Self Assesment in Public Sector 2013

8/10/2019 Self Assesment in Public Sector 2013

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2013

Improving Public Organisations through Self-Assessment


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The Common Assessment Framework (CAF)Improving Public Organisations through Self-Assessment

CAF 2013


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Table of Contents

7 Foreword

9 General Introduction

15 Enablers Criteria17 Criterion 1: Leadership21 Criterion 2: Strategy and Planning25 Criterion 3: People

29 Criterion 4: Partnerships and Resources35 Criterion 5: Processes

39 Results Criteria41 Criterion 6: Citizen/Customer-oriented Results44 Criterion 7: People Results47 Criterion 8: Social Responsibility Results50 Criterion 9: Key Performance Results

53 CAF Scoring and Assessment Panels

59 Guidelines for Improving Organisations using CAF

69 Glossary

77 Annex Structure CAF 2006 versus structure CAF 2013


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7

Foreword

Public administrations all across Europe are, morethan ever before, being challenged by society todemonstrate and improve their added value to sustainand further develop the social welfare state. In thesetimes of socio-economic crisis and austerity, the policyeffectiveness, operational performance and qualityof public services are crucial factors in responding tothe changing needs and expectations of citizens andenterprises.

Public administrations have been taking up thesechallenges for many years. Numerous efforts havebeen undertaken to implement new techniques andmethods to improve public organisations efficiency,effectiveness, economic and social responsibility.Different approaches were launched across all typesof public organisations and in all sectors of publicresponsibility, at the European, national, federal,regional and local level. Many of these initiatives weresuccessful; others failed, sometimes due to the lack ofa coherent and sustainable approach.

The European Public Administration Network, themeeting place of civil servants of the Member States ofthe European Union, was aware of this missing link andinvited its experts to develop a holistic tool to assistpublic administrations in their quest for continuousimprovement. In May 2000, the Common AssessmentFramework (CAF) was launched as the rst Europeanquality management instrument specically tailoredfor and developed by the public sector itself. It is ageneral, simple, accessible and easy-to-use modelfor all public sector organisations across Europe, anddeals with all aspects of organisational excellence.

More than 3000 public organisations have registeredto use the CAF Model since its launch and thousandsmore across and outside Europe use it for their ownspecic development purposes. In order to respond

to their expectations and to align the Model to caterfor the development and evolutions in society andpublic management, the CAF was revised twice,namely in 2002 and 2006. After six years of workingexperience with the 2006 version, we have ne tunedthe Model again, based on the feedback receivedfrom 400 hundred CAF users and the National CAFCorrespondents.

This revision has made the CAF 2013 Model evenstronger than before better equipped to supportthe public sector to the benet of all its stakeholdersin general and the citizens in particular. Conceptssuch as users orientation, public performance,innovation, ethics, effective partnerships with otherorganisation(s) and social responsibility have beendeepened, and should result in the creation of newopportunities for further development of publicsector organisations.

This new version is the result of the intensivecollaboration between the National CAF

Correspondents of the Member States of theEuropean Union, supported by the European CAFResource Centre at the European Institute of PublicAdministration in Maastricht (EIPA).

The purpose of this manual and guidelines is tosupport people working in public administrationsin their day-to-day journey of delivering a qualityservice. Thousands all over Europe have alreadystarted their journey towards excellence usingthe CAF Model and have proved that it works.Our invitation is for you to join them and become

members of this dynamic CAF community. Welcometo the world of Total Quality in the public sector andgood luck on the journey towards Excellence!

The European Network of National CAF Correspondentsand the European CAF Resource Centre at EIPA

September 2012


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9

General Introduction

The content of the CAF 2013 Model

Denition The Common Assessment Framework (CAF) is a totalquality management tool developed by the publicsector for the public sector, inspired by the ExcellenceModel of the European Foundation for QualityManagement (EFQM). It is based on the premisethat excellent results in organisational performance,citizens/customers, people and society are achievedthrough leadership driving strategy and planning,people, partnerships, resources and processes. Itlooks at the organisation from different angles at thesame time: the holistic approach to organisationperformance analysis.

Main purpose The CAF is available in the public domain, is freeof charge and is offered as an easy-to-use tool toassist public sector organisations across Europe inusing quality management techniques to improveperformance . The CAF has been designed for use

in all parts of the public sector , and is applicableto public organisations at the European, national/federal, regional and local level.

The CAF aims to be a catalyst for a full improvementprocess within the organisation and has ve mainpurposes :1. to introduce public administrations into the

culture of excellence and the principles of TQM;2. to guide them progressively to a fully-edged

PDCA (PLAN, DO, CHECK, ACT) cycle;3. to facilitate the self-assessment of a public

organisation in order to obtain a diagnosis and adenition of improvement actions;

4. to act as a bridge across the various models usedin quality management, both in public and privatesectors;

5. to facilitate bench learning between public sectororganisations.

Organisations that are starting to implement the CAFhave the ambition to grow towards excellence intheir performance and want to introduce a culture ofexcellence in the organisation. Effective use of the CAF

should, in time, lead to the further development of thistype of culture and thinking within the organisation.

RESULTS

5. Processes 9. Key PerformanceResults

7. People Results

6. Citizen/Customer-oriented

Results

8. SocialResponsibility

Results

3. People

2. Strategy &Planning

4. Partnerships &Resources

ENABLERS

INNOVATION AND LEARNING

1. Leadership

The CAF Model


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General Introduction10

The nine-box structure identies the main aspectsrequiring consideration in any organisational analysis.Criteria 1-5 deal with the managerial practices of anorganisation: the so-called Enablers . These determinewhat the organisation does and how it approachesits tasks to achieve the desired results. In criteria 6-9,Results achieved in the elds of citizens/customers,people, social responsibility and key performanceare measured by perception and performancemeasurements. Each criterion is further broken downinto a list of sub-criteria. The 28 sub-criteria identifythe main issues that need to be considered whenassessing an organisation. They are illustrated byexamples that explain the content of the sub-criteriain more detail and suggest possible areas to address,

in order to explore how the administration meets therequirements expressed in the sub-criterion. Theseexamples represent a lot of good practices from allover Europe. Not all of them are relevant for everyorganisation, but many can be considered as pointsof attention during self-assessment. Integrating theconclusions from the assessment of the enablersand results criteria into the managerial practicesconstitutes the continuous innovation and learning cycle that accompanies organisations on their waytowards excellence.

Cross-functions inside the model The holistic approach of TQM and CAF does notsimply mean that all aspects of the functioning of anorganisation are carefully assessed, but also that allthe composition elements have a reciprocal impacton each other. A distinction should be made between: cause-e ect relationship between the left part of

the model (the enablers causes) and the rightpart (the results effects); and

the holistic relationship between the causes(enablers).

Cross-connection between the left and right parts ofthe model: consists of the cause-effect relationshipbetween the enablers (causes) and the results

(effects), as well as the feedback from the latter tothe former. Verication of cause-effect links is offundamental importance in self-assessment, where

the organisation should always check for consistencybetween a given result (or set of homogeneousresults) and the evidence collected on the relevantcriteria and sub-criteria on the enabler side. Suchconsistency is sometimes difficult to verify, sincedue to the holistic character of the organisation, thedifferent causes (enablers) interact with each otherwhen producing results. In any case, the existence ofappropriate feedback from results appearing on theright-hand side to the appropriate criteria on the left-hand side should be checked in the assessment.

Cross-connection between criteria and sub-criteriaon the enabler side: since the quality of results is toa large extent determined by the type and intensityof the relationships between enablers, this type ofrelationship must be explored in self-assessment.In fact, their intensity varies between differentorganisations and their nature determines to a largeextent the quality of the organisation.

Relationships are obviously not limited to the criterialevel; quite often substantial interaction/relationshipsmaterialise at sub-criterion level.

The underlying 8 Principles of ExcellenceAs a tool of Total Quality Management, CAF subscribesto the fundamental concepts of excellence as initiallydened by EFQM, translates them to the public sector/CAF context and aims to improve the performance ofpublic organisations on the basis of these concepts. These principles make the difference between thetraditional bureaucratic public organisation and theone oriented towards Total Quality.


