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ResourceCentreEuropean Institute of

Public Administration


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The Common Assessment Framework (CAF)

Improving an organisation through self-assessment

CAF 2006

Index

Introduction.................................................................................................................. 2

Enablers Criteria........................................................................................................... 7Criterion 1: Leadership.................................................................................................. 8Criterion 2: Strategy and planning .............................................................................. 10Criterion 3: People ...................................................................................................... 12Criterion 4: Partnerships and resources ....................................................................... 14Criterion 5: Processes.................................................................................................. 16

Results Criteria ........................................................................................................... 19Criterion 6: Citizen/customer-oriented results ............................................................. 20Criterion 7: People results ........................................................................................... 21

Criterion 8: Society results........................................................................................... 22Criterion 9: Key performance results ........................................................................... 23

CAF Scoring and assessment panels ........................................................................... 24

Guidelines for improving organisations using CAF ..................................................... 30

Bench learning ........................................................................................................... 40

Glossary ................................................................................................................... 43


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IntroductionDefinitionThe Common Assessment Framework (CAF) is a To-tal Quality Management (TQM) tool inspired by theExcellence Model of the European Foundation forQuality Management (EFQM) and the model of the

German University of Administrative Sciences inSpeyer. It is based on the premise that excellent resultsin organisational performance, citizens/customers,people and society are achieved through leadershipdriving strategy and planning, people, partnershipsand resources and processes. It looks at the organisa-tion from different angles at the same time, the holisticapproach of organisation performance analysis.

Origin and growthThe CAF is a result of co-operation among the EUMinisters responsible for Public Administration.It is jointly developed under the aegis of the

Innovative Public Services Group (IPSG), a workinggroup of national experts set up by the Directors-General (DG) in order to promote exchanges andcooperation where it concerned innovative ways ofmodernising government and public servicedelivery in EU Member States.

A pilot version was presented in May 2000 anda first revised version was launched in 2002.A CAF Resource Centre CAF (RC) was created at theEuropean Institute of Public Administration (EIPA)in Maastricht following the decision of DGs in

charge of public service. In a strategic state-ment, EIPA pointed out how it wants to play its roleas a European CAF Resource Centre and what itsobjectives are in this respect.

Together with the network of national CAF correspond-ents, assisted by the European Foundation for QualityManagement (EFQM) and the University of Speyer, theCAF RC coached the implementation of the model inmany ways and evaluated its use. Between 2000 and2005 ca. 900 European public administrations used theCAF to improve their organisations. Also from outsideEurope there is a lot of interest in using the tool e.g. fromChina, Middle East, Dominican Republic and Brazil.More than 300 CAF users met at the 1st and 2ndEuropean CAF Users Events in Rome in 2003and in Luxembourg in 2005. Two studies by EIPA,established in the context of these events, give detailedinformation on the use of CAF in Europe and they in-spired the CAF 2006 revision. A database on CAF ap-plications is being further developed at EIPA, allowingintegrating good practices in public administrationsfrom all over Europe and maybe wider. A CAF e-toolwill be soon fully available for the CAF community. TheCAF website gives all the available information on the

European level. The model is now translated in 19 lan-guages. But also on the national level, many countriesdeveloped CAF support structures including training,

e-tools, brochures, CAF users events and CAF databases. All these activities assure all the CAF actors in-volved that the target of 2000 registered CAF users in2010 set by the United Kingdom presidency willbe met.

The Ministers responsible for Public Administration inthe European Union expressed at the end of the Lux-embourg presidency on 8 June 2005 their apprecia-tion for the fruitful exchange of ideas, experiences andgood/best practices between the Public Administrationsof the EU Member states within the European PublicAdministration Network (EPAN) and for the develop-ment and use of tools such as the Common Assess-ment Framework. They asked to integrate even morethe quality approach with the Lisbon agenda. The CAF2006 revision has taken this demand into account.

Main purpose and supportThe CAF is offered as an easy to use tool toassist public sector organisations across Europe

to use quality management techniques to improveperformance. The CAF provides a self-assess-ment framework that is conceptually similar to themajor TQM models, EFQM in particular, but isspecially conceived for the public sector organisations,taking into account their differences.

The CAF has four main purposes:1. To introduce public administration to the principles

of TQM and progressively guide them, through theuse and understanding of self-assessment, fromthe current Plan-Do sequence of activities to a

full fledged Plan-Do-Check-Act (PDCA) cycle;2. To facilitate the self-assessment of a public organi-sation in order to obtain a diagnosis and improve-ment actions;

3. To act as a bridge across the various models usedin quality management;

4. To facilitate bench learning between public sectororganisations.

A number of components have been worked out insupport of these purposes and are explained in thisbrochure: the structure with 9 criteria, 28 sub crite-ria with examples; assessment panels for the enablersand the results, guidelines for self-assessment, im-provement actions and bench learning projects anda glossary.

Target organisationsThe CAF has been designed for use in all parts of thepublic sector, applicable to public organisations at thenational/federal, regional and local level. It may alsobe used under a wide variety of circumstances e.g. aspart of a systematic programme of reform or as a ba-sis for targeting improvement efforts in specific publicservice organisations. In some cases, and especially in

very large organisations, a self-assessment may alsobe undertaken in part of an organisation e.g. in a se-lected section or department.


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cal and administrative culture: legitimacy (democratic,parliamentary), the rule of law and ethical behaviourbased on common values and principles such as open-ness, accountability, participation, diversity, equity, so-cial justice, solidarity, collaboration and partnerships.

Although CAF primarily focuses on the evaluation ofperformance management and the identification of itsorganisational causes to make improvement possible,contributing to good governance is the ultimate goal.

So the assessment of performance addresses the fol-lowing main features of a public sector organisation: democratic responsiveness/accountability; operating within the legislative, legal and regula-

tory framework; communicating with the political level; involvement of stakeholders and balancing of

stakeholder needs; excellence in service delivery; value for money;

achievement of objectives; management of modernisation, innovation and

change.

Cross functions inside the modelThe holistic approach of TQM and CAF does not sim-ply mean that all aspects of the functioning of an or-ganisation are carefully assessed but also that all thecomposing elements have a reciprocal impact on eachother. A distinction should be made between cause-effect relationship between the left part of

the model (the enablers-causes) and the right part

(the results-effects), and the holistic relationship between the causes (ena-blers).

