

CAF can only be successful if the self-assessment leads to a sound improvement plan, based on

consulting the major stakeholders, especially staff. Under the responsibility of the managementchoiceshavetobemadetousethelimitedresourcesinthemosteffectiveway.

SothereareplentyofreasonstryingtofindouthowCAFusersinthedifferentcountriesprioritisedtheiractions,asthereisnotacommonEuropeanmethodologyimposedtodoso.

Basedonthemethodologiesdescribedinpart2ofthestudywecanmakeadistinctionbetweenfour

typesofmethodologies.

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1.ThemethodologydevelopedbyEIPAandspreadattheEuropeanlevel

Thismethodology isbasedontheBelgianexperiencesandusedduringtheEuropeantrainingsand

coachingbyEIPA. In linewiththemottoofCAFtoconcentrateonthemostrelevantaspectof theanalysis,theSelf-AssessmentGroup(s)-withorwithouttheleadersincluded-areinvitedtoformulatesmart(Specific,Measurable,Acceptable,RelevantandTimebounded)improvementactionsrelated

towhattheyconsiderthemostrelevantareasof improvementpersub-criterion. Inthissense,themembersoftheSelf-AssessmentGroupsgivealreadyafirstdirectiontotheimprovementactivities.Indeed, fromthenon, the focusshifts fromtheanalysisofstrengthsandareasof improvement to

the evaluation and prioritisation of the proposed actions and the elaboration of the strategicimprovementactionplan.

In the prioritisation phase, collaboration between the managers and the members of the Self-Assessment Group(s), representing in some way the whole staff, is very important. In case the

management teamwasnot represented in theSelf-AssessmentGroupordidnotundertakeaself-assessmentonit’sown,themanagementteamisforthefirsttimeactivelyinvolvedinthedecisionmakingprocessonthefuture.Forthemembersoftheself-assessmentteam(s)ontheotherhand,it

isveryoftenthefirsttimeintheircareerthattheycandiscusswiththemiddleandtopmanagementonstrategicandoperationalissues.Theylivethisasaveryrewardingexperience.Oftenitisforthemthestartofalong-terminvolvementintheimprovementoftheorganisation.

DefiningtheQuickWins,withtheengagementtorealisetheseactionswithinashortdelay,weighing

the strategic impact (SW) of the rest of the proposed actions and evaluating the ease ofimplementation (EIM) of the most important actions, demands in-depth reflection. Defining thepriorityofimplementation(PIM)andthefinalchoiceoftheactionsdependtoahighextendofthe

qualityofthesediscussionsandthetrustbetweentheactors.

2.MethodologiesdevelopedbyNationalCAFResourceCentres

In 2 countries, the national CAF resource centre and the national CAF correspondent developed

themselvesamethodologythatisdisseminatedinthecountry.

2a.TheItalianapproach

InthefivephasesoftheItalianmethod,theselectionofthepriorityareasforimprovementinvolvingstaffandmanagementistheimportantstartingpoint.

Inphase1, theSelf-AssessmentGroup (SAG)makesa cross-sectional synthesisof theweakpoints

thatappearinallthesubcriteriaandclassifiesthemaccordingtothreecharacteristics:recurrence,strategicimportanceandoperationalimportance.

Inphase2,theSAGandManagerdefinebetween4to6CriticalSuccessFactors(CSF’s)relatedtothemission,visionandstrategicobjectivesoftheorganisation.Theyassesstheimportanceorrelevance

ofeachsubcriterionfortheachievementoftheCSFs.Persubcriterion,thetotalscoreismadeand

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purely mathematically calculated on a scale from 1 to 10 to define the relevance of each subcriterion. By crossing the relevance of each sub criterionwith the score obtained in the CAF self-

assessment, 4 priority levels are defined amongst the sub criteria. Especially the recurrent andstrategicallyimportantweaknessesofthesubcriteriawithpriority1(highrelevanceandlowscore)and priority 2 (low relevance and low score) are analysed, resulting in a preliminary list of

weaknessesbetween8and15.

Inphase3,theSAGdefinespossibleimprovementinitiativesforeachweakness.Afterclustering,thiscanleadto6to12initiatives.

InPhase4,theSAGdefinesforeachimprovementinitiativeitsimpactonthecriticalsuccessfactors,the feasibility and the realisation time, information thatmust help themanager tomake his final

decision.