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General Introduction 11

Resultsorientation

Peopledevelopment and

involvement

Socialresponsibillty

Partnershipdevelopment

Continuousinnovation andimprovement

Citizen/Customer focus

Leadershipand constancy

of purpose

Managementof processes

and facts

PRINCIPLES OFEXCELLENCE

Principle 1: Results orientation The organisation focuses on results. Results areachieved which please all of the organisationsstakeholders (authorities, citizens/customers,partners and people working in the organisation)with respect to the targets that have been set.

Principle 2: Citizen/Customer focus The organisation focuses on the needs of both,present as well as potential citizens/customers. It

involves them in the development of products andservices and the improvement of its performance.

Principle 3:Leadership and constancy of purpose This principle couples visionary and inspirationalleadership with constancy of purpose in achanging environment. Leaders establish aclear mission statement, as well as a vision andvalues; they also create and maintain the internalenvironment in which people can become fullyinvolved in realising the organisations objectives.

Principle 4: Management by processes and facts This principle guides the organisation from theperspective that a desired result is achieved moreefficiently when related resources and activitiesare managed as a process and effective decisionsare based on the analysis of data and information.

Principle 5:People development and involvementPeople at all levels are the essence of anorganisation and their full involvement enablestheir abilities to be used for the organisationsbenet. The contribution of employees shouldbe maximised through their development and

involvement and the creation of a workingenvironment of shared values and a culture oftrust, openness, empowerment and recognition.

Principle 6: Continuous learning, innovationand improvementExcellence is challenging the status quo andeffecting change by continuous learning to createinnovation and improvement opportunities.Continuous improvement should therefore be a

permanent objective of the organisation.

Principle 7: Partnership developmentPublic sector organisations need others to achievetheir targets and should therefore developand maintain value-adding partnerships. Anorganisation and its suppliers are interdependent,and a mutually benecial relationship enhancesthe ability of both to create value.

Principle 8: Social responsibilityPublic sector organisations have to assume

their social responsibility, respect ecologicalsustainability and try to meet the majorexpectations and requirements of the local andglobal community.

These principles of Excellence are integrated intothe structure of the CAF Model and the continuousimprovement of the nine criteria will in time bringthe organisation to a high level of maturity. Foreach principle, four levels of maturity have beenworked out so that an organisation can have anidea of its way forward towards excellence. Formore information on these levels we refer to thedescription of the Procedure on CAF ExternalFeedback (PEF) on page 14.


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Common European public sector valuesBesides the specic interpretation of the principles ofexcellence for the public sector, public management

and quality in the public sector have a number ofunique conditions in comparison with the privatesector. They presume basic preconditions commonto our European socio-political and administrativeculture: legitimacy (democratic and parliamentary),the rule of law and ethical behaviour based oncommon values, and principles such as openness,accountability, participation, diversity, equity, social justice, solidarity, collaboration and partnerships all aspects which are to be taken into considerationduring the assessment.

Although CAF primarily focuses on the evaluationof performance management and the identicationof its organisational causes to make improvementpossible, the ultimate goal is to contribute to goodgovernance.

Importance of evidence and measurementsSelf-assessment and improvement of publicorganisations is very difficult without reliableinformation concerning the different functions

of the organisation. CAF stimulates public sectororganisations to gather and use information, butvery often this information is not available at a rstself-assessment. This is why CAF is often consideredto be a zero-base measurement. It indicates the areaswhere it is essential to start measuring. The morean administration progresses towards continuousimprovement, the more it will systematically andprogressively collect and manage information, bothinternally and externally.

A common language with the support of a glossaryWhen confronted with a managerial language,many public sector organisations nd it difficult tounderstand. CAF creates a common language thatallows staff and managers in an organisation to discuss

organisational issues together in a constructive way.It promotes the dialogue and the bench learningamong public administrations at European level

through this common language, which is simple andunderstandable to all civil servants. To support thisand to avoid misunderstanding, the glossary at theend of the brochure is there to assist by providinga more precise denition of the main terms andconcepts.

Whats new in the CAF 2013?Users of previous CAF versions will not nd it toodifficult to nd their way around the 2013 version. The model is still composed of 9 criteria and 28 sub-criteria, but some have been reformulated. A table inattachment compares the structure of the CAF 2006and CAF 2013 models. The major changes are to befound in criterion 5, where two sub-criteria havebeen merged and a new one has been created. Allthe examples have been reviewed and adapted tothe changes in the structure. The glossary has beenupdated accordingly. The 8 Principles of Excellencefor the public sector are now clearly dened andthe maturity levels worked out in the context of theProcedure on External Feedback.

How to use the CAF 2013 Model

Organisations are free to adapt the implementationof the model to their specic needs and contextualcircumstances; however, the structure of the model,with the 9 criteria and the 28 sub-criteria, as well asthe use of one of the assessment panels is stronglyrecommended as it is to implement the processfollowing the given guidelines.

The guidelines for implementationUsing the CAF Model is a learning process for eachorganisation. However, the lessons learned over

several years of implementation can prot every newuser. A 10-step implementation plan was thereforedeveloped to help organisations use it in the mostefficient and effective way, reecting the advice ofthe CAF national experts. What follows are the mainpoints. A more detailed explanation can be found inthe brochure.

Role of the scoring systemWhilst the discovery of strengths and areasfor improvement and the linked improvementactions are the most important outputs of the self-assessment, the scoring system developed in CAFhas a specic function but should not be the mainfocus.


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General Introduction 13

Allocating a score to each sub-criterion and criterionof the CAF model has four main aims:1. to give an indication of the direction to follow for

improvement activities;2. to measure your own progress;3. to identify good practices as indicated by high

scoring for Enablers and Results;4. to help the organisation to nd valid partners to

learn from.

Two ways of scoring are proposed. The classicalCAF scoring and the ne-tuned CAF scoring. More

information is given in the chapter on scoring.

How to get support in using CAF 2013

Information and technical assistanceIn 2001, a network of national CAF correspondents, aswell as a CAF Resource Centre (CAF RC) were createdfollowing the decision of the Directors-Generalin charge of public service. In fact, this network isresponsible at European level for the developmentand follow up of the model. It periodically discussesnew tools and strategies for the dissemination ofthe CAF. It organises a European CAF Users Eventalmost every two years, in which users discuss goodpractices and exchange ideas.

In the Member States, the national correspondentsdevelop appropriate initiatives to stimulate andsupport the use of the model in their countries.Activities vary from the creation of national resourcecentres to dedicated websites from national orregional projects or programmes, to national awardsor quality conferences based on the model.

The CAF Resource Centre (CAF RC), at the EuropeanInstitute of Public Administration (EIPA) in Maastricht(NL) is in charge of the coordination of the networkand manages the CAF website www.eipa.eu/caf.

The CAF website is the starting and access point fornding all relevant information about the CAF, forregistering as a CAF user and nding information onCAF users, or for using the CAF e-Tool an electronicinstrument that supports the self-assessmentprocess. For example, you can also nd: the 22language versions of the CAF Model, informationon the national CAF correspondents, all relevantpublications on the model, events that are organisedat national and European level, announcements oftraining delivered by EIPA on CAF, and the related TQM issues.

TEN STEPS TO IMPROVE ORGANISATIONS WITH CAF

PHASE 1: THE START OF THE CAF JOURNEY

PHASE 2: SELF ASSESSMENT PROCESS

PHASE 3: IMPROVEMENT PLAN/PRIORITISATION

Step 1Decide how to organise andplan the self-assessment

Step 2Communicate theself-assessment project

Step 3Compose one or more

self-assessment groups

Step 4Organise

training

Step 5Undertake the

self-assessment

Step 6Draw up a report describing

the results of self-assessment

Step 7 Draft an improvementplan, based on the acceptedself-assessment report

Step 8Communicate theimprovement plan

Step 9Implement theimprovement plan

Step 10Plan nextself-assessment


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The CAF External Feedback Procedure To enable public sector organisations applyingCAF to see the results of their efforts and to obtain

feedback, the CAF offers an External FeedbackProcedure which provides external feedback onthe introduction of total quality management withCAF. This feedback procedure to be applied on avoluntary basis aims to further support CAF usersin their journey towards quality, making their effortsvisible, both internally and externally. It relates notonly to the self-assessment process, but also to theway forward chosen by organisations in order toattain excellence in the long run, and is based uponthe principles of excellence.