Only to the latter can the holistic character beapplied.

Cross connection between the left and right parts of themodel: consists in the cause-effect relation between theenablers (causes) and the results (effects), as well asin the feedback from the latter to the former. Verifica-tion of cause-effect links is of fundamental importancein self-assessment, where the assessor should alwayscheck for consistency between a given result (or set ofhomogeneous results) and the evidence collected onthe relevant criteria and sub criteria on the enablerside. Such consistency is sometimes difficult to verify,since due to the holistic character of the organisation,the different causes (enablers) interact with each otherwhen producing results. In any case, the existence ofappropriate feedback, from results appearing on theright side to the appropriate criteria on the left side,should be checked in the assessment.

Cross connection between criteria and sub criteria on theenabler side: since quality of results is to a large extentdetermined by the type and intensity of relationshipsbetween enablers, this type of relationship must be ex-plored in self-assessment. In fact their intensity is very dif-ferent between different organisations and their naturedetermines to a large extent the quality of the organisa-tion. Excellent organisations are, for example, charac-terised by strong interactions between criterion 1 andcriteria 2/3/4, and between 3 and 4/5. Relationshipsare obviously not limited to the criteria level. Quite of-ten substantial interaction/relationships materialise atsub criterion level.

Importance of evidence and measurementsSelf-assessment and improvement of public organi-sations is very difficult without reliable informationacross the different functions of the organisation. CAFstimulates public sector organisations to gather anduse information but very often this information is notavailable at a first self-assessment. This is why CAF

often is considered to be a zero base measurement. Itindicates the areas in which it is essential to start meas-uring. The more an administration progresses towardscontinuous improvement the more it will systematicallyand progressively collect and manage information, in-ternally and externally.

Role of the scoring systemOne of the compulsory elements of the CAF is the scor-ing system. Although the discovery of strengths andareas for improvement and the linked improvementactions are the most important outputs of the self-as-

sessment, organisations sometimes focus too muchon scores. The scoring system has been retained andelaborated in the new CAF version.

Allocating a score to each sub criterion and criterion ofthe CAF model has 4 main aims:1. to give an indication on 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 to find valid partners to learn from.

New in the CAF 2006 is the provision for two waysof scoring. The classical CAF scoring and the fine-tuned CAF scoring. More information is given in thechapter on scoring.

Managerial language and the glossaryMany public sector organisations, that use CAFfor the first time, are confronted with a terminol-ogy that is difficult to access. A background in pub-lic management helps of course to overcome thisbut some people participating at a CAF self-assess-ment may not have this background. The glossary

at the end of this brochure is there to assist them byproviding a more precise definition for the main wordsand concepts.


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Given the nature of clients in the public sector howev-er, we wish to define from the start what we understandby citizen/customer. This term is used to emphasise thedual relationship between public administration and the users of public services, and all the members of the public, who as citizens and

taxpayers have a stake in the services providedand their outputs.

Major differences between CAF 2002 and2006Users of previous CAF versions will not find it too dif-ficult to find their way in the new version.

In the context of the Lisbon strategy more emphasis isplaced on modernisation and innovation. This concernis therefore more explicitly present in the criteria onleadership and strategy whilst the need for permanentinnovation of the processes is presented in criterion 5.

The introduction and many new formulated examples

better illustrate the contribution of quality manage-ment in the public sector towards good governance.The scoring system allows organisations to deepentheir assessment knowledge and focus more closelyon their improvement actions.

The guidelines on self-assessment and improvementaction plans give additional advice.

The recent success of bench learning with CAF has in-spired new guidelines in this field.

To summarise, self-assessment against the CAF modeloffers the organisation an opportunity to learn moreabout itself. Compared to a fully developed Total Qual-ity Management model, the CAF is designed to be auser-friendly introductory model. It is assumed that anyorganisation that intends to go further will select oneof the more detailed models. The CAF has the advan-tage of being compatible with these models and maytherefore be a first step for an organisation wishing togo further with quality management.

We know that CAF Works!

The CAF is in public domain and free of charge. Or-ganisations are free to use the model as they wish.


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Enablers

Criteria 1-5 deal with the Enabler features of an organisation. These determine what the organisation does andhow it approaches its tasks to achieve the desired results. The assessment of actions relating to the Enablersshould be based on the Enablers Panel (see CAF scoring and Assessment panels).


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Criterion 1: Leadership

DefinitionThe behaviour of an organisations Leaders canhelp to create clarity and unity of purpose andan environment in which the organisation and itspeople excel.

Leaders provide direction for the organisa-tion. Leaders develop the mission, vision and thevalues required for the organisations long-term suc-cess. They motivate and support people in the or-ganisation by acting as role models and throughappropriate behaviours which are consistent with theexpressed and implied values.

Leaders develop, implement, and monitor theorganisations management system and review per-formance and results. They are responsible for im-proving performance and prepare for the future by or-

ganising the changes necessary to deliver its mission.

In the public sector, leaders are the main interface be-tween the organisation and politicians and managetheir shared responsibilities and are also responsiblefor managing relationships with other stakeholdersand ensuring that their needs are met.

Key implicationsIn a representative democratic system, elected politi-cians make the strategic choices and define the goalsthey want to achieve in the different policy areas. The

leadership of public sector organisations assists politi-cians in formulating policy by giving advice in terms ofanalysis, horizon-scanning, or visioning, and is alsoresponsible for policy implementation and realisation.

Therefore a distinction needs to be drawn within thepublic sector between the role of the political leader-ship and that of the leaders/managers of organisa-tions. The CAF focuses on the management of publicorganisations rather than on the quality of publicpolicies which is a political responsibility.Beside their proper values, European public sector or-ganisations share a number of common values suchas the legality, transparency, equity, diversity and therefusal of conflicts of interest. Leaders communicatethese values throughout the organisation and maytranslate them, for example, into codes of conduct thatguide peoples professional behaviour.