Inphase5,themanagerdecidesonexecuting3to5actionsbesideanumberofQuickWins.

VeryimportantintheItalianapproachisthecross-sectionalsynthesisoftheweakpointsduringtheCAF self-assessment and the definition of the CSF’s that are the basis for the evaluation of therelevanceof the sub criteria by the SAGand theManager. To a certain extent, this adds anextra

dimensionoftheuseoftheCAF,thatdoesnotweighthesubcriteria.Thefourprioritylevelshelptofocusonthemostneededactionradius.Asinothermethodologies,impact,feasibilityandrealisationtimeoftheactionproposalsareevaluated.

2b.ThePortugueseapproach

ThefirststepinthePortuguesemethodologybringstheproposalsfor improvementsfromtheself-

assessment teams together with the stakeholder’s suggestions from the satisfaction surveys andclustersthemintopics.Integratingstakeholder’ssuggestionsisparticularinthisapproach.TheQuickWins amongst the proposed actions are directly set aside as in the EIPAmethodology andwill be

realisedanyhow.

Step two defines the relevance of the rest of the improvement actions for the organisationalobjectives.

Instepthree,theproposedrelevantactionsarerankedaccordingtothreecriteria:theimpactoftheaction on the organisational performance, the capacity of implementation of the action and its

impactontheclients’satisfaction,similartotheEIPA’sandtheItaliancriteria.Anexecutionschedulefortheoverallimprovementplanallowsmonitoringthesystematicfollowup.Eachactionformdealswithalltheaspectsthatneedstobetakenintoconsiderationtomakeitsuccessful.

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3.Recommendationsforprioritisationatnationallevel

In other countries, the national CAF Resource Centre did not elaborate a comprehensive national

methodology forprioritisationbut sharesdifferentways thatareused inorganisations tocometotheiractionplan.

3a.Poland

In one approach, the Self-Assessment Group defines in advance concrete characteristics for the

improvementactionstobeformulated,e.g.inonecase12characteristicswereformulated.Amongstthe suggested actions, the organisation selects for implementation the actions linked to the subcriteriawiththeweakestscores.

In another method, the management defines the prioritisation criteria in line with the strategic

objectivesoftheorganisation.

Inthethirdmethodology,themembersoftheSelf-AssessmentGroupandthemanagersreformulatetogether the proposed actions to bring themmore in linewith the improvement areas. Then theimpact on the strategic objectives and the capacity to implement the action are evaluated and

ranked.Outoffiveproposedactions,threeareimplementedinthecurrentyear.

3b.Austria

TheAustrianCAFCentrealsorecommendsa limitednumberofmilestones.A listofbyaverage80improvementsactionsastheresultoftheconsensusmeetingsoftheSelf-AssessmentGroupSAGis

discussed in a workshop with representatives of the SAG and the management. Quick Wins aredefined.Outoftheremainingactions,the10to12mostimportantareselectedandfurtherspecifiedand clustered. Afterwards, working groups draft project descriptions and plenary sessions find

consensus.Thelowprioritisedactionsaredealtwithaftertheimplementationoftheprojectplans.

3.c.Finland

Themethodologyofprioritisationused in theStateTreasury canbe seenasanexample forotherpublicorganisations.Allproposalsforimprovementareanalysedontheirusefulnessandtheamount

ofworktoinstallthem.Thecombinationofbothcriterialeadstoarankingfrommostpromising,topotentialandleastpromisingactions.QuickWinsareclearlydefinedandtogetherwiththeactions

leadingtofuturegoals, launchedstraightaway.Potentialandfutureproposalsarereflectedonthestrategicprioritiesand financialpossibilitiesof theorganisation.Theyareevaluatedontheireffecton the efficiency and effectiveness of the organisation, on the critical time for action and the

importance of the enabling or risk minimising nature of the action. A maximised participatorydiscussiononthefinalchoiceoftheactioncommitsstaffinthepreparationofthefuture.