The CAF External Feedback aims to achieve thefollowing objectives:1. Support the quality of the CAF implementation

and its impact on the organisation.2. Find out if the organisation is installing TQM

values as the result of the CAF application.3. Support and renew enthusiasm in the

organisation for continuous improvement.4. Promote peer review and bench learning.5. Reward organisations that have started the

journey towards continuous improvement toachieve excellence in an effective way, without judging their obtained level of excellence.

6. Facilitate the participation of CAF users in theEFQM Levels of Excellence.

It is built upon the following three pillars:Pillar 1: The process of self-assessment.

Pillar 2: The process of improvement actions.Pillar 3: The TQM maturity of the organisation.

Organisations that have used CAF in an effective waycan be awarded the European Effective CAF Userlabel, which is valid for two years. The CAF ExternalFeedback Procedure and the CAF Effective UserLabel are under the responsibility of the MemberStates. They create the practical modalities basedon a commonly agreed framework, but at their ownrhythm. Organisations who wish to apply for the CAFlabel should inform themselves beforehand aboutthe existing possibilities in their country.

More information is available on the CAF website:

www.eipa.eu/CAF


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Enablers Criteria

Criteria 1-5 deal with the managerial practices of an organisation,the so-called Enablers. These determine what the organisationdoes and how it approaches its tasks to achieve the desired results. The assessment of actions relating to the Enablers should be basedon the Enablers Panel (see CAF Scoring and Assessment Panels).


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In a representative democratic system, elected politicians makethe strategic choices and dene the goals they want to achieve indifferent policy areas. The leadership of public sector organisationsassists political authorities in formulating public policies by givingadvice based on its expertise in the eld. It is responsible for theimplementation and realisation of the public policies. CAF makesa clear distinction between the role of the political leadership and

that of the leaders/managers of the public organisations, whilstemphasising the importance of good collaboration between bothactors in order to achieve the policy results.

Criterion 1 focuses on the behaviour of the people in charge ofthe organisation: the leadership. Their job is complex. As goodleaders, they should create clarity and unity of purpose for theorganisation. As managers, they establish an environment in whichthe organisation and its people can excel, and they ensure thefunctioning of an appropriate steering mechanism. As facilitators

they support the people in their organisation and assure effectiverelationships with all stakeholders, in particular with the politicalhierarchy.

Criterion 1: Leadership

1

Sub-criterion 1.1Provide direction for theorganisation by developing itsmission, vision and values

Sub-criterion 1.2Manage the organisation, itsperformance and its continuousimprovement

Sub-criterion 1.3Motivate and support people inthe organisation and act as a rolemodel

Sub-criterion 1.4Manage effective relations withpolitical authorities and otherstakeholders


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18 Enablers Criteria >> Criterion 1: Leadership

AssessmentConsider what the organisations leadership is doing to

Sub-criterion 1.1Provide direction for the organisation by developing its mission, vision and values

The leadership ensures that the organisation isdriven by a clear mission, vision and core values. This means that they develop the mission (whydo we exist/what is our mandate?), the vision(where do we want to go/what is our ambition?)

and the values (what steers our behaviour?)required for the organisations long-termsuccess. They communicate them and ensuretheir realisation. Every public organisation needsvalues that build the framework for all activities ofthe organisation values in line with its missionand vision. But in addition, particular attentionhas to be paid to the values which are of specialimportance in a public sector organisation. Evenmore so than private companies which dependon the rules of the market economy, publicsector organisations actively have to uphold

values such as democracy, rule of law, citizenfocus, diversity and gender equity, fair workingenvironment, embedded corruption prevention,social responsibility and anti-discrimination:values that at the same time provide a role modelfor the whole of society. Leadership creates theconditions to embody these values.

Examples1. Formulating and developing the mission and

the vision of the organisation, involvingrelevant stakeholders and employees.

2. Establishing a value framework aligned withthe mission and vision of the organisation,respecting the general public sector valueframework.

3. Ensuring the wider communication of the

mission, vision, values, strategic andoperational objectives to all employees inthe organisation and to other stakeholders.

4. Periodically reviewing the mission, visionand values, reecting changes in the externalenvironment (e.g. political, economical,socio-cultural, technological (PEST analysis)and demographic environment).

5. Developing a management system thatprevents unethical behaviour, but alsosupports staff in dealing with ethicaldilemmas that appear when different values

of the organisation are in conict.6. Managing prevention of corruption byidentifying potential areas of conict ofinterest and providing guidelines foremployees on how to deal with them.

7. Strengthening mutual trust, loyalty andrespect between leaders/managers/ employees (e.g. by monitoring the continuit yof the mission, vision and values and byre-evaluating and recommending norms ofgood leadership).

[Award a score using the Enablers Panel]

Sub-criterion 1.2Manage the organisation, its performance and its continuous improvement

Leaders develop, implement, and monitorthe organisations management system. Anappropriate organisational structure withclear responsibilities for all levels of staff, aswell as dened management, support andcore processes, should guarantee the efficientrealisation of the organisations strategy foroutputs and outcomes.

The performance management is based ondened measurable targets reecting outputsand outcomes of the organisations activities.Integrated performance management systemscombine outputs and outcomes with resourcesto enable guidance based on rational evidence.It allows regular reviewing of performance andresults.


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19Enablers Criteria >> Criterion 1: Leadership

Leaders are responsible for improvingperformance. They prepare for the future byorganising the changes necessary to deliverits mission. The initiation of a continuousimprovement process is a core target of qualitymanagement. Leaders set the ground forcontinuous improvement by ensuring an openculture for innovation and learning.

Examples1. Dening appropriate managerial structures

(levels, functions, responsibilities andcompetencies) and ensuring a systemfor managing processes and partnerships inaccordance with strategy, planning andneeds and expectations of stakeholders.

2. Identifying and setting priorities fornecessary changes regarding the structure,the performance and the management ofthe organisation.

3. Dening measurable output and outcometargets for all levels and areas of theorganisation, balancing the needs andexpectations of different stakeholders inaccordance with customers differentiatedneeds (e.g. gender mainstreaming, diversity).

4. Developing a management informationsystem with input from the risk managementand internal control system and thepermanent monitoring of the organisationsachievement of strategic and operationalgoals (e.g. Balanced Scorecard).

5. Applying the principles of TQM and installingsystems of quality management/certicationsuch as CAF or EFQM or ISO 9001.

6. Formulating and aligning the e-Governmentstrategy with the strategic and operationalobjectives of the organisation.

7. Creating appropriate conditions for processand project management and teamwork.

8. Creating conditions for effective internal andexternal communication, with communicationbeing one of the most important criticalsuccess factors of an organisation.

9. Demonstrating leaders commitment to con-tinuous organisational improvement andinnovation through the promotion of a cul-ture of innovation, as well as continuousimprovement thereby encouraging feed-back from employees.

10. Communicating the reasons for changeinitiatives and their expected effects toemployees and relevant stakeholders.


Through their personal behaviour and theirhuman resource management, leaders motivateand support the employees. Acting as rolemodels, the leaders reect the establishedobjectives and values, encouraging employeesto act in the same way. Employees are supportedby the leaders to reach their targets by carryingout their duties. A transparent style of leadershipbased on mutual feedback, trust and opencommunication motivates people to contributeto the organisations success. Besides theseissues of personal behaviour, central factors formotivation and support of employees can alsobe found in the organisations leadership andmanagement system. Delegation of competencesand responsibilities, including accountability, isthe main managerial basis for motivated people.

Opportunities for personal development andlearning as well as recognition and rewardingsystems are also motivating factors.

Examples1. Leading by example, thus personally acting

in accordance with established objectivesand values.

2. Promoting a culture of mutual trust andrespect between leaders and employeeswith proactive measures to counter any kindof discrimination.