Leaders create the optimal conditions for their organi-sation to adapt itself to the continuously changing so-ciety they serve. They are themselves looking for op-portunities to innovate and modernise. They activelyintegrate e-government approaches.Leaders in public service organisations typically are re-

quired to work within allocated resources to achievegoals and targets. This sometimes necessitates bal-ancing the needs of citizens, politicians and otherstakeholders. Therefore leaders need to show a clear

understanding of who their customers are, their re-quirements, and how these can be balanced with po-litical imperatives, demonstrating clear commitment tocitizens/customers, as well as to other stakeholders.

Assessment: Consider the evidence of what theorganisations leadership is doing to:

1.1. Provide direction for the organisation bydeveloping its mission, vision and val-ues.

Examples:a. Formulating and developing the mission (what our

goals are) and the vision (where we want to go)of the organisation involving relevant stakeholdersand employees.

b. Translating the mission and vision into strategic(long-term and medium-term) and operational(concrete and short-term) objectives and actions.

c. Establishing a value framework, including in ittransparency, ethics and citizen service, and acode of conduct involving stakeholders.

d. Strengthening of mutual trust and respect betweenleaders/managers/employees (e.g. definingnorms of good leadership).

e. Creating conditions for effective communication.Ensuring the wider communication of the mission,vision, values, strategic and operational objectivesto all employees in the organisation and to otherstakeholders.

f. Reviewing periodically the mission, vision and values

reflecting changes in the external environment.g. Managing conflicts of interest by identifying po-tential areas of conflicts of interest and providingguidelines for employees.

Award a score using the Enablers Panel

1.2. Develop and implement a system for themanagement of organisation, perform-ance and change

Examples:a. Developing processes and organisational struc-

tures in accordance with strategy, planning andneeds and expectations of stakeholders usingavailable technologies.

b. Defining appropriate management forms (levels,functions, responsibilities and competencies) andensuring a system for managing processes.

c. Developing and agreeing on measurable objec-tives and goals for all levels of the organisation.

d. Giving direction on output and outcome targetsbalancing the needs and expectations of differentstakeholders.

e. Formulating and aligning the net/e-gov strategywith the strategic and operational objectives of theorganisation.

f. Establishing a management information system


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including internal audits.g. Establishing appropriate enablers/assumptions

(frameworks) for project management and team-work.

h. Permanent application of TQM-system principles suchas the CAF Model or the EFQM Excellence Model.

i. Developing a system of measurable strategic andoperational goals/performance measuring in theorganisation (e.g. Balanced Scorecard).

j. Developing systems of quality management suchas ISO 9001-2000, Service Level Agreements(SLAs) and different kinds of certification.

k. Identifying and setting priorities for necessarychanges regarding the organisational design andbusiness model.

l. Communicating change initiatives and the reasonsfor change to employees and relevant stakehold-ers.


1.3. Motivate and support people in the or-ganisation and act as a role model

Examples:a. Leading by example thus acting in accordance

with established objectives and values.b. Demonstrating personal willingness of leaders/

managers to accept change by acting on construc-tive feedback.

c. Keeping employees regularly informed about keyissues related to the organisation.

d. Supporting employees by helping them to car-ry out their duties, plans and objectives in sup-port of the achievement of overall organisationalobjectives.

e. Stimulating, encouraging and creating conditionsfor the delegation of authority, responsibilities andcompetencies including accountability (empower-ment).

f. Promoting a culture of innovation and improve-ment by encouraging and supporting employeesto make suggestions for innovation and improve-ment and to be proactive in their daily work.

g. Recognising and rewarding the efforts of teamsand individuals.

h. Respecting and addressing individual needs andpersonal circumstances of employees.


1.4. Manage the relations with politiciansand other stakeholders in order to en-sure shared responsibility

Examples:a. Identifying the public policies affecting the

organisation.b. Maintaining proactive and regular relations with

the political authorities of the appropriate execu-tive and legislative areas.

c. Ensuring that objectives and goals of the organi-sation are aligned with public policies.

d. Developing and maintaining partnerships andnetworks with important stakeholders (citizens,Non-Government Organisations (NGOs), interestgroups, industry and other public authorities).

e. Involving political and other stakeholders in the set-ting of output and outcome targets and the develop-ment of the organisations management system.

f. Seeking public awareness, reputation and recog-nition of the organisation and its services.

g. Developing a concept of marketing (product andservice targeted) and its communication in rela-tion to stakeholders.

h. Taking part in the activities of professional asso-ciations, representative organisations and interestgroups.



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Criterion 2: Strategy and planning

DefinitionThe way an organisation effectively combines its inter-related activities determines its overall performance.The organisation implements its mission and visionvia a clear stakeholder-focused strategy aligning pub-

lic policies/goals and other stakeholders needs, sup-ported by a continuously improving management ofresources and processes. The strategy is translatedinto plans, objectives and measurable targets. Plan-ning and strategy reflects the organisations approachto implementing modernisation and innovation.

Key implicationsStrategy and planning is part of the PDCA (Plan DoCheck Act) cycle, starting by gathering informationon the present and future needs of stakeholders andalso from outcomes and results in order to inform theplanning process. This includes the use of reliable in-

formation, including perceptions from all stakeholdersto inform operational policies, planning and strategicdirection. Feedback from an internal review process isalso fundamental to producing planned improvementsin organisational performance.

Identifying critical success factors conditions thatmust be fulfilled to achieve strategic goals and set-ting goals plays a crucial part to ensure an effectivefollow-up and measurement of the results. Goals needto be formulated in such a way that a distinction ismade between outputs and outcomes.

Organisations should consistently and critically moni-tor the implementation of their strategy and planning,and update and adapt them whenever necessary.

Assessment: Consider evidence of what theorganisation is doing to

2.1. Gather information relating to thepresent and future needs of stakehold-ers

Examples:

a. Identifying all relevant stakeholders.b. Systematically gathering and analysing informa-

tion about stakeholders, their needs and expecta-tions.

c. Regularly gathering and analysing information,its source, accuracy and quality. This may includeinformation about important variables such as so-cial, ecological, economic, legal and demograph-ic developments.

d. Systematically analysing internal strengths and weak-nesses (e.g. TQM-diagnosis with CAF or EFQM or

SWOT analysis).


