An Introduction to the European Common Assessment Framework (CAF) By Dario Quintavalle – Senior Executive Ministry of Justice, Italy Court Manager of the Surveillance Court of Rome

Introduction What is CAF Why is good for us The PDCA cycle Enablers and results Scoring The CAF trip Exercise of self- assessment

CAF, What is it? The CAF is an easy-to-use, free tool to assist public- sector organizations across Europe in using quality management techniques to improve their performance. The CAF is an easy-to-use, free tool to assist public- sector organizations across Europe in using quality management techniques to improve their performance. The CAF is a total quality management (TQM) tool The CAF is a total quality management (TQM) tool It is inspired by the major Total Quality models in general, and by the Excellence Model of the European Foundation for Quality Management (EFQM) in particular. It is inspired by the major Total Quality models in general, and by the Excellence Model of the European Foundation for Quality Management (EFQM) in particular. It is especially designed for public-sector organizations, taking into account their characteristics. It is especially designed for public-sector organizations, taking into account their characteristics. Its application to Justice were first experimented in the Surveillance Court of Rome. Its application to Justice were first experimented in the Surveillance Court of Rome.

CAF purposes: To introduce public administrations to the principles of TQM and To introduce public administrations to the principles of TQM and gradually guide them, through the use and understanding of self-assessment, from the current “Plan-Do” sequence of activities to a full fledged “Plan- Do-Check-Act (PCDA)” cycle; gradually guide them, through the use and understanding of self-assessment, from the current “Plan-Do” sequence of activities to a full fledged “Plan- Do-Check-Act (PCDA)” cycle; To facilitate the self-assessment of a public organization in order to arrive at a diagnosis and improvement actions; To facilitate the self-assessment of a public organization in order to arrive at a diagnosis and improvement actions; To act as a bridge across the various models used in quality management; To act as a bridge across the various models used in quality management; To facilitate bench learning between public-sector organizations. To facilitate bench learning between public-sector organizations.

Key aims and principles of the CAF A standard European approach Assessment to support earlier intervention A process supported by a standard form Holistic CAF cannot guarantee service provision Empowering and a joint process Simple and practical Focuses on needs and strengths Improve joint working and communication Rationalise assessments Support the sharing of information PrinciplesAims Help improvement

CAF helps you: Effective identification of the strengths of the organization and the areas where improvement is needed Identification of relevant improvement actions Increased level of awareness and communication throughout the organization to make your people become aware and interested in quality issues

Total Quality in the organization Quality of results = Quality of organization Two management models ISO 9000 (housekeeping - employees) “DO THINGS RIGHT” TQM (continuous improvement - top management) “DO THE RIGHT THING”

PDCA Plan DoCheck Act

PDCA PLAN: define objectives you want to achieve, considering your customers PLAN: define objectives you want to achieve, considering your customers DO: execute your plans, monitoring indicators DO: execute your plans, monitoring indicators CHECK: assess your achievements, comparing them with your objectives. Success / failure CHECK: assess your achievements, comparing them with your objectives. Success / failure ACT: correct, revise, reconsider, improve, consolidate ACT: correct, revise, reconsider, improve, consolidate = Heuristics: solve problems by learning and discovery = Heuristics: solve problems by learning and discovery

Key words Quality Quality Improvement Improvement Communication () Communication (critical success factor) Self-consciousness Self-consciousness Learning organization Learning organization

Self - assessment “Check first: learn about yourself – Why? “Check first: learn about yourself – Why? Incentive your HR listening them Incentive your HR listening them You get impressions, not only data You get impressions, not only data You focus on the citizen as a protagonist You focus on the citizen as a protagonist You add value from existing competencies You add value from existing competencies You get info you could only get n a market system You get info you could only get n a market system

Enablers / Results ACT Plan, Do, Check

Emphasis on Leadership It is different from a managerial position Manager: has defined responsibilities, operates in predictable environments, on a daily basis Leader: a creative vision of the future, a driving force for change, a talent-scout, adds value to the whole ensemble Involves, promotes, delegates

You always have a choice… In public administrations, WHAT to do is defined by laws… In public administrations, WHAT to do is defined by laws… But it is up to you to decide HOW to do it But it is up to you to decide HOW to do it 1. Focus on vision and mission 2. Attention to client and stakeholders’ needs 3. Translate into achievable goals and strategies

Other enablers Personnel: Your Human Resources, a hidden treasury (Internal Synergy) Personnel: Your Human Resources, a hidden treasury (Internal Synergy) Partnership: those who can help you and have interest in your success (External Synergy) Partnership: those who can help you and have interest in your success (External Synergy) Processes: actions organized and finalized to a scope Processes: actions organized and finalized to a scope

Results Output: Processes deliver OUTPUTS. In other words, what pops out of the end of a process is an output. Outputs are concrete and measurable. Output: Processes deliver OUTPUTS. In other words, what pops out of the end of a process is an output. Outputs are concrete and measurable. Outcomes: Outputs are produced because there is a customer of the process who wants them. Customers usually have expectations about both the process and the output (how they get what they want, and what they actually get). An OUTCOME is a level of performance, or achievement. It may be associated with the process, or the output. Outcomes imply quantification of performance. Outcomes: Outputs are produced because there is a customer of the process who wants them. Customers usually have expectations about both the process and the output (how they get what they want, and what they actually get). An OUTCOME is a level of performance, or achievement. It may be associated with the process, or the output. Outcomes imply quantification of performance. Impact: non-intended results Impact: non-intended results

Results criteria Citizen-oriented Citizen-oriented Personnel-oriented Personnel-oriented Society-oriented Society-oriented Key performance – oriented Key performance – oriented.