3. Informing and consulting employeesregularly on key issues related to theorganisation.

4. Supporting employees in carrying out theirduties, plans and objectives to enhancethe achievement of overall organisationalobjectives.

5. Providing feedback to all employeesto improve the performance of teams and

individuals.6. Stimulating, encouraging and empoweringthe employees through the delegation of

Sub-criterion 1.3Motivate and support people in the organisation and act as a role model


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20 Enablers Criteria >> Criterion 1: Leadership

authority, responsibilities and competencies,including accountability.

7. Promoting a learning culture and stimulatingemployees to develop their competences.

8. Demonstrating personal willingness of lead-ers/managers to welcome recommenda-tions/proposals from employees by reactingto constructive feedback.

9. Recognising and rewarding the efforts ofteams and individuals.

10. Respecting and addressing individual needsand personal circumstances of employees.


Leaders are responsible for managingrelationships with all relevant stakeholderswho have an interest in the organisation or itsactivities. Therefore, the public managers leada focused dialogue with political authoritiesand the other stakeholders. In the publicsector, leadership is the interface betweenthe organisation and the political authorities. This sub-criterion describes one of the maindifferences between public sector and privateorganisations. Public sector organisations haveto focus on relations with political authoritiesfrom different perspectives. On the one hand,individual politicians can have a leadershipfunction as they together with the publicsector organisation leaders formulate targets.In this way, public sector organisations act asmanaging bodies of the political authorities. Onthe other hand, political authorities can occur asa specic group of stakeholders to be dealt with.

Examples

1. Developing a stakeholders analysis, deningtheir major actual and future needs, andsharing these ndings with the organisation.

2. Assisting the political authorities in deningthe public policies related to the organisation.

3. Identifying and incorporating the publicpolicies relevant to the organisation.

4. Ensuring that objectives and goals on outputand outcome of the organisation are alignedwith the public policies and politicaldecisions, and concluding agreements withthe political authorities on the relatedresources required.

5. Involving political and other stakeholdersin the development of the organisationsmanagement system.

6. Maintaining proactive and regular rela-tions with the political authorities from theappropriate executive and legislative areas.

7. Developing and maintaining partnershipsand networks with important stakeholders(citizens, Non-Government Organisations(NGOs), interest groups and professionalassociations, industry, other public authorities,etc.).

8. Taking part in the activities of professionalassociations, representative organisationsand interest groups.

9. Building and raising the public awareness,

reputation and recognition of theorganisation and its services.

10. Developing a product and service targetedconcept of marketing that focuses on thestakeholders.


Sub-criterion 1.4Manage effective relations with political authorities and other stakeholders

Sub-criterion 1.3Motivate and support people in the organisation and act as a role model [continued]


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Implementing the mission and vision of a public organisationrequires the denition of the way forward which the organisationwants to follow, the setting of the goals it needs to achieve andthe way it wants to measure progress. It demands a clear strategy.Setting strategic objectives includes making choices, settingpriorities based on the public policies and objectives and the otherstakeholders needs, taking into account the available resources.

The strategy denes the outputs (products and services) andoutcomes (impact) it wants to obtain, whilst taking into accountrelevant critical success factors.

The strategy needs to be translated into plans, programmes,operational objectives and measurable targets so that it can besuccessfully executed. Monitoring and steering should be part of theplanning, as well as being attentive to the need for modernisationand innovation, which supports the organisation in improvingits functioning. Critically monitoring the implementation of the

strategy and planning should lead to updating and adapting themwhenever necessary.

Criterion 2: Strategy and Planning

2

Sub-criterion 2.1Gather information on the presentand future needs of stakeholdersas well as relevant managementinformation

Sub-criterion 2.2Develop strategy and planning,taking into account the gatheredinformation

Sub-criterion 2.3Communicate and implementstrategy and planning in the wholeorganisation and review it on aregular basis

Sub-criterion2.4Plan, implement and reviewinnovation and change


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22 Enablers Criteria >> Criterion 2: Strategy and Planning

AssessmentConsider what the organisation is doing to

Sub-criterion 2.1 Gather information on the present and future needs of stakeholdersas well as relevant management information

The PDCA (PLAN, DO, CHECK, ACT) cycle playsan important role in developing andimplementing strategy and planning in a publicorganisation. It starts by gathering reliableinformation on the present and future needsof all relevant stakeholders, on outputs andoutcomes and developments in the externalenvironment. This information is indispensableto support the strategic and operationalplanning process. It is also fundamental tosteer planned improvements in organisationalperformance.

According to the PDCA approach, regularreviews should be conducted jointly withthe stakeholders to monitor their changingneeds and their satisfaction. The quality of

this information and systematic analysis offeedback from stakeholders is a prerequisite forthe quality of the intended results.

Examples1. Identifying all relevant stakeholders and

communicating the results to the wholeorganisation.

2. Systematically gathering, analysing andreviewing information about stakeholders,their needs, expectations and satisfaction.

3. Regularly gathering, analysing and review-ing relevant information about importantvariables such as political-legal, socio-cul-tural, environmental, economic, technologicaland demographic developments.

4. Systematically gathering relevant manage-ment information such as information on theperformance of the organisation.

5. Systematically analysing internal strengthsand weaknesses (e.g. TQM-diagnosis with CAF

or EFQM) including threats and opportunities(e.g. SWOT analysis, risk management).


Developing the strategy means dening

strategic objectives for the public organisationin line with the public policies, the needs ofthe relevant stakeholders and the vision of theleaders, including the available managementinformation as well as information ondevelopments in the external environment.Strategic priorities and decisions taken by thetop management should ensure clear objectiveson outputs and outcomes and the means toachieve them. The social responsibility of publicsector organisations should be reected in theirstrategy.

Planning involves a conscious and methodicalapproach that will guide the organisation at all

levels to achieve the strategic goals. The setting

of goals and identifying of conditions that mustbe fullled to achieve strategic goals basedon a sound risk analysis and management plays a crucial part in ensuring an effectiveimplementation and follow up. Indicatorsand result-monitoring systems used in thesubsequent execution phase should be denedduring the planning.

It is the work-through on strategies andaction plans that creates a framework for themeasurement of the results to be assessed in thecriteria on citizen/customers (criterion 6), people(criterion 7), eight social responsibility (criterion8) and key performance (criterion 9).

Sub-criterion 2.2Develop strategy and planning, taking into account the gathered information


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23Enablers Criteria >> Criterion 2: Strategy and Planning

The capacity of the organisation to deploy itsstrategy depends on the quality of the plans andprogrammes detailing the targets and resultsexpected from each organisational level as well asfrom the employees. Relevant stakeholders andemployees at the different organisational levels

should thus be well informed of the goals andtargets related to them to guarantee an effectiveand uniform implementation of the strategy.

The organisation has to deploy the strategy ateach level of the organisation. The managementshould ensure that the right processes, projectand programme management, and organisa-tional structures are put into place to ensure aneffective and timely implementation.

Organisations should consistently and criticallymonitor the implementation of their strategyand planning, adjust practices and processeswhen necessary, or update and customise themif needed.

Examples1. Implementing strategy and planning by

setting priorities, establishing time frames,appropriate processes and projects and theorganisational structure.

2. Translating strategic and operationalobjectives of the organisation into relevantplans and tasks for departmental units andindividuals within the organisation.

3. Developing plans and programmes withtargets and results for each organisational

unit with indicators establishing the level ofchange to be achieved (expected results).

4. Communicating effectively in order to spreadgoals, plans and tasks in the organisation.

5. Developing and applying methods tomonitor, measure and/or evaluate at regularintervals the performance of theorganisation at all levels (departments,functions, organisational chart) ensuring thestrategy implementation.

6. Developing and applying methods tomeasure the performance of the organisationat all levels in terms of the relation betweeninput and output (efficiency) and betweenoutput and outcome (effectiveness).

7. Assessing the need to reorganise andimprove strategies and methods of planninginvolving stakeholders.


Sub-criterion 2.3 Communicate and implement strategy and planning in the whole organisationand review it on a regular basis

Examples1. Translating the mission and vision into

strategic (long and medium-term) andoperational (concrete and short-term)objectives and actions based on a sound riskanalysis.