2.2. Develop, review and update strategyand planning taking into account theneeds of stakeholders and availableresources

Examples:a. Developing and applying methods to monitor,

measure and/or evaluate the performance of theorganisation at all levels ensuring the monitoringof the strategys implementation.

b. Systematically reviewing risks and opportunities(e.g. SWOT-analysis) and identifying critical suc-cess factors by regularly assessing these factors inthe organisations environment (including politicalchanges).

c. Evaluating existing tasks in terms of outputs (re-sults) and outcomes (impacts) and the quality ofthe strategic and operations plans.

d. Balancing tasks and resources, long and shortterm pressures and stakeholder requirements.

e. Assessing the need to reorganise and improve

strategies and methods of planning.


2.3. Implement strategy and planning in thewhole organisation

Examples:a. Implementing strategy and planning by reaching

agreement and setting priorities, establishing timeframes, appropriate processes and the organisa-

tional structure.b. Involving stakeholders in the process of deployingstrategy and planning and prioritising stakehold-ers expectations and needs.

c. Translating strategic and operational objectives ofthe organisation into relevant plans and tasks fordepartmental units and individuals within the or-ganisation.


2.4. Plan, implement and review modernisa-tion and innovation

Examples:a. Creating and developing a new culture/readiness

for innovation by training, benchmarking, estab-lishment of learning laboratories, focusing on therole of strategic thinking and planning.

b. Systematic monitoring of internal indicators/driv-ers for change and external demands for mod-ernisation and innovation.

c. Planning of changes leading towards the processof modernisation and innovation (e.g. applying

net services) on the basis of discussions with stake-holders.

d. Integration of instruments and measures; e.g. in-put + output + outcome measurement; use of


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TQM principles.e. Ensuring the deployment of an efficient change

management system which includes the monitor-ing of progress in innovation.

f. Ensuring the availability of necessary resources toimplement the planned changes.

Award score using the Enablers Panel


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Criterion 3: People

DefinitionPeople are the organisation. They are the organisa-tions most important asset. The way in which employ-ees interact with each other and manage the availableresources ultimately decides organisational success.

Respect, dialogue, empowerment and also providinga safe and healthy environment are fundamental toensure the commitment and participation of people onthe organisational route to excellence. The organisa-tion manages, develops and releases the competencesand full potential of its people at individual and organ-isation-wide levels in order to support its strategy andplanning and the effective operation of its processes.

Key implicationsCriterion 3 assesses whether the organisation alignsits strategic objectives with its human resources so thatthey are identified, developed, deployed and cared

for to achieve optimum utilisation and success. Con-sideration should be given to widening the scope ofpeople management to the advantage of both the or-ganisation and its people. People should be assistedto achieve their full potential. Taking care of peopleswell-being is an important aspect of people manage-ment.

When organisations create frameworks to allow em-ployees to continually develop their own competen-cies, to assume greater responsibility and to take moreinitiative, employees contribute to the development of

the workplace. This can be enabled by making surethey associate their own performance goals with thestrategic objectives of the organisation and also by in-volving them in the establishment of policies related tothe recruitment, training, and reward of people.

Finally, criterion 3 spotlights the ability of managers/leaders and employees to actively cooperate on devel-oping the organisation, breaking down organisationalsilos by creating dialogue, making room for creativity,innovation and suggestions for improving perform-ance. This also helps to increase employee satisfac-tion.

The proper execution of people policies is not just ofconcern to the HR department, it depends upon allleaders, managers and department heads throughoutthe organisation, demonstrating that they care aboutpeople issues and they actively promote a culture ofopen communication and transparency.Organisations may, in assessing their performance,take account of any restrictions on their freedom ofaction resulting from national/general public person-nel policies, pay policies, etc., and indicate how theywork within these restrictions to optimise their peoples

potential.

Assessment: Consider evidence on what theorganisation is doing to

3.1. Plan, manage and improve humanresources transparently with regard tostrategy and planning

Examples:a. Regularly analysing current and future human re-

source needs, taking into account the needs andexpectations of stakeholders.

b. Developing and communicating the human re-sources management policy based on the strategyand planning of the organisation.

c. Ensuring HR capability (recruitment, allocation,development) is available to achieve tasks andbalancing tasks and responsibilities.

d. Monitoring of invested human resources in pro-ducing and developing net services.

e. Developing and agreeing on a clear policy con-taining objective criteria with regard to recruit-ment, promotion, remuneration, rewards and theassignment of managerial functions.

f. Ensuring good environmental working conditionsthroughout the organisation including taking careof health and safety requirements.

g. Managing recruitment and career developmentwith regard to fairness of employment, equal op-portunities and diversity aspects (e.g. gender, sexual

orientation, disability, age, race and religion).h. Ensuring that conditions are conducive towards

achieving a reasonable work-life balance for em-ployees.

i. Paying particular attention to the needs ofdisadvantaged employees and people withdisabilities.

Award score using the Enablers Panel

3.2. Identify, develop and use competencies

of employees, aligning individual andorganisational goals

Examples:a. Identifying current competencies at the individual

and organisational levels in terms of knowledge,skills and attitudes.

b. Discussing, establishing and communicating astrategy for developing competencies. This in-cludes an overall agreed training plan based oncurrent and future organisational and individualneeds (with for example distinctions between man-datory and optional training programmes).

c. Developing and agreeing on personal trainingand development plans for all employees with aspecial emphasis on managerial, leadership, abil-ities to deal with diverse customers/citizens and


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partners. This may also include skills training forthe providing of net services.

d. Developing managerial and leadership skills aswell as relational competences of managementregarding the people of the organisation, the citi-zens/customers and the partners.

e. Supporting and assisting new employees (e.g. bymeans of mentoring, coaching, tutoring).

f. Promoting internal and external mobility ofemployees.

g. Developing and promoting modern training meth-ods (e.g. multimedia approach, on the job train-ing, e-learning).

h. Planning of training activities and developingcommunication techniques in the areas of risk andconflict of interest management.

i. Assessing the impacts of training and develop-ment programmes in relation to the costs of theactivities through monitoring and the provision ofcost/benefit analyses.