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4.ThemethodologyoftheSlovakcase

Allemployeesareinvitedtointroduceproposalsforimprovement,notonlythemembersoftheSelf-

AssessmentGroup.ThemanagementandtheCAFteamdefinethepriorityof theaccordingto thescoresoftheCAFcriteria(CC)andtheCAFPrinciplesofExcellence(PoE).Basedonthequestionnaireof the 3rd pillar of the CAF Procedure on External Feedback, the fulfilment of the principles of

ExcellenceareanalysedandtheresultsintegratedinthePoEindex,indicatingthelevelofmaturity.TheCAFindex(Icc)showstheurgencyofactioninaspecificsub-criterion.Thefinalpriorityindex(Ip)isanadditionoftheIccindex(urgency)for60%andthePoEindex(levelofmaturity)for40%:Ip=

0,6*Icc+0,4Ipoe.Inthismethodology,thematuritylevelplaysamoreimportantrolethenintheotherapproaches.

Characteristicsofthedifferentprioritisationmethodologies

Allthemethodologieshaveanumberofaspectsincommontoacertainextent:

• InthestartingphasetheyalldefineQuickWins.

• Theappreciationofstrategicimportanceorimpactoftheimprovementactionsassuchorin

relationwiththestrategicobjectivesoftheorganisationarealwayspresent.

• Theanalysisofmostaspectsofthefeasibilityoftheactionsarealwaystakenintoconsideration.

• Thefinaldecisionalwayslaysinthehandofthemanagement.

Therearedifferencesregarding:

• Theinvolvementofallstaffandotherstakeholdersintheintroductionofproposalsfor

improvement.

• TheinvolvementoftheSAGmembersinthechoiceoftheactions.

• Thenumberofchosenactions.

• TheintegrationofthelevelofmaturityaccordingtothePrinciplesofExcellenceinthemethod.

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TheCA

Fne

twork

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TheCAFnetwork

The Common Assessment Framework is a product of the IPSG (the Innovative Public Services)working group embedded in the European Public Administration Network (EUPAN). EUPAN is an

informalnetworkofDirectors-General responsible forPublicAdministrations inEUMemberStatesandtheEuropeanCommission.Itisaplatformforexchangeofviews,experiencesandgoodpracticesto improve the performance, competitiveness and quality of European central public

administrations. The IPSG working group especially focuses on quality management and thecustomerorientation inpublicadministrations.TheCAF,asoneof themost importantproductsofthe IPSGworking group, has its own subgroup, the CAF Expert Group,which is supported by the

EuropeanCAFResourceCentre.

TheCAFExpertGroup iscomposedof theCAFnationalcorrespondents (therepresentativesof thecountries), theEuropeanCAFResourceCentreand representativesof theEuropeanFoundationof

QualityManagement(EFQM).ThemajortasksoftheCAFexpertgroupare:

• toimproveandregularlyupdatetheCAF;

• to define in collaboration with EIPA the role of the European CAF Resource Centre (tasks,

mandate,placement,financing);

• todevelopincollaborationwithEIPACAFsupporttools(e.g.CAFwebsite);

• toanalysetheproblemofself-assessmentvalidation;

• tovalidatethedifferentwaystoadaptCAFfornationalorsectoraluse;

• toassistandpromotetheexchangeofgoodpracticesofoperationalmanagerialtoolsbetween

EuropeanMemberStates;

• toorganisetheCAFUsers’Events(contentpapersandprogrammes);

• toreportbacktotheIPSGatleasttwiceayear.

The CAF Expert Group meets twice a year. The meetings are organised by the Presidency – thecountrypresidingovertheCouncilofEU–assistedbytheEuropeanCAFResourceCentre.

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TheCAFNationalCorrespondents

Austria MsSandraKastenmeier FederalChancelleryIII/9/aUnitforCivilServiceInnovationBallhausplatz1AT1010Viennawww.bka.gv.at

Austria MrThomasProrok CAF-CenterZentrumfürVerwaltungsforschungGuglgasse13AT1110Viennawww.caf-zentrum.at

Belgium MrManuBreynaert

MrJean-MarcDochot

MsIsabelleVerschueren

FederalPublicServicesPersonnelandOrganisationOrganisationalDevelopment51ruedelaLoiBE1040Brusselswww.publicquality.be

Bulgaria MsMimiYotova InstituteofPublicAdministration6-8SerdicaStr.BG1000Sofiawww.ipa.government.bg/bg/za-centrahttp://quality.government.bg/en

Cyprus MsLeniaOrphanidou MinistryofFinancePublicAdministrationandPersonnelDepartmentCY1443Nicosiawww.mof.gov.cy/mof/papd/papd.nsf