1. Leadership Assessment: Consider evidence of what the organization is doing to: 1.1. Provide direction for the Court by developing its mission, vision and values. 1.2 Develop and implement a system for the management of the Court organization, performance and change 1.3. Motivate and support people in the Court and act as a role model 1.4. Manage the relations with politicians and other stakeholders in order to ensure shared responsibility

2. 2. Strategy and planning Assessment: Consider evidence of what the organization is doing to: 2.1. Gather information relating to the present and future needs of stakeholders 2.2. Develop, review and update strategy and planning taking into account the needs of stakeholders and available resources Implement strategy and planning in the whole organization 2.4. Plan, implement and review modernization and innovation

3. People Assessment: Consider evidence on what the organization is doing to: 3.1. Plan, manage and improve human resources transparently with regard to strategy and planning 3.2. Identify, develop and use competencies of employees, aligning individual and organizational goals 3.3. Involve employees by developing open dialogue and empowerment

3. People Judges and Court Clerks: a pyramid or a team? Judges and Court Clerks: a pyramid or a team? Respect, dialogue, empowerment: a safe and healthy environment

4: Partnerships and resources How the organization plans and manages its key partnerships? 4.1. Develop and implement key partnership relations 4.2. Develop and implement partnerships with the citizens/customers 4.4. Manage information and knowledge 4.3. Manage Finances 4.5. Manage Technology 4.6. Manage facilities

5: Processes How the organization identifies, manages, improves and develops its key processes in order to support strategy and planning? 5.1. Identify, design, manage and improve processes on an ongoing basis 5.2. Develop and deliver citizen/customer oriented services and products 5.3. Innovate processes involving citizens/customers

6. Citizen/customer-oriented results what results the organization has achieved to meet the needs and expectations of citizens and customers? 6.1. Results of citizen/customer satisfaction measurements 6.2. citizen/customer-orientation measurements

7: People (HR) results What results the organization is achieving in relation to the competence, motivation, satisfaction and performance of its people Results of people satisfaction and motivation measurements (welfare) 7.2. Indicators of people results (satisfaction, productivity, skills development, mobility)

8: Society results The results the Court is achieving in satisfying the needs and the expectations of the local community Results perceived by the stakeholders (e.g.: reputation) 8.2. Indicators of societal performance established by the Court (e.g.: amount of media coverage)

9: Key performance results 9.1. External results: The results the Court is achieving with regard to the needs and demands of the different stakeholders 9.2. Internal results: results the organization has achieved in relation to its management and improvement

SCORING IMPROVEMENT is the scope of CAF IMPROVEMENT is the scope of CAF The way to improve is self-assessment (check) The way to improve is self-assessment (check) The output of a self-assessment process is to have a framework of WEAKNESSESS and CAUSES. The output of a self-assessment process is to have a framework of WEAKNESSESS and CAUSES. Scoring helps defining priorities Scoring helps defining priorities

Results first! “Results” are objective data and have a quantitative measurement “Results” are objective data and have a quantitative measurement Results are symptoms, the problem is in Enablers Results are symptoms, the problem is in Enablers

How to score “Enablers” We are not active Plan We plan to do this Do We are doing it Check We check what we are doing Act We adjust if necessary PDCA We are continuously improving

How to score “Enablers” Choose the level that you have reached: Plan, Do, Check or Act. Give a score between 0 and 100 according to the level that you have reached inside the phase. The scale on 100 allows you to specify the degree of deployment and implementation of the approach.

How to score “Results” Trends / Target No results measured Negative trends /don’t meet targets Flat trends/ some targets are met Improving trends /most targets are met Substantial progress /most of relevant targets are met Excellent + sustained results/ all targets met/positive comparison with other Courts

How to score “Results” Give a score between 0 and 100 for each sub criterion on a scale divided in 6 levels (corresponding to the results panel of the CAF 2002). For each level, you can take into account either the TREND, either the ACHIEVEMENT of the target or both.

Note on scoring… Pease note that this is the simplified 2002 scoring system. It is good to start. Pease note that this is the simplified 2002 scoring system. It is good to start. A more sophisticated scoring system was defined in 2006 A more sophisticated scoring system was defined in 2006 And now start the process…

1. Start the trip…. Step 1 Decide how to organize and plan the self-assessment (SA) Assure a clear management decision in consultation with the organization Define the scope and the approach of the SA Choose the scoring panel Appoint a project leader

2. Communicate… Step 2 Communicate the self- assessment project Define and implement a communication plan Stimulate involvement of the staff in the SA Communicate during the different phases to all the stakeholders

3. Compose a group Step 3 Compose one or more self- assessment groups Decide on the number of self assessment groups Create a self assessment group that is relevant for the whole organization in all its aspects, respecting a set of criteria Choose the chair of the group(s) Decide if the manager should be part of the self- assessment group

4. training Step 4 Organize training Organize information and training of the management team Organize information and training of the self assessment group The project leader provides a list with all relevant documents Define the key stakeholders, the products and services that are delivered and the key processes

5. Do it! Step 5 Undertake the self- assessment Undertake individual assessment Undertake consensus in group Score

report… step 6 draw up a report describing the results of self- assessment step 7 draft an improvement plan step 8 communicate the improvement plan

9-10 …and improve! Step 9 Implement the improvement Plan Define a consistent approach of monitoring and assessing the improvement actions, based on the Plan-Do-Check-Act cycle Appoint a responsible person for each action Implement the appropriate management tools on a permanent basis Step 10 Plan next self-assessment Evaluate the improvement actions by a new self- assessment

And now, let’s do an exercise

More info on.. European Institute of Public Administration (EIPA)