3.3. Involve employees by developing opendialogue and empowerment

Examples:a. Promoting a culture of open communication and

dialogue and the encouragement of team work-ing.

b. Proactively creating an environment for gain-ing ideas and suggestions from employees and

developing appropriate mechanisms (e.g. sugges-tion schemes, work groups, brainstorming).

c. Involving employees and their representatives inthe development of plans, strategies, goals, thedesign of processes and in the identification andimplementation of improvement activities.

d. Seeking agreement/consensus between managersand employees on goals and on ways of measur-ing goal achievement.

e. Regularly conducting staff surveys including pub-lishing results/summaries/interpretations.

f. Ensuring the employees have an opportunity to

give feedback on their line managers/directors.g. Consulting with the representatives of employees(e.g. Trade Unions).

Award a score using the Enablers panel


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Criterion 4: Partnerships and resources

DefinitionHow the organisation plans and manages its key part-nerships especially with citizens/customers in orderto support its strategy and planning and the effectiveoperation of its processes. In this way partnerships are

important resources for the well-functioning of the or-ganisation.

Next to partnerships, organisations need the moretraditional resources such as finances, technology,facilities to assure their effective functioning. Theseare used and developed to support an organisationsstrategy and its most important processes in order toachieve the organisations goals in the most efficientway. Presented in a transparent way, organisationscan assure accountability towards citizens/customerson the legitimate use of available resources.

Key implicationsIn our constantly changing society with growing com-plexity, public organisations are required to managerelationships with other organisations in both the pub-lic and private sectors in order to realise their strategicobjectives.

Another consequence of this complexity is the needfor an increasing active role of citizens/customers askey partners. The terms citizens/customers refers to thecitizens varying role between stakeholder and service-user. In this criterion, CAF focuses on the involvement

of citizens in public matters and the development ofpublic policies and on the openness to their needs andexpectations.

Public organisations are often subject to constraintsand pressures, when managing their resources, overand above those normally encountered in the privatesector. The ability of public organisations to gener-ate additional financial resources may be limited asmay its freedom to allocate, or reallocate, its fundsto the services it wishes to deliver. It is therefore criti-cal that they measure the efficiency and effectivenessof the services they are charged to deliver. Full finan-cial management, internal control and accountan-cy systems are the basis for sound cost accounting. Although public organisations often have little sayin resource allocation, demonstrating the organisa-tions ability to deliver more and improved services forless cost, creates the opportunity for more innovativeservices or products to be introduced more quickly.It is important to identify the organisations knowledgeand information requirements and these should feedinto the strategy and planning process reviews. The or-ganisation should ensure that appropriate knowledgeand information is made available timeously and in

easily accessible formats to enable employees to dotheir jobs effectively.

The organisation should also ensure that it shares criti-cal information and knowledge with key partners andother stakeholders according to their needs.


4.1. Develop and implement key partnershiprelations

Examples:a. Identifying potential strategic partners and the na-

ture of the relationship (e.g. purchaser-provider,co-production, net services).

b. Establishing appropriate partnership agreementstaking into account the nature of the relation-ship (e.g. purchaser provider, collaborator/co-provider/co-producer of products/services,co-operation, net services).

c. Defining each partys responsibilities in managing

partnerships including controls.d. Regularly monitoring and evaluating processes,

results and the nature of partnerships.e. Stimulating and organising task-specific partner-

ships and developing and implementing jointprojects with other public sector organisations.

f. Creating conditions for exchange of employeeswith partners.

g. Stimulating activities in the area of corporate so-cial responsibility.


4.2. Develop and implement partnershipswith the citizens/customers

Examples:a. Encouraging the involvement of citizens/customers

in public matters and in political decision-makingprocesses (e.g. consultation groups, survey, opin-ion polls, quality circles).

b. Being open to ideas, suggestions and complaintsof citizens/customers and developing and usingappropriate mechanisms to collect them (e.g. bymeans of surveys, consultation groups, question-naires, complaints boxes, opinion polls, etc.).

c. Ensuring a proactive information policy (e.g. aboutthe competencies of the several public authorities,about their processes, etc.).

d. Ensuring transparency of the organisation as wellas its decisions and development (e.g. by publish-ing annual reports, holding press conferences andposting information on the Internet).

e. Actively encouraging citizens/customers to organ-ise themselves, express their needs and require-ments and supporting citizen groups.



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4.3. Manage Finances

Examples:a. Aligning financial management with strategic ob-

jectives.b. Ensuring financial and budgetary transparency.c. Ensuring the cost efficient management of

financial resources.d. Introducing innovative systems of budgetary and

cost planning (e.g. multi-annual budgets, pro-gramme of project budgets, gender budgets).

e. Permanently monitoring the costs of delivery andservice standards of products and services offeredby the organisation including the involvement oforganisational units.

f. Delegating and decentralising financial responsi-bilities and balancing them with central controlling.

g. Basing investment decisions and financial controlon cost/benefit-analysis.

h. Developing and introducing modern financialcontrolling (e.g. through internal financial audits,

etc.) and promoting transparency of the financialcontrol for all employees.

i. Creating parallel financial and cost account-ing systems including balance sheets (capitalaccounts).

j. Ensuring internal cost allocation (e.g. transfer pric-es: units are charged for internal services).

k. Including non-financial performance data inbudget documents.

l. Introducing comparative analyses (e.g. bench-marking) between different actors and organisa-tions.


4.4. Manage information and knowledge

Examples:a. Developing systems for managing, storing and

assessing information and knowledge in the or-ganisation in accordance with strategic and op-erational objectives.

b. Ensuring that externally available relevant informa-tion is gained, processed and used effectively.

c. Constantly monitoring the organisations informa-tion and knowledge, ensuring its relevance, cor-rectness, reliability and security. Also aligning itwith strategic planning and the current and futureneeds of stakeholders.

d. Developing internal channels to cascade informa-tion throughout the organisation to ensure thatall employees have access to the information andknowledge relevant to their tasks and objectives.

e. Ensuring access and exchange of relevant infor-mation with all stakeholders and presenting infor-mation and data in a user-friendly way.

f. Ensuring, as far as is practicable, that key informa-tion and knowledge of employees is retained with-in the organisation in the event of their leaving theorganisation.


4.5. Manage Technology

Examples:a. Implementing an integrated policy of tech-

nology management in accordance with thestrategic and operational objectives.

b. Efficiently applying appropriate technology to: Manage tasks. Manage knowledge. Support learning and improvement activities. Support the interaction with stakeholders and

partners. Support the development and maintenance of

internal and external networks.