CzechRepublic MsLenkaSvejdarova MinistryoftheInteriorDepartmentforPublicAdministrationNáměstíHrdinů3CZ14062Prague4www.mvcr.cz/kvalita

Denmark MsRitaSmedegaardAndersen MinistryofFinanceAgencyfortheModernisationofPublicAdministrationLandgreven4P.O.box2193DK1017CopenhagenKwww.modst.dk

Estonia MsKarinNärep MinistryofFinancePublicGovernancePolicyDepartment1Suur-AmeerikaEE15006Tallinnwww.fin.ee

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Finland MsAilaSärmälä

MsMarikaTammeaid

StateTreasuryServicessupportingfinancialadministrationandmanagementSörnäistenrantatie13FI00054Helsinkiwww.statetreasury.fi

France MsCélinePelletier MinistèreduBudget,desComptespublics,delaFonctionpubliqueetdelaRéformedel'EtatDirectiongénéraledelaModernisationdel'Etat(DGME)-ServiceInnovationTélédoc81764AlléedeBercyFR75572ParisCedex12www.modernisation.gouv.fr

Germany MsAstridStein BundesverwaltungsamtFederalOfficeofPublicAdministrationGermanCAF-CenterDE50728Colognewww.caf-netzwerk.dewww.bundesverwaltungsamt.de

Greece MrIoannisDimitriou MinistryofAdministrativeReformandE-GovernanceVassilisisSofias15strGR10674Athenswww.ydmed.gov.gr

Hungary MrDávidSzabó

MsJuliannaKisnéMátrai

PrimeMinister’sOfficeDepartmentforPublicAdministrationDevelopmentKossuthLajostér2-4HU1055Budapesthttps://caf.kim.gov.hu

Ireland CivilServiceHRDirectorateDepartmentofPublicExpenditureandReform7-9MerrionRow4thFloorIEDublin2

Italy MsSabinaBellotti DepartmentforPublicAdministrationCorsoVittorioEmanuele116IT00186Romewww.funzionepubblica.gov.itwww.qualitapa.gov.it

Latvia MsJolantaLiepa StateChancelleryDepartmentforPublicAdministrationDevelopmentBrivibasblvd.36LV1520Rigawww.mk.gov.lv/lv/content/kvalitates-vadiba

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Lithuania MsGitanaJurjoniene MinistryofInteriorPublicGovernancePolicyDepartment2Sventaragiost.LT01510Vilniuswww.vrm.lt

Luxembourg MsNadineHoffmann

MsJoséeKappweiler

MinistèredelaFonctionPubliqueetdelaRéformeAdministrative63,avenuedelaLibertéB.P.1807LU1018Luxembourgwww.fonction-publique.public.luwww.fonction-publique.public.lu/fr/modernisation-etat

Malta MrJosephBugeja OfficeofthePrimeMinisterManagementEfficiencyUnitMCEBldgLevel1,TriqL-IndustrijaMT3000Qormiwww.cafmalta.gov.mtwww.opm.gov.mt

Norway MsGudrunVik AgencyforPublicManagementande-Government(DIFI)P.O.Box8115Dep.NO0032Oslowww.difi.no

Poland MsKatarzynaDudzik ChancelleryofthePrimeMinisterDepartmentofCivilServiceal.Ujazdowskie1/3PL00-583Warsawwww.dsc.kprm.gov.pl

Portugal MsMariadaLuzClaro

MsTeresaGanhão

MsInêsNolasco

MinistryofFinanceDirectorateGeneralforAdministrationandPublicEmployment(DGAEP)DepartmentofResearch,InternationalRelationsandCommunicationRuadaAlfândega,5-2PT1149-095Lisbonwww.caf.dgaep.gov.pt

Romania MsVasilica-ValentinaRusen MinistryofDevelopmentandPublicAdministration(MDPA)DirectorateforPublicAdministrationReformInstitutionalReformServiceRevolutionSquare,no,1ASector1ROBucarestwww.mdrap.ro

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Slovakia MrĽubomírPlai SlovakOfficeofStandards,MetrologyandTestingQualityDepartmentŠtefanovičova3SK81005Bratislava15www.unms.sk

Slovenia MrVitomirPretnar

MrMatijaKodra

MinistryofPublicAdministrationBetterRegulation,AdministrativeProcessesandQualityServiceTržaškacesta21SI1000Ljubljanawww.mju.gov.si