2. Involving stakeholders in developingstrategy and planning, balancing andprioritising their expectations and needs.

3. Evaluating existing tasks in terms of outputs(the products and services provided) andoutcomes (the achieved effects in society)and the quality of the strategic andoperational plans.

4. Ensuring the availability of resourcesto develop and update the strategy of theorganisation.

5 Balancing tasks and resources, long-and short-term pressures and stakeholderrequirements.

6. Develop a policy on social responsibility andintegrate it into the strategy and planning ofthe organisation.



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24 Enablers Criteria >> Criterion 2: Strategy and Planning

An effective public sector needs to innovate andchange practices to deal with new expectationsfrom citizens/customers, to enhance the qualityof the service and to reduce costs.

Innovation can occur in several ways: by implementing innovative methods and

processes for providing services or goods e.g.by involving citizens/customers in the designand delivery process;

with new methods of managing workprogrammes;

by introducing innovative services or goodsthat have a higher added value for citizens andcustomers.

The design phase is crucial: for later decisions,for the operational delivery of services and forthe evaluation of the innovations themselves.A prime responsibility of the management istherefore to create and communicate an open,supportive attitude towards suggestions forimprovement wherever they come from.

Examples1. Creating and developing a new culture/

readiness for innovation by training, benchlearning and establishment of learning labs.

2. Systematic monitoring of internal indicators/drivers for change and external demands forinnovation and change.

3. Discussing the planned modernisation andinnovation and their implementation with therelevant stakeholders.

4. Ensuring the deployment of an efficientchange management system (e.g. project

management, benchmarking and benchlearning, pilot projects, monitoring, reportingon the follow-up, implementing PDCA, etc.).

5. Ensuring the availability of necessaryresources to implement the planned changes.

6. Balancing between a top-down and bottom-up approach to change.

7. Promoting the use of e-Government toolsin order to increase effectiveness of deliveredservices and to raise transparency andinteraction between the organisation andthe citizens/customers.


Sub-criterion 2.4 Plan, implement and review innovation and change


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People are the organisations most important asset. The organisationmanages, develops and releases the competences and full potentialof its people at individual and organisation-wide levels in order tosupport its strategy and planning and the effective operation of itsprocesses. Respect and fairness, open dialogue, empowerment,reward and recognition, care and also providing a safe and healthyenvironment are fundamental to building the commitment and

participation of people on the organisational journey to excellence.Managing the organisation and managing people is increasinglyimportant in times of change. Improving leadership development,talent management and strategic workforce planning are criticalsince people are often the organisations biggest investment. Effectivehuman resource management and leadership of people allow theorganisation to accomplish its strategic objectives, and to takeadvantage of the strengths of people and their ability to contributeto the accomplishment of strategic objectives. Successful humanresource management and leadership promote peoples engagement,

motivation, development, and retention. In the context of total qualitymanagement, it is important to realise that only satised people canbring the organisation towards satised customers.

Criterion 3: People

3

Sub-criterion 3.1Plan, manage and improve humanresources transparently with regardto strategy and planning

Sub-criterion 3.2Identify, develop and usecompetencies of people aligningindividual and organisational goals

Sub-criterion 3.3Involve employees by developingopen dialogue and empowerment,supporting their well-being


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26 Enablers Criteria >> Criterion 3: People


Sub-criterion 3.1Plan, manage and improve human resources transparently with regard to strategy and planning

A strategic and comprehensive approach tomanaging people and the workplace culture andenvironment is a key part of strategic planningin an organisation. Effective human resourcesmanagement enables people to contribute

effectively and productively to the organisationsoverall mission, vision and to the accomplishmentof the organisations objectives. The sub-criteri onassesses whether the organisation aligns itsstrategic objectives with its human resources sothat they are identied, developed, deployed andimproved transparently and taken into account toachieve optimum success. It questions how theorganisation succeeds in attracting and retainingpeople capable of producing and deliveringservices and products in accordance with theobjectives established in strategies and actionplans taking into account customers needsand expectations. It involves regular analysesof current and future human resource needsand the development and implementation ofa human resources management policy withobjective criteria regarding recruitment, careerdevelopment, promotion, remuneration, rewardsand the assignment of managerial functions.

Examples1. Regularly analysing current and future

human resource needs, taking into accountthe needs and expectations of stakeholders

and the strategy of the organisation.2. Developing and implementing a human

resources management policy based onthe strategy and planning of the orga-nisation, taking into account the necessary

competencies for the future, as well associal considerations (e.g. exible work time,paternity and maternity leave, sabbaticals,equal opportunities, gender and culturaldiversity, employment of disabled people).

3. Ensuring that HR capability (recruitment,allocation, development) is available toachieve the mission, as well as balancingtasks and responsibilities.

4. Developing and implementing a clear policycontaining objective criteria with regard torecruitment, promotion, remuneration,rewards and the assignment of managerialfunctions.

5. Supporting a performance culture (e.g.by implementing transparent remuneration/recognition schemes on the basis of theindividual and team results achieved).

6. Using competence proles and job andfunction descriptions for (a) recruitingand (b) personal development plans, forboth employees and managers.

7. Showing particular attention to the humanresources needed for the development andoperation of e-Government and net services(e.g. by providing the necessary training andframework).

8. Managing recruitment and careerdevelopment with regard to fairness ofemployment, equal opportunities and

diversity aspects (e.g. gender, sexualorientation, disability, age, race and religion).



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27Enablers Criteria >> Criterion 3: People

Sub-criterion 3.2Identify, develop and use competencies of people aligning individual and organisational goals

An important component of criterion 3 isassessing how the organisation identies,develops and maintains peoples competencies.When the organisation creates frameworks toallow people to continually develop their owncompetencies, to assume greater responsibilityand to take more initiative, people contribute tothe development of the workplace. This can beachieved by making sure they associate their ownperformance goals with the strategic objectivesof the organisation and also by involving themin the establishment of policies related to thetraining, motivation and rewarding of people.In practice this enabler can be condensed intoa competency strategy describing the need todevelop peoples competencies and the methodsto be applied (e.g. learning from the colleague, job swapping/mobility, further training). Examples

1. Identifying current competencies of peopleat the individual and organisational levelsin terms of knowledge, skills and attitudes,and systematically comparing them withthe needs of the organisation.

2. Discussing, establishing and communicatinga strategy for developing competencies. This includes a training plan based oncurrent and future organisational andindividual competency needs.

3. In line with the strategy, developing,agreeing on and reviewing personal trainingand development plans for all employeesand/or teams, taking into account theaccessibility for part-time workers as well

as people on maternity and paternity leave. The individual competency developmentplans may form part of an employeedevelopment interview, which can providea forum for mutual feedback and matchingexpectations.

4. Developing managerial and leadershipskills as well as relational competencesof management regarding the people of theorganisation, the citizens/customers and thepartners.

5. Leading (guiding) and supporting newpeople (e.g. by means of mentoring,coaching, individual counselling).

6. Promoting internal and external mobility ofpeople.

7. Developing and promoting modern trainingmethods (e.g. multimedia approach, on the job training, e-Learning, using social media).

8. Planning of training activities and developing

communication techniques in the areas ofrisk, conict of interest, diversity manage-ment, gender mainstreaming and integrityor ethics.

9. Assessing the impacts of training anddevelopment programmes on the workplaceand transfer of content to colleagues inrelation to the costs of the activities throughmonitoring and cost/benet analyses.

10. Reviewing the necessity for promotingwomens careers and develop plansaccordingly.



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28 Enablers Criteria >> Criterion 3: People

People involvement is creating an environmentin which people have an impact on decisionsand actions that affect their jobs. It involves thecreation of a culture that supports the mission,vision and values of the organisation in practice,e.g. by acknowledging and rewarding creativity,good ideas and special efforts.

The sub-criterion focuses on the ability ofmanagers/ leaders and employees to activelycooperate in developing the organisation,breaking down organisational silos by creating

dialogue, making room for creativity, innovationand suggestions for improving performance.People should be assisted in order to achieve theirfull potential. The proper execution of peoplepolicies depends upon all leaders and managersthroughout the organisation demonstratingthat they care about people issues and well-being and that they actively promote a cultureof open communication and transparency.People commitment can be attained throughformal forums such as consultative committeesand through daily dialogue (e.g. about ideasfor improvements). It is also a good practiceto implement satisfaction surveys and leaderassessments to obtain more specic assessmentsof the climate at work and to use the results tomake improvements.