4.6. Manage facilities

Examples:a. Balancing effectiveness and efficiency of physical

locations with the needs and expectations of us-ers (e.g. centralisation versus decentralisation ofbuildings).

b. Ensuring a safe, cost efficient and ergonomicallysuitable use of office facilities based on strategicand operational objectives, accessibility by pub-lic transport, the personnel needs of employees,local culture and physical constraints (e.g. open

plan offices vs. individual offices, mobile offices)and technical equipment (e.g. number of PCs andcopy-machines by service).

c. Ensuring an efficient, cost effective, planned andsustainable maintenance of buildings, offices andequipment.

d. Ensuring an efficient, cost effective and sustain-able use of transport and energy resources.

e. Ensuring appropriate physical accessibility ofbuildings in line with the needs and expectationsof employees and citizens/customers (e.g. disa-bled access to parking or public transport).

f. Developing an integrated policy for managingphysical assets, including their safe recycling/dis-posal, e.g. by direct management or subcontract-ing.



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Criterion 5: Processes

DefinitionHow the organisation identifies, manages, improvesand develops its key processes in order to supportstrategy and planning. Innovation and the need togenerate increasing value for its citizens/customers

and other stakeholders are two of the main drivers inprocess development.

Key implicationsEach organisation that performs well is run bymany processes, each process being a set of con-secutive activities that transform resources or in-puts into results or outputs and outcomes, there-by adding value. These processes can be of adifferent nature. The core processes are critical to thedelivery of products or services. Management process-es steer the organisation and support processes de-liver the necessary resources. Only the most important

of these processes, the key processes, are the objectof the assessment in the CAF. A key to the identifica-tion, evaluation and improvement of key processes ishow effectively they contribute in achieving the mis-sion of the organisation. Involving citizens/customersin the different stages of process management andtaking into account their expectations contributes totheir overall quality and reliability.

The nature of processes in public service organisationsmay vary greatly, from relatively abstract activities suchas support for policy development or regulation of

economic activities, to very concrete activities of serv-ice provision. In all cases, an organisation needs to beable to identify the key processes, which it performsin order to deliver its expected outputs and outcomes,considering the expectations of citizens/customers andother stakeholders.

The role of citizens/customers could operate at 3 lev-els: 1) the involvement of representative citizens/cus-tomers, associations or ad hoc panels of citizens in thedesign of the organisations services and products, 2)collaboration with citizens/customers in the implemen-tation of services and products, 3) empowerment ofcitizens/customers in order to realise or access servicesand products themselves.

Cross-functional processes are common in publicadministration. It is vital to successfully integrate themanagement of such processes, since from that inte-gration the effectiveness and efficiency of processesgreatly depend. To that aim, well experimented formsof organisational integration should be pursued, suchas the creation of cross-functional process manage-ment teams with the appointment of team leaders.

Examples of Public Administration processes are:* Core processes

core service provision related to the mission(s)of the organisation, e.g. collecting taxes and

paying social security benefits providing customer service through enquiry

handling formulation and implementation of legislative

policy* Management processes

assessment of the quality of tax collection decision-making processes

* Support processes budgeting and planning processes for human resource management

For support units, key processes will be linked to theirsupport function of the organisation which is responsi-ble for the delivery of the core business.

It is essential that processes are continually reviewed asdesign, innovation and new technologies arrive at anincreasing pace to the market. In order to take advan-tage of potential improvements public organisationsneed to ensure that they have mechanisms in place to

enable them to receive feedback from all stakeholderson product and service enhancements.


5.1. Identify, design, manage and improveprocesses on an ongoing basis

Examples:a. Identifying, describing and documenting key proc-

esses on an ongoing basis.b. Identifying process owners and assigningresponsibilities to them.

c. Involving employees and other external stakehold-ers in the design and development of key proc-esses.

d. Allocating resources to processes based on therelative importance of their contribution to thestrategic aims of the organisation.

e. Gathering, recording and understanding le-gal requirements and other regulations relevantto the processes of the organisation, analys-ing them and making proposals for streamlin-ing legally integrated processes aimed at elimi-nating unnecessary administrative burdens andbureaucracy.

f. Implementing process indicators and setting citi-zen/customer-oriented performance goals.

g. Co-ordinating and synchronising processes.h. Monitoring and evaluating impacts of net serv-

ices/e-gov on the organisations processes (e.g.efficiency, quality, effectiveness).

i. In conjunction with relevant stakeholders, improv-ing processes on the basis of their measured ef-ficiency, effectiveness and results (outputs and out-

comes).j. Analysing and evaluating key processes, risks and

critical success factors taking the objectives of theorganisation and its changing environment into


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consideration.k. Identifying, designing and implementing

process changes leading to one-stop-principleservices.

l. Measuring and reviewing the effectiveness ofprocess changes and carrying out benchmarkingto drive improvement.


5.2. Develop and deliver citizen/customer-oriented services and products

Examples:a. Involving citizens/customers in the design and

improvement of services and products (e.g. bymeans of surveys/feedback

/focus-groups/inquiries

concerning the suitability of services or productsand whether they are effective taking into accountgender and diversity aspects).

b. Involving citizens/customers and other stakehold-ers in the development of quality standards forservices, products and information for citizens/customers.

c. Develop clear guidelines and regulations usingplain language.

d. Involving citizens/customers in the designand development of information sources andchannels.

e. Ensuring the availability of appropriate andreliable information with an aim to assist and sup-port citizens/customers.

f. Promoting accessibility of the organisation (e.g.flexible opening hours and documents in a varietyof formats e.g. appropriate languages, internet,posters, brochures, Braille).

g. Promoting electronic communication and interac-tion with citizens/customers.

h. Developing sound response query handling andcomplaint management systems and procedures.


5.3. Innovate processes involvingcitizens/customers

Examples:a. Active approach to learning from innovations of

other organisations nationally and internationally.b. Involving stakeholders in process innovations e.g.

by piloting new services and e-government solu-

tions.c. Involving citizens/customers and stakeholders inprocess innovations.

d. Providing the resources necessary for process in-novations.

e. Actively identify, analyse and overcome obstacles toinnovation.