Spain MrJoaquínRuizLópez

MsBegoñaLázaroÁlvarez

MinistryforFinancesandPublicAdministrationEvaluationandQualityAgencyDepartmentofServicesQualityc/PríncipedeVergara,1083ªplantaES28002Madridwww.aeval.es

TheNetherlands MinistryoftheInteriorandKingdomRelationsPostbus20011NL2500EATheHaguewww.minbzk.nl

Turkey MrAkinAk PrimeMinistryDepartmentforAdministrativeDevelopmentBasbakanlikMerkezBinaBakanliklarTR06573Ankarawww.basbakanlik.gov.tr

UnitedKingdom CabinetOffice70WhitehallUKLondonSW1A2ASwww.customerserviceexcellence.uk.comwww.cabinetoffice.gov.uk

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CAFCorrespondentsfromcountriesoutsidetheEUPAN

Armenia MsRuzannaKhachatryan CivilServiceCouncilofArmenia89Teryanstr.AR0009Yerevanwww.csc.am

CapeVerde MrAlfredoPina SecretariatofStateofPublicAdministrationDirectorateGeneralforPublicAdministration(DGAP)DepartmentofHumanResourcesRuaCidadedoFunchalMeiodaAchadadeSto.António

China ChineseAcademyofGovernance(CAG)N°6ChangchunqiaoRoadHaidianDistrictBeijing

DominicanRepublic MsJohanaGuerreroCarrero MAP-MinisteriodeAdministracionesPúblicasDirectoraInnovaciónenlaGestiónDepartamentodeInnovaciónenlaGestiónwww.map.gob.do

TheFormerYugoslavRepublicofMacedonia

MsMarijaNikoloska MinistryofInformationSocietyandAdministration(MISA)UnitforinternationalcooperationBvl.Sv.KiriliMetodijabr54MK1000Skopjewww.mioa.gov.mk

Iceland MrPéturBergMatthíasson MinistryofFinanceArnarhvoliIST150Reykjavíkwww.raduneyti.iswww.government.is

Russia MrDmitryMaslov

MsLiliyaNurgatina

Kazan(VolgaRegion)FederalUniversity18KremlevskayaRU420008Kazanwww.kpfu.ruwww.hspa.kpfu.ru

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SouthKorea MrSungJinWoo EUProgrammes(StudyVisitProgrammestotheEuropeanUnion)10thFl.Baeksangbldg.Gwanhoon-dongJongno-guKR110-782Seoul

Ukraine MrIuriiKabakov

MrPetroKalyta

UkrainianAssociationforQualityMykilsko-SlobidskaStr.,6-DUA02002Kievwww.uaq.org.ua

Organisations

EFQM MrGianlucaMulè EuropeanFoundationforQualityManagement(EFQM)AvenuedesOlympiades2BE1140Brusselswww.efqm.org

EIPA MrPatrickStaes

MrNickThijs

MsDorinaClaessens

EuropeanInstituteofPublicAdministration(EIPA)EuropeanCAFResourceCentreP.O.Box1229NL6211HEMaastrichtwww.eipa.eu/caf

TheEuropeanCAFResourceCentre

TheEuropeanCAFResourceCentre(CAFRC)wasestablishedinMay2001attheEuropeanInstituteofPublicAdministration(EIPA)inMaastricht.Itsmissionis:

• tobeacentreofexpertiseinCAFimplementationpromotingtheCAFandgoodpracticeinitsuseinpublicadministrationsinEurope;

• toactasacomplementto,and incoordinationwith,theexistingnationalcentresofexpertise,andwithafocusoncountrieswithoutanationalcentreofexpertise;

• tobeatrainingandconsultancycentre;• tocarryoutresearchontheuseofthemodelandfurtherdevelopit;• tosupportandstimulatetheEuropeannetworkofnationalCAFcontactsandthecommunityof

CAFusers;• tomaintaintheCAFdatabaseforregisteredusersandgoodpractices.

www.eipa.eu/caf

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October2016

PublicationrealisedbytheCAFResourceCentreattheEuropeaninstituteofPublicAdministration,withthesupportoftheSlovakPresidencyoftheEU.

CAFResourceCentreEuropeanInstituteofPublicAdministration

P.O.Box12296201BEMaastrichtTheNetherlands


www.eipa.eu

CAF Improvement identification, prioritisation and implementation · Paper2 (July 2016 - July 2019)...

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