Examples1. Promoting a culture of open communication

and dialogue and the encouragement ofteam work.

2. Proactively creating an environment forgaining ideas and suggestions fromemployees and developing appropriatemechanisms (e.g. suggestion schemes, workgroups, brainstorming).

3. Involving employees and theirrepresentatives (e.g. Trade Unions) in thedevelopment of plans, strategies, goals, thedesign of processes and in the identicationand implementation of improvementactivities.

4. Seeking agreement/consensus betweenmanagers and employees on goals and onways of measuring goal achievement.

5. Regularly conducting staff surveys,publishing and giving feedback on results/summaries/interpretations/improvementactions.

6. Ensuring that employees have anopportunity to give feedback on the qualityof the management they receive from theirline managers/directors.

7. Ensuring good environmental working

conditions throughout the organisationincluding taking care of health and safetyrequirements.

8. Ensuring that conditions are conducive toachieving a reasonable work-life balance foremployees (e.g. the possibility to adaptworking hours) as well as paying attentionto the need for part-time workers orpeople on maternity or paternity leave tohave access to relevant information and beinvolved in appropriate organisationalmatters and education.

9. Paying particular attention to the needs ofsocially disadvantaged employees andpeople with disabilities.

10. Providing adapted schemes and methodsfor rewarding people in a non-nancialway, (e.g. by planning and reviewingpeoples benets and supporting social,cultural and sport activities focused onpeoples health and well-being).


Sub-criterion 3.3Involve employees by developing open dialogue and empowerment, supporting their well-being


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Public sector organisations need resources of different kinds toachieve their strategic and operational goals in line with theirmission and vision, in addition to the people that are working in theorganisation. They can be of a material and immaterial nature, butthey all have to be managed carefully.

Partners stimulate the external focus of the organisation and bring

in necessary expertise. In this way, key partnerships, e.g. privateproviders of services or other public organisations, but also citizen/customers, are important resources for the good functioning ofthe organisation and need to be built up carefully. They supportthe implementation of strategy and planning and the effectiveoperation of its processes. Public organisations are increasinglyseen as part of a chain of organisations that all together are workingtowards a specic outcome on citizens (e.g. in the area of securityor health). The quality of each of these partnerships has a directimpact on the outcome of the chain.

Criterion 4: Partnerships and Resources

4

Sub-criterion 4.1Develop and manage partnershipswith relevant organisations

Sub-criterion 4.2Develop and implementpartnerships with the citizens/customers

Sub-criterion 4.3Manage nances

Sub-criterion 4.4Manage informationand knowledge

Sub-criterion 4.5Manage technology

Sub-criterion 4.6Manage facilities


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30 Enablers Criteria >> Criterion 4: Partnerships and Resources

Besides partnerships, organisations need to manage in an efficientway the more traditional resources such as nances, technology,

facilities to assure their effective functioning and the knowledgethey need to achieve their strategic goals. Knowledge resourcescover the knowledge and experience of organisation employees,its strategic partners, customers and citizens.

Well developed resource management, presented in a transparentway, is essential for public organisations to ensure accountabilitytowards the different stakeholders on the legitimate use of theavailable resources.


In our constantly changing society of growingcomplexity, public organisations are requiredto manage relations with other organisationsin order to realise their strategic objectives. These can be private, non-governmental andpublic partners. Organisations should thusdene who their relevant partners are. Thesepartnerships can be of a different nature:

suppliers of services and products, outsourcedservices, close partnerships on common goals,etc.

For the success of public policies in a specicdomain or sector, the collaboration betweenpublic administrations of the same institutionallevel (e.g. federal level) but also betweenorganisations of different institutional levels(federal, regional and local) could be crucial.Organisations should dene the sectornetworks or policy chain they belong to and

the role they play to assure the success of thewhole network.

Examples1. Identifying private, civil society and public

key partners, and the nature of the relation-ship (e.g. purchaser - provider, supplier,co-production, complementary/substitutionproduct provider, owner, founder, etc.)

2. Developing and managing appropriatepartnership agreements taking into account

the different aspects of social responsibility,such as the socio-economic and environ-mental impact of the delivered products andservices.

3. Stimulating and organising task-specicpartnerships and developing andimplementing joint projects with otherpublic sector organisations belonging tothe same policy sector/chain and to differentinstitutional levels.

4. Regularly monitoring and evaluating theimplementation and results of partnerships.

5. Identifying the need for long-term public-private partnerships (PPP) and develop themwhere appropriate.

Sub-criterion 4.1Develop and manage partnerships with relevant organisations


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31Enablers Criteria >> Criterion 4: Partnerships and Resources

Sub-criterion 4.2Develop and implement partnerships with the citizens/customers

6. Dening each partners responsibilities inmanaging partnerships including controlsas well as evaluation and review.

7. Increasing organisational capacity byexploiting the possibilities of work placement.

8. Exchanging good practices with partners

and using bench learning and benchmarking.9. Selecting providers with a socially respon-

sible prole in the context of the publicprocurement.


Citizens/customers play an increasingly activerole as key partners in the public sector. The term

citizens/customers refers to the citizens varyingrole between stakeholder and service user. Theinvolvement of citizens/customers is increasinglyseen as a necessary lever for improving the effi-ciency and effectiveness of public organisations. Their feedback by the way of complaints, ideasand suggestions is regarded as important inputtowards improving services and products.

The role of the citizens/customers in general canbe approached from four angles: as co-designers,co-decision makers, co-producers and co-evalu-ators. As co-designers they have an impact onwhat and how the public organisations want todeliver as a service in response to a specic need.As co-decision makers the citizens will acquiregreater involvement in and ownership of thedecisions that affect them. As co-producers , citi-zens themselves will be involved in the produc-tion and/or delivery cycle of services and theirquality. And last but not least, as co-evaluators citizens will express themselves on the quality ofpublic policies and the services they received.

In this criterion, CAF focuses on the involvement of

citizens in public matters and in the developmentof public policies, as well as the openness to theirneeds and expectations. Public organisationsshould support citizens/customers in these rolesif they want them to be played in an effective way.

Examples1. Ensuring a proactive information policy (e.g.

about how the organisation works, aboutthe competences of the different publicauthorities, about the structure andprocesses of the organisation, etc.).

2. Actively encouraging citizens/customers toorganise themselves, express their needsand requirements and supporting partner-

ships with citizens, representative citizengroups and civil society organisations.

3. Encouraging the involvement of citizens/customers and their representatives in theconsultation and active participation in thedecision-making processes of the orga-nisation (co-design and co-decision) e.g. viaconsultation groups, surveys, opinion pollsand quality circles.

4. Dening the framework to actively seekideas, suggestions and complaints ofcitizens/customers, collecting them byappropriate means (e.g. surveys, consultationgroups, questionnaires, complaints boxes,opinion polls, etc.). Analysing and exploitingthis information, and disseminating theresults.

5. Ensuring transparency concerning theorganisations functioning as well as itsdecision-making processes (e.g. bypublishing annual reports, holding pressconferences and posting information on theinternet).

6. Dening and agreeing on ways to developthe role of citizen/customers as co-producersof services (e.g. in the context of wastemanagement) and co-evaluators (e.g.

through systematic satisfaction measure-ments).7. Developing effective expectation manage-

ment by explaining to customers whatservices they can expect, including a numberof quality indicators e.g. through CitizensCharters.

8. Assuring updated information on howcitizens/customers individual and socialbehaviour evolves, to avoid installingoutdated processes of consultation orproducing outdated services.



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The ability of public organisations to generateadditional nancial resources may be limitedas may be its freedom to allocate, or reallocateits funds to the services it wishes to deliver.Although public organisations often have littlesay in resource allocation, carefully preparingthe budgets, preferably together with thenancial authorities, is the rst step in cost-effective, sustainable and accountable nancialmanagement. Detailed accountancy systems and internal control are necessary to continuouslymonitor the expenses. It is the basis for sound cost

accounting, demonstrating the organisationsability to deliver more and improved services forless cost if needed, and creating the opportunityfor more innovative services or products to beintroduced more quickly.