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Results

From Criterion 6 onwards, the focus of the assessment shifts from Enablers to Results. In the Results criteriawe measure perceptions: what our people, citizens/customers and society think of us. We also have internalperformance indicators which show how well we are doing against the targets we may have set for ourselves the outcomes. The assessment of results requires a different set of responses, so the responses from this pointonwards are based on the Results Assessment Panel (see CAF scoring and Assessment panels).


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Criterion 6: Citizen/customer-orientedresults

DefinitionThe results the organisation is achieving in relation tothe satisfaction of its citizens/customers with the or-ganisation and the products/services it provides.

Key implicationsPublic sector organisations can have a complex rela-tionship with the public. In some cases it can be char-acterised as a customer relationship especially in thecase of direct service delivery by public sector organi-sations and in other cases may be described as a citi-zen relationship, where the organisation is involved indetermining and enforcing the environment in whicheconomic and social life is conducted. Since the twocases are not always clearly separable, this complexrelationship will be described as a citizens/customersrelationship. Citizens/customers are the recipients or

beneficiaries of the activity, products or services of thepublic sector organisations. Citizens/customers needto be defined but not necessarily restricted to only theprimary users of the services provided. Public organi-sations deliver services according to local and/or cen-tral government policy and are held accountable fortheir performance to political stakeholders. Perform-ance against statutory requirements is covered underorganisational results (Criterion 9). Public policy tar-gets are those set by national, regional and local gov-ernments which may or may not be citizens/customersdriven. Citizens/customers satisfaction measures are

normally based on areas that have been identified asimportant by customer groups and based on what theorganisation is able to improve within its specific areaof service.

It is important for all kinds of public sector organisa-tions to directly measure the satisfaction of their citi-zens/customers with regard to the overall image of theorganisation, the products and services the organisa-tion provides, the openness of the organisation andthe extent to which it involves citizens/customers. Or-ganisations typically use citizen/customer question-

naires or surveys to record levels of satisfaction, butthey may also use other complementary tools such asfocus groups or user panels.

Some examples of information which may be collectedinclude data on products and services, image of theorganisation, politeness, helpfulness and friendlinessof staff.

Assessment: Consider what results the organisationhas achieved to meet the needs and expectationsof citizens and customers, through:

6.1. Results of citizen/customer satisfactionmeasurements

Examples:a. Results regarding the overall image of the organi-

sation (e.g. friendliness and fairness of treatment;flexibility and ability to address individual solu-tions).

b. Results regarding involvement and participation.c. Results regarding accessibility (e.g. opening andwaiting times, one-stop-shops).

d. Results relating to products and services (e.g.quality, reliability, compliance with quality stand-ards, processing time, quality of advice given tothe customers/citizens).

Award a score using the Results Panel

6.2. Indicators of citizen/customer-orientedmeasurements

Examples:Indicators regarding the overall image of theorganisationa. Number and processing time of complaints (e.g.

resolution of conflict of interest cases).b. Extent of public trust towards the organisation and

its services or products.c. Waiting time.d. Handling/processing time of services delivery.e. Extent of employee training in relation to the ef-

fective handling of citizen/customer relationships

(e.g. professionalism and friendly communicationwith, and treatment of, citizens/customers).

f. Indicators of complying with diversity and genderaspects.

Indicators regarding involvementg. Extent of involvement of stakeholders in

the design and the delivery of services andproducts and/or the design of decision-makingprocesses.

h. Suggestions received and recorded.i. Implementation and extent of use of new and in-

novative ways in dealing with citizens/customers.

Indicators regarding products and servicesj. Adherence to published service standards (e.g.

citizens charters).

k. Number of files returned back with errorsand/or cases requiring repeated processing/com-pensation.

l. Extent of efforts to improve availability, accuracyand transparency of information.



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Criterion 7: People results

DefinitionThe results the organisation is achieving in relation tothe competence, motivation, satisfaction and perform-ance of its people.

Key implicationsThis criterion addresses the satisfaction of all the peo-ple in the organisation. Organisations typically usepeople (employee) surveys to record satisfaction lev-els, but they may also use other complementary toolssuch as focus groups, termination interviews and ap-praisals. They may also examine the performance ofpeople and the level of skills development.Sometimes external constraints may limit the organi-sations freedom in this area. The constraints and howthe organisation overcomes or influences constraintsshould therefore be clearly presented.

It is important for all kinds of public sector organisa-tions to directly record people results concerning theemployees image of the organisation and its mission,the working environment, the organisations leader-ship and management systems, career development,the development of personal skills and the productsand services the organisation provides.Organisations should have a range of internal people-related performance indicators through which they canmeasure the results they have achieved in relation totargets and expectations in the areas of people over-all satisfaction, their performance, the development of

skills, their motivation and their level of involvement inthe organisation.

Assessment: Consider what results the organisationhas achieved to meet the needs and expectationsof its people, through:

7.1. Results of people satisfaction andmotivation measurements

Examples:Results regarding overall satisfaction with:a. The overall image and the overall performance of

the organisation (for society, citizens/customers,other stakeholders).

b. The level of employees awareness of conflicts ofinterest.

c. The level of employees involvement in the organ-isation and its mission.

Results regarding satisfaction with management andmanagement systems:d. The organisations top management and middle

management ability to steer the organisation (e.g.

setting goals, allocating resources, etc.) and com-munication.

e. Rewarding individual and team efforts.f. The organisations approach to innovation.

Results regarding satisfaction with workingconditions:g. The working atmosphere and the organisations

culture (e.g. how to deal with conflict, grievancesor personnel problems).

h. The approach to social issues (e.g. flexibility ofworking hours, balance between work and per-sonal matters, health).

i. The handling of equal opportunities and fairnessof treatment and behaviour in the organisation.

Results regarding motivation and satisfaction with ca-reer and skills development:j. The ability of the management to promote HRM-

strategy and systematic competency developmentand the employees knowledge about the goals ofthe organisation.

k. Results regarding peoples willingness to acceptchanges.


