1. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Training session on the Common Assessment Framework (CAF) Quality Management in the Public Sector Vilnius, 27-28 March 2006 Ana Andrade

2. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Are you curious about CAF history?

3. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in Public Administration of European Union Evolution

4. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 1995/97 l 1995 The DG´s started discussing Quality issues l 1996 Eipa presented a summary about Quality initiatives in PA, and the DG´s agreed to explore the possibilities of cooperation between the Member States, involving the Commission l 1997 A Conference about Benchmarking was held in Copenhagen A meeting about an International Benchmarking Network was promoted by OECD New reports about Quality were presented in the DG´s meeting in Hague

5. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. l 1998 April –In the DG´s meeting in Edinburgh it was agreed that an Excellence Award should be created for PA in EU May –In the Ministers’ Meeting in London, a Steering Group was created to develop this initiative Quality in PA of EU 1998

6. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. General Directors for Public Administration STEERING GROUP EU MEMBERS EUROPEAN COMISSION EIPA EFQM OCDE SPEYER

7. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 1998 l CONCLUSIONS OF THE MINISTERS OF PUBLIC ADMINISTRATION November 1998 The Ministers welcome the “best practice” quality initiative. Benchmarking and benchlearning aim at improving the quality of the public services supplied to citizens. The Ministers support the setting up of an overall framework for assessing the quality of administrative organisations, in order to make comparisons and to enable Europe’s public administration to learn from each other. The Ministers invite the Directors General to develop this assessment framework and to maintain a national selection of innovative administrations which will be presented at a conference in Portugal in spring 2000.

8. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Austrian Presidency –A first draft of the common assessment structure was developed German Presidency –Guidelines for the selection,at national level, of Best Practices were stablished Finnish Presidency –The Best Practices in Public Administration were selected and nominated by the Member States to be presented in the 1st QC –The development of what would became Common Assessment Framework – CAF was resumed Quality in PA of EU 1998/99

9. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 2000 CAF was fully developed and agreed upon In the DG´s meeting –CAF was formally approved and –a formal mandate for the Steering Group was established - Innovative Public Services Group The 1st Quality Conference for Public Administrations in the EU was held in Lisbon on 10,11,12th May. The Best Practices in the Public Administration of the Member States were presented

10. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 2000 Resolutions about Quality and Benchmarking to Public Services were approved by the PA Ministers of EU, in Strasbourg, November 2000, establishing: Formal approval of CAF Promotion of CAF use at national level in each Member State Promotion of Benchmarking Creation of a resource centre for development of CAF Organization of the second Quality Conference for Public Administration in 2002

11. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 2002 The 2nd Quality Conference for Public Administrations in the EU was held in Copenhagen A 2nd Version of CAF was presented ( the current Version)

12. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 2003 New Resolutions were approved by the Ministers to reinforce the need to CAF application in Public Services The 1st CAF event was held in Rome

13. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Quality in PA of EU 2004 The 3rd Quality Conference for Public Administrations was held in Rotterdam

14. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Next Steps CAF 2006 –CAF is being revised and improved.(structure and scoring system), the definitive version will be presented at 4QC “The CAF works – Better results for the citizens by using CAF” –A total of 29 cases from 15 countries have been selected by a jury and are now being edited for publication. CAF e-Community - EIPA is currently developing an electronic tool to support the communication between all persons interested in the CAF

15. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Next Steps 4th Quality Conference for Public Administrations in the EU - “Building Sustainable Quality”, is held under the Finnish Presidency in Tampere on 27-29 September 2006. Registration is already possible. New ways to complement CAF implementation are being discussed and studied. To complement the Self- Assessment provided by CAF, there are other tools such as Balance Score Card to improve performance that can be used The 3rd CAF Event will take place under the Portuguese Presidency

16. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. European Programme 1998 Austria Germany Finland Portugal - 2000 France Sweden Belgium Spain Denmarc-2002 Greece Italy Ireland Holand-2004 Luxembourg United kingdom Austria Finland-2006 … Austrian Presidency Ministers Agreement Portuguese Presidency CAF 1.ª Quality Conference for PA in the EU (1QC) French Presidency EU Ministers Resolution for CAF application in the PA Danish Presidency CAF 2nd version 2QC Italian Presidency Reinforce the need to CAF application Dutch Presidency 3QC Finland Presidency 4QC

17. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. General Considerations l The Quality Programme for Public Administration of EU is very dynamic and has been developed on a basis of continuous improvement l We have increasing achievements and goals, so: We have wide open EU Conferences for PA every 2 years We have CAF events for good practices and for experts every two years ( on an alternative scheme) Ministers resolutions and DG´s orientations are stronger and stronger

18. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. COMMON ASSESSMENT FRAMEWORK (CAF)

19. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Common Assessment Framework Leadership Human Resources Management Strategy and Planning Partnerships and Resources Process and Change Management People Results Customer / Citizen- oriented Results Society Results Key Performance Results ENABLERS RESULTS INNOVATION AND LEARNING

20. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. CAF - Principles To be adapted to the specific characteristics of Public Administration Organizations To be compatible with the commonest models used by the Public and private organizations: – EFQM – SPEYER – …

21. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. CAF - Objectives To introduce Quality Management To work as a Self-Assessment structure To act as a bridge between different models To insert some indicators that allow the comparison of results To allow benchmarking between organizations in EU To be available, free of charge

22. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. CAF Provides Enablers The features of an organisation which determine how it performs Criteria 1-5 deal with the Enabler features of an organisation; these determine how it performs. The assessment of actions relating to the Enablers should be based on the Enablers Panel. Results The results or outputs which the organisation achieves The assessment of results requires a different set of responses, so the responses from this point are based on the Results Assessment Panel.

23. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self-Assessment

24. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self-Assessment Advantages: It Integrates initiatives of quality improvement in the current management of the organization It works as a diagnostic tool It a dynamic process, allowing the additional motivation of people to change management It is a structured and rigorous way to manage improvement processes It is based on facts and not on individual subjective feelings It allows the recognition of progresses achieved It allows internal and external benchmarking It recognizes performance levels

25. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self Assessment Identifies strengths and improvement areas Is based on facts Develops a common language and promotes a new culture Involves all people at all levels Must aim at continuous improvement People in the organization are the ones who know its functioning best but they don’t always share and knowledge is not spread

26. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self-Assessment Cycle STRENGTHS & AREAS FOR IMPROVEMENT IMPLEMENTING IMPROVEMENT ACTIONS IMPROVED RESULTS SELF- ASSESSMENT

27. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. CAF

28. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 1: Leadership How leaders and managers develop and facilitate the achievement of the mission and vision of a public sector organisation; develop values required for long-term success and implement these via appropriate actions and behaviours; and are personally involved in ensuring that the organisation’s management system is developed and implemented.

29. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 1: Leadership l SubCriterion 1.1. Give a direction to the organisation: develop and communicate vision, mission and values 1.2. Develop and implement a system for managing the organisation 1.3. Motivate and support the people in the organisation and act as a role model 1.4. Manage the relations with politicians and other stakeholders

30. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 2: Strategy and Planning How the organisation implements its mission and vision via a clear stakeholder-focused strategy, supported by relevant policies, plans, objectives, targets and processes.

31. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 2: Strategy and Planning l SubCriterion 2.1. Gather information relating to present and future needs of stakeholders 2.2. Develop, review and update strategy and planning 2.3. Implement strategy and planning in the whole organisation

32. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 3: Human Resources Management How the organisation manages, develops and releases the knowledge and full potential of its people at individual, team-based and organisation wide levels; and plans these activities in order to support its policy and strategy and the effective operation of its people.

33. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 3: Human Resources Management l SubCriterion 3.1. Plan, manage and improve human resources* with regard to strategy and planning 3.2. Identify, develop and use competencies of the employees aligning individual, team and organisational targets and goals 3.3. Involve employees by developing dialogue and empowerment

34. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 4: Partnerships and Resources How the organisation plans and manages its partnerships and internal resources in order to support its policy and strategy and the effective operation of its processes.

35. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 4: Partnerships and Resources l SubCriterion 4.1. Develops and implements key partnership relations 4.2. Develops and implements partnerships with the customers/citizens 4.3. Manages knowledge 4.4. Manages finances 4.5. Manages technology 4.6. Manages buildings and assets

36. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 5: Process and Change Management How the organisation manages, improves and develops its processes in order to innovate and support its policy and strategy and fully satisfy and generate increasing value for its customers and other stakeholders.

37. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 5: Process and Change Management l SubCriterion 5.1. Identifies, designs, manages and improves processes 5.2. Develops and delivers services and products by involving the customers/citizens 5.3. Plans and manages modernisation and innovation

38. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 6: Customer/Citizen-oriented Results What results the organisation is achieving in relation to the satisfaction of its internal and external customers. l SubCriterion 6.1. Results of customer/citizen satisfaction measurements 6.2. Indicators of customer/citizen-oriented measurements

39. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 7: People Results The results the organisation is achieving in relation to the satisfaction of its people. l SubCriterion 7.1. Results of people satisfaction and motivation measurements 7.2. Indicators of people results

40. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 8: Society Results What the organisation is achieving in satisfying the needs and the expectations of the local, national and international community at large (as appropriate). This includes the perception of the organisation’s approach to quality of life, the environment and the preservation of global resources, and the organisation’s own internal measures of effectiveness. It will include its relations with authorities and bodies, which affect and regulate its business. l SubCriterion 8.1. Results of societal performance 8.2. Results of environmental performance

41. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion 9: Key Performance Results What the organisation is achieving in relation to its mandate and specified objectives and in satisfying the needs and expectations of everyone with a financial interest or other stake in the organisation. l SubCriterion 9.1. Goal achievement 9.2. Financial performance

42. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. CAF - Dynamic ENABLERSRESULTS Criterion 3 Human Resources Management Criterion 7 People Results

43. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Criterion SubCriterionSubCriterionSubCriterion

44. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Assessment panels Score

45. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. SCORE - Enablers Panel 0 No evidence or only anecdotal evidence of an approach. 1 An approach is planned P (plan). 2 An approach is planned and implemented D (do). 3 An approach is planned, implemented and reviewed C (check). 4 An approach is planned, implemented and reviewed on the basis of benchmarking data and adjusted accordingly A (act). 5 An approach is planned, implemented, reviewed on the basis of benchmarking data, adjusted and fully integrated into the organisation. Plan DoCheck Act Deming Clycle

46. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. SCORE - Results Panel 0No results are measured. 1 Key results are measured and show negative or stable trends. 2Results show modest progress. 3Results show substantial progress. 4 Excellent results are achieved and positive comparisons to own targets are made. 5 Excellent results are achieved, positive comparisons to own targets are made and positive benchmarks against relevant organisations are made.

47. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Score Chart

48. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self-Assessment Criterion Average Enablers Results Source: EIPA - Average score of the organisations (February 2005)

49. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Process of Assessment Guidelines for the use of the CAF

50. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU.

51. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Organize the Process of Assessment 1. Commit the senior management 2. Appoint a CAF project leader 3. Establish the assessment group 4. Inform the team about what/how is to be done 5. Communicate CAF self-assessment process

52. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU.  Undertake consensus In the process of arriving at consensus, a four-step method may be used: 1.Presenting the range of individual scores under each sub- criterion, as well as the statistical mean of the individual assessments. 2.Identifying the significant points of consensus and difference. 3.Discussing the background to any significant cases of difference. 4.Attempting to reach consensus, possibly on the basis of a second assessment-round for selected criteria. The assessment process  Undertake individual assessment

53. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Use The Results Prioritise improvements Develop and implement an improvement plan Monitor progress and repeat the assessment l Share experience and benchmark

54. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For CAF Application CAF application to multiple organisations simultaneously

55. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model for CAF Application l You may applied CAF in more than one organization simultaneously with advantages l You may applied CAF, in a large organization with several self- assessment processes l There is more information : UPAN (EN/PT) –http://www.unpan.org/ EUPAN / EIPA (EN) –http://www.eupan.org CLAD / SIARE (PT) –http://www.clad.org.ve

56. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Goals l Reduction of non quality costs l Circuits rationalization and process optimization l Top management involvement l People motivation l Citizen customer orientation l Promoting continuous learning, innovation and improvement l Resources and partnerships optimization l Orientation to results l Satisfaction of actual social needs

57. Integrated Model For Caf Application

58. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For Caf Application Key Factors l Highest Level Sponsorship l Top Management Commitment l Communication l Involvement InnovationPartnershipsBenchmarking

59. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For Caf Application Assets l People Working Group Interlocutors Dynamizers Self-Assessment Teams Collaborators l Materials Handbook for Training Pro-forma Approach Guidelines to the Report

60. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For Caf Application Actions l Meetings l Workshops l Awareness Sessions l Training l Support to the Internal Processes

61. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For Caf Application Results l Diagnosis l Identification of Improvement opportunities l Establishment of Plan of Actions CULTURE OF QUALITY AWARENESS ORIENTATION TO THE FUTURE

62. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model For Caf Application Satisfaction l Customers l Collaborators l Partners and Society

63. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Integrated Model for CAF Application Conduction of the Process

64. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Implementation Model Internal Replication

65. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Self-Assessment Processes Awareness sessions –Global or cascade –Top Management presence, Quality Programme presentation, & presentation of the internal self- assessment phasing Self-assessment teams (3 to15 members) Evidence collecting processes Use of surveys People satisfaction surveys Filled up the self-assessment pro-forma approach Made the improvement action plan Presented the report l Self –assessment process (1 to 2 months) Different approaches in different organizations according to their structure and geographical dispersion

66. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Transversal actions TransversalTransversal and and IntegratingIntegratingActionsActionsTransversalTransversal and and IntegratingIntegratingActionsActions Advantages Adoption of similar frameworks and monitoring Common measuring units Comparative Analyses Exact and exhaustive treatment Sharing methodologie s and structured models Establishment of key indicators Quantitative and/or qualitative analysis Reading and evaluating tendencies Costs reduction Solid information to support decision Analysis and TreatmentAnalysis and TreatmentAnalysis and TreatmentAnalysis and Treatment Organizations Self-assessment Results Working Group Assistance and Monitoring

67. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Total Manage ment Quality Culture and Service s Dynami cs 1 - Evaluation and Continuous Improvement Culture 3 – Innovation and Change Management 4 – Communication and Customer Orientation 5 – Motivation and Involvement 6 - Environment 7 –Orientation to Excellence 2 - Benchmarking Wide Range And Transve rsal Actions to the Ministry Implementation of the actions identified in each organization Self-Assessment Exercise Events /Practices and Experiences Share Documentation Publishing Communities to share Practices and Knowledge Outside oriented exchange of knowledge Site Process Approach Quality Manual Procedures Manual Citizen Quality Charter e-services Customer Satisfaction Evaluation Intranet Quality Teams People Satisfaction Evaluation People Manual ISO 14 001:1999 (Requirements) Coordination and Monitoring of Quality Initiatives Pilot Projects Levels of Excellence Orientation Site Contact Center Values Charter Stakeholders Satisfaction

68. ScheduleSchedule 1st Month 2nd Month 3rd Month 4th Month 5th Month 6th Month Working Group Creation Training Actions Preparing Training Actions Self-Assessment Processes Global Report Presenting Results 6 Months Interlocutors Indication

69. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Stimulate Behaviour CAF Learning Curve Unfamiliarity Confusion Curiosity Experimentation Discovering and Internalization Practice and feedback Competency Source Paula Ochoa

70. © OECD Ana Andrade * Ana.andrade@mail.telepac.pt A joint initiative of the OECD and the European Union, principally financed by the EU. Thank You! AČIŪ ! Contact: ana.f.andrade@mail.telepac.pt ana.andrade@igfse.pt