Examples1. Aligning nancial management with

strategic objectives in an efficient, effectiveand economic way.

2. Analysing risks and opportunities of nancialdecisions.

3. Ensuring budgetary and nancialtransparency.

4. Ensuring the cost-efficient, effective andeconomic management of nancialresources by using effective nancial costaccounting and controlling systems.

5. Introducing systems of budgetary and costplanning and monitoring (e.g. multi-annualbudgets, programme of project budgets,energy budgets, gender/diversity budgets).

6. Delegating and decentralising nancialresponsibilities and balancing them withcentral controlling.

7. Basing investment decisions and nancialcontrol on cost/benet-analysis, sustainabilityand ethics.

8. Including performance data in budgetdocuments, such as information on outputand outcome goals.


Sub-criterion 4.3Manage nances

It is important to identify the organisationsinformation and knowledge requirements forreaching the strategic goals and preparingfor the future. This necessary knowledge andinformation should enter the organisation in asystematic way, be shared with all the staff whoneed it and remain in the organisation whenpeople leave. Employees should have promptaccess to the appropriate information andknowledge they need to do their job effectively. The organisation should also ensure that itshares critical information and knowledge withkey partners and other stakeholders accordingto their needs.

Examples1. Developing systems for managing, storing

and assessing information and knowledgein the organisation in accordance withstrategic and operational objectives.

2. Ensuring that externally available relevantinformation is acquired, processed, usedeffectively and stored.

3. Constantly monitoring the organisationsinformation and knowledge, ensuring itsrelevance, correctness, reliability andsecurity. Also aligning it with strategicplanning and the current and future needs ofstakeholders.

Sub-criterion 4.4Manage information and knowledge


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33Enablers Criteria >> Criterion 4: Partnerships and Resources

4. Developing internal channels to cascadeinformation throughout the organisationto ensure that all employees have access tothe information and knowledge relevant totheir tasks and objectives (intranet, news-letter, house magazine, etc.).

5. Ensuring a permanent transfer of knowledgebetween staff in the organisation (e.g.mentorship, coaching, written manuals).

6. Ensuring access to and exchange of relevantinformation and data with all stakeholders in

a systematic and user-friendly way, takinginto account the specic needs of allmembers of society such as elderly people,disabled people, etc.

7. Ensuring that key information andknowledge of employees is retained withinthe organisation in the event of their leavingthe organisation.


ICT and other technological policies of theorganisation need to be managed so that theysupport the strategic and operational goals ofthe organisation in a sustainable way. Whenmanaged strategically they can be importantlevers for the improvement of the performanceof public sector organisations and develope-Government. Key processes can be remarkablyimproved by introducing the appropriatetechnologies in an appropriate manner. In serviceprovision, e-Services can render services moreaccessible for the customers and considerablylessen their administrative burden. Within the

administration smart ICT solutions may allow formore efficient use of resources.

Examples1. Designing technology management in

accordance with the strategic andoperational objectives.

2. Implementing, monitoring and evaluatingthe cost-effectiveness of the used technology. Time for return on investment should beshort enough and there should be reliablemetrics for it.

3. Ensuring a safe, effective and efficient useof the technology, with special attention tothe skills of people.

4. Efficiently applying appropriate technologyto e.g.: manage projects and tasks;

manage knowledge; support learning and improvement

activities; support interaction with stakeholders and

partners; support the development and maintenance

of internal and external services.5. Dening how ICT can be used to improve

service delivery, e.g. using the enterprisearchitecture method for information

management in public administration.6. Adopting the ICT framework and resources

needed to deliver intelligent and effectiveservices online, so as to improve servicedelivery to the customers.

7. Being permanently attentive to technologi-cal innovations and review the policy ifneeded.

8. Taking into account the social-economicand environmental impact of ICT, e.g. wastemanagement of cartridges, reducedaccessibility of non electronic users.


Sub-criterion 4.5Manage technology


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Public organisations have to evaluate at regularintervals the state of the infrastructure they haveat their disposal. The infrastructure availableneeds to be managed in an efficient, cost-effective and sustainable way so that it servesthe needs of the customers and supports theworking conditions of the staff. The sustainabilityof the materials used in the organisation andthe impact on the environment are also criticalsuccess factors for this sub-criterion, as well as forits social responsibility.

Examples1. Balancing the cost-effectiveness of the

infrastructure with the needs andexpectations of staff and customers (e.g.centralisation vs. decentralisation of offices/service points, allocation of rooms,accessibility by public transport).

2. Ensuring a safe, effective and efficient useof office facilities (e.g. open plan officesvs. individual offices, mobile offices) based

on strategic and operational objectives,taking into account the needs of employees,local culture and physical constraints.

3. Ensuring an efficient, cost effective andsustainable maintenance of buildings,offices, equipment and materials used.

4. Ensuring an efficient, cost effective andsustainable use of transport and energyresources and their optimisation.

5. Ensuring appropriate physical accessibility ofbuildings in line with the needs andexpectations of employees and citizens/

customers (e.g. disabled access, parking orpublic transport, etc.).

6. Developing an integrated policy formanaging physical assets, including their saferecycling/disposal, e.g. by direct manage-ment or subcontracting.

7. Putting facilities at the disposal of the localcommunity.


Sub-criterion 4.6Manage facilities


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Each organisation is run by many processes, each process beingan organised set of inter-related activities that transform resourcesor inputs in an efficient way into services (outputs) and impact onsociety (outcomes).

A distinction can be made between three types of processes thatmake an organisation function effectively depending on their

quality and the quality of their interactivity: core processes, realising the mission and strategy of the institutionand thus critical to the delivery of products or services;

management processes, steering the organisation; and support processes, delivering the necessary resources.

The Common Assessment Framework assesses only the keyprocesses amongst these three types of processes, namely thosethat contribute effectively to achieving the mission and strategy ofthe organisation.

Criterion 5: Processes

Sub-criterion 5.1Identify, design, manage andinnovate processes on an ongoingbasis, involving the stakeholders

Sub-criterion 5.2Develop and deliver citizen/customer-oriented services andproducts

Sub-criterion 5.3Coordinate processes acrossthe organisation and with otherrelevant organisations

5


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36 Enablers Criteria >> Criterion 5: Processes

Criterion 5 deals in particular with the core processes of theorganisation, while criteria 1 and 2 handle the management

processes, and criteria 3 and 4 the support processes. For horizontalunits such as the strategic unit, the HR and nancial departments,their management or support activities are of course part of theircore processes.

An effective and efficient organisation identies its core processes,which it performs in order to deliver its services (outputs) and impact(outcomes), considering the expectations of the citizens/customersand other stakeholders, in line with its mission and strategy. Thenature of these core processes in public service organisations may

vary greatly, from relatively abstract activities, such as support forpolicy development, or regulation of economic activities, to veryconcrete activities of service provision.

The need to generate increasing value for its citizens/customersand other stakeholders and to raise efficiency are two of the maindrivers in process development and innovation. The increasinginvolvement of the citizen/customer in the public administrationas described in the introduction of sub-criteria 4.2 (the citizens asco-designers, co-decision makers, co-producers and co-evaluators)stimulates organisations to continuously improve their processes,taking advantage of the changing environment in many areas suchas technology, economy and population.


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37Enablers Criteria >> Criterion 5: Processes


This sub-criterion examines how the processessupport the strategic and operational goals ofthe organisation and how they are identied,designed, managed and innovated. Howmanagers and people of the organisation as

well as the different external stakeholdersare involved in the processes of design,management and innovation is very relevantfor the quality of the processes and needs to beanalysed carefully.

Examples1. Identifying, mapping, describing and

documenting processes on an ongoingbasis.

2. Identifying process owners (the persons whocontrol all the steps in the process) andassigning responsibilities and competencesto them.

3. Analysing and evaluating processes,risks and critical success factors, taking intoconsideration the objectives of theorganisation and its changing environment.