7.2. Indicators of people results

Examples:a. Indicators regarding satisfaction (e.g. levels of

absenteeism or sickness, rates of staff turnover,number of complaints).

b. Indicators regarding performance (e.g. measuresof productivity, results of evaluations).

c. Levels of using information and communicationtechnologies by employees.

d. Indicators regarding skills development (e.g. par-ticipation and success rates in training activities,effectiveness of training budgets).

e. Evidence on the ability to deal with citizens/cus-tomers and to respond to their needs.

f. Degree of employee rotation inside the organisa-tion (mobility).

g. Indicators regarding motivation and involvement(e.g. response rates for staff surveys, number ofproposals for innovation, participation in internaldiscussion groups).

h. Amount/frequency of rewarding individuals and

teams.i. Number of reported possible conflict of interestcases.



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Criterion 8: Society results

DefinitionThe results the organisation is achieving in satisfying theneeds and the expectations of the local, national andinternational community. This may include the percep-tion of the organisations approach and contribution to

quality of life, the environment and the preservation ofglobal resources and the organisations own internalmeasures of its effectiveness in contributing to society.

Key ImplicationsPublic Sector organisations have an impact on societyby the very nature of their primary business or statutorymandate, and the outputs of these core activities willaffect direct and indirect beneficiaries. These analysesof the immediate effects on the beneficiaries should bepresented in the citizen/customer satisfaction (Cr. 6)and key performance results criteria (Cr. 9).Criterion 8 will measure the intended or unintended

impacts on society, i.e. the global effects of the organi-sations policies beyond its primary missions/ statutorymandate or core activities. In this direction, the analy-sis will consider the impacts derived from planned ob-jectives as well as the unintended consequences i.e.side effects which may have positive and/or negativeeffects on society.

The measures cover both qualitative measures of per-ception and quantitative indicators.They can be related to economic impact

social dimension e.g. disabled people quality of life impact on the environment quality of democracy.

Assessment: Consider what the organisation hasachieved in respect of impact on society, withreference to

8.1. Results of societal measurements per-ceived by the stakeholders

Examples:a. General publics awareness of the impact of how

the organisations performance affects the qualityof citizens/customers life.

b. General reputation of the organisation (e.g. as anemployer/contributor to local/global society).

c. Economic impact on society at the local, regional,national and international level.

d. The approach to environmental issues (e.g. pro-tection against noise, air pollution).

e. Environmental impact on society at the local, re-gional, national and international level.

f. Impact on society with regard to sustainability at thelocal, regional, national and international level.

g. Impact on society taking into account quality ofdemocratic participation at the local, regional, na-

tional and international level.h. General publics view about the organisations

openness and transparency.i. Organisations ethical behaviour.j. The tone of media coverage received.


8.2. Indicators of societal performance es-tablished by the organisation

Examples:a. Relationship with relevant authorities, groups and

community representatives.b. The amount of media coverage received.c. Support dedicated to socially disadvantaged citi-

zens.d. Support for integration and acceptance of ethnic

minorities.e. Support for international development projects.

f. Support for civic engagement of citizens/custom-ers and employees.

g. Productive exchange of knowledge and informa-tion with others.

h. Programmes to prevent citizens/customers andemployees from health risks and accidents.

i. Organisation activities to preserve and sustain theresources (e.g. degree of compliance with environ-mental standards, use of recycled materials, useof environmentally friendly modes of transport,reduction of nuisance, harms and noise, reductionin use of utilities e.g. water, electricity, gas).



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Criterion 9: Key performance results

DefinitionThe results the organisation is achieving with regardto its strategy and planning related to the needs anddemands of the different stakeholders (i.e. external re-sults); and the results the organisation has achieved in

relation to its management and improvement (internalresults).

Key implicationsKey performance results relate to whatever the or-ganisation has determined are essential, measurableachievements for the success of the organisation in theshort and longer term.They represent the capacity of policies and processesto reach goals and objectives including specific tar-gets, which are politically driven.

Key performance results can be divided into:

1) External results: the measures of the effectivenessof policies and services/products in terms of thecapacity to improve the condition of direct ben-eficiaries: the achievement of key activities goalsin terms of a) outputs services and products andb) outcomes effects of the organisations coreactivities on external stakeholders (effectiveness).

2) Internal results: the measures of the internal func-tioning of the organisation: its management, im-provement and financial performance (efficiencyand economy).

These measures are likely to be closely linked to policyand strategy (Criterion 2), partnerships and resources(Criterion 4) and processes (Criterion 5).

Assessment: Consider the evidence of definedgoals achieved by the organisation in relation to

9.1. External results: outputs and outcomesto goals

Examples:a. The extent to which the goals are achieved in terms

of output (delivery of products or services).b. Improved quality of service or product delivery

with respect to measurement results.c. Cost efficiency (outputs achieved at the lowest pos-

sible cost).d. Results of inspections and audits.e. Results of participation in competitions, quality

awards and the quality management system certi-fication (Excellence Awards League table/Bench-mark).

f. Results of benchmarking/bench learning activi-ties.

g. Cost effectiveness (outcomes achieved at the low-est possible cost).


9.2. Internal results

Examples:Results in the field of management and innovationa. Evidence of involvement of all stakeholders in the

organisation.b. Results of the establishment of partnerships and

results of joint activities.

c. Evidence of ability to satisfy and balance the needsof all the stakeholders.

d. Evidence of success in improving and innovatingorganisational strategies, structures and/or proc-esses.

e. Evidence of improved use of information technol-ogy (in managing internal knowledge and/or ininternal and external communication and net-working).

f. Results of inspections and audits.g. Process performance.

Financial resultsh. Extent to which budgets and financial targets are

met.i. Extent or trend to which part the organisation re-

lies on own fiscal resources and revenues fromfees and earnings from selling services/goods.

j. Evidence of ability to satisfy and balance thefinancial interests of all stakeholders.

k. Measures of effective use of operating funds.l. Results of financial inspections and audits.



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CAF Scoring and assessment panels

Why score?

Allocating a score to each sub criterion and criterion ofthe CAF model has 4 main aims:1. to provide information and give an indication on the

direction to follow for improvement activities.2. to measure your own progress, if you carry outCAF assessments regularly, each year or eve-ry two years, considered to be good practiceaccording to most quality approaches.

3. to identify good practices as indicated by highscoring for Enablers and Results. High scoring ofResults are