4. Ensuring that the processes support thestrategic goals, are planned and managed toachieve the targets established.

5. Involving employees and relevant externalstakeholders in the design and improvementof processes on the basis of their measuredefficiency, effectiveness and results (outputsand outcomes).

6. Allocating resources to processes based onthe relative importance of their contributionto the strategic objectives of the organisation.

7. Simplify the processes on a regular basis,proposing changes in the legal requirementsif necessary.

8. Setting stakeholder-oriented performancegoals and implementing performance indi-cators to monitor the effectiveness of theprocesses (e.g. citizen charters, performancecontracts/service level agreements).

9. Monitoring and evaluating the impact of ICTand e-Services on the organisations processes(e.g. in terms of efficiency, quality, effective-ness).

10. Innovating processes based on regularnational and international bench learning,paying careful attention to the obstacles toinnovation and the necessary resources.


Sub-criterion 5.1Identify, design, manage and innovate processes on an ongoing basis, involving the stakeholders

Sub-criterion 5.2

Develop and deliver citizen/customer-oriented services and products

Sub-criterion 5.2 assesses how organisationsdevelop and deliver their services/products inorder to satisfy the needs of the citizens/customersby involving them. Drawing on the expertise andcreativity of citizens and civil society will foster anefficient, effective and innovative public sector,delivering adequate public services at a fair cost.

In order to enhance the quality of services andproducts, the role of citizens/customers at three

levels can be very benecial:

by involving representative citizens/ customers, associations or ad hoc panelsof citizens in the design and evaluation of theorganisations services and products (co-design, co-evaluation);

by empowering the citizen/customer in thedecision on the type of services and productsto be delivered (co-decision);

by collaborating with citizens/customers inthe implementation of services and products

or by empowering citizens/ customers in therealisation of services and products them-selves (co-production).


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38 Enablers Criteria >> Criterion 5: Processes

Sub-criterion 5.2Develop and deliver citizen/customer-oriented services and products [continued]

Co-producing services increases the sustainabilityof quality because the production becomesco-owned and because the way of producingbecomes more visible, more understandable andtherefore more legitimate and satisfying.

Examples1. Identifying the outputs (services and

products) of the core processes.2. Involving citizens/customers in the design

and improvement of services and products(e.g. by means of surveys/feedback/focus

groups/inquiries concerning the suitabilityof services or products and whether theyare effective in taking into account genderand diversity aspects.

3. Involving citizens/customers and otherstakeholders in the development of qualitystandards for services and products (theprocess output), responding to theirexpectations and manageable by theorganisation.

4. Involve citizens/customers in the delivery ofservices and prepare the citizens/customer aswell as the civil servants for the new relationand changing roles.

5. Involving citizens/customers in the designand development of new kinds of interactiveservices and information delivery andeffective communication channels.

6. Ensuring the availability of appropriate andreliable information, with an aim to assist andsupport citizens/customers as well as toinform them about implemented changes.

7. Promoting accessibility of the organisation(e.g. exible opening hours and documentsin a variety of formats e.g. on paper as wellas an electronic version, appropriatelanguages, posters, brochures, Braille andaudio notice boards).

8. Developing sound response query handlingand complaint management systems andprocedures.


This sub-criterion assesses how well the processesare coordinated within the organisation and withthe processes of other organisations functioningwithin the same service chain. The effectivenessof public organisations often largely dependson the way they collaborate with the otherpublic organisations, with whom they form akind of a service delivery chain, oriented to acommon outcome. Cross-functional processesare common in public administration. It is vital tosuccessfully integrate the management of suchprocesses, since the effectiveness and efficiencyof processes greatly depend on that integration.

Examples1. Dene the service delivery chain to which

the organisation belongs and its partners.2. Coordinating and linking processes to key

partners in the private, NGO and public sector.

3. Develop a common system with partnersin the service delivery chain to facilitate dataexchange.

4. Undertake citizen/customer journeysacross different organisations to learn aboutbetter coordination of processes andovercome organisational boundaries.

5. Creating task forces across organisations/service providers to tackle problems

6. Build in incentives (and conditions) formanagement and employees to create cross-organisational processes (e.g. shared servicesand common process development betweendifferent units).

7. Create a culture for working across bordersin the process management, getting outof the silos thinking, coordinating processesacross the organisation or developing crossorganisational processes (e.g. undertake self-assessment for the whole organisation ratherthan different units).


Sub-criterion 5.3Coordinate processes across the organisation and with other relevant organisations


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Results Criteria

From Criterion 6 onwards, the focus of the assessment shifts fromEnablers to Results. In the rst three Results Criteria we measureperceptions: what our people, citizens/customers and society thinkof us. We also have internal performance indicators which show howwell we are doing against the targets we may have set for ourselves the outcomes. The assessment of results requires a different set ofresponses, so the responses from this point onwards are based on theResults Assessment Panel (see CAF Scoring and Assessment Panels).


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The term citizen/customer reects the complex relationshipbetween the administration and its public. The person to whomthe services are addressed has to be considered as a citizen , amember of a democratic society with rights and duties (e.g. taxpayer, political actor, etc.). The person should also be consideredas a customer , not only in the context of service delivery wherehe adopts the position of a beneciary of services, but also in a

context where he has to full duties (taxpayer or payment of nes),where he has the right to be treated with fairness and courtesywithout neglecting the interests of the organisation. Since the twocases are not always clearly separable, this complex relationshipwill be described as a citizen/customer relationship.

Citizens/customers are the recipients or beneciaries of the activity,products or services of the public sector organisations. Citizens/customers need to be dened, but not necessarily restricted to onlythe primary users of the services provided.

Criterion 6:

Citizen/Customers-oriented Results

Sub-criterion 6.1Perception measurements

Sub-criterion 6.2Performance measurements

6


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42 Results Criteria >> Criterion 6: Citizen/Customer-oriented Results

The direct measurement of the satisfactionor perception of the citizens and customers

is of essential importance. Measuring theperception of citizens and customers meansdirectly asking them and getting directfeedback and information on different aspectsof the organisations performance. Following theprinciple of evidence-based management, it isnot the organisation making assumptions on thesatisfaction level; instead, direct information fromthe customer/citizen themselves provides theobjective information. In most cases this is doneby customer or citizen surveys. Complementarytools such as focus groups or users panels arealso used. This sub-criterion assesses whether theorganisation performs these measurements andshows the results of these measurements.

ExamplesResult of perception measurement regarding:

1. The overall image of the organisation andthe public reputation (e.g. friendliness,fairness of treatment, openness, clarityof the provided information, the employeeswillingness to listen, the reception, exibilityand ability to address individual solutions,etc.).

2. Involvement and participation of the citizen/customer in the working and decision-making process of the organisation.

3. Accessibility (e.g. accessibility with publictransport, disabled access, opening andwaiting times, one-stop-shops, cost of theservices, etc.).

Criterion 6 describes the results the organisation is achievingin relation to the satisfaction of its citizens/customers with

the organisation and the products or services it provides. CAFdistinguishes between perception and performance results. It isimportant for all kinds of public sector organisations to directlymeasure the satisfaction of their citizens/customers (perceptionresults). Furthermore performance results have to be measured.Here, additional information about the citizens and customerssatisfaction is collected by measuring internal indicators. Workingon increasing the results of internal indicators should lead to highersatisfaction of the customers/citizens.

Assessment

Consider what the organisation has achieved to meet the

needs and expectations of customers and citizens throughthe results of

Sub-criterion 6.1Perception measurements


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4. Transparency (e.g. on functioning of theorganisation, of the explanation of theapplicable legislation, and decision-makingprocesses).

5. Products and services (e.g. quality, reliability,compliance with quality standards, process-ing/providing time, quality of advice givento the customers/citizens, environmentalapproach).

6. The organisations differentiation of servicesrelated to different needs of customers (e.g.gender, age, etc.).

7. The available information: quantity,quality, reliability, transparency, readability,appropriateness for the target group, etc.

8. The good receipt of the information by thecitizen/customer.

9. The frequency of citizens/customers opinionsurvey on the organisation.

10. Level of public trust t

Self Assesment in Public Sector 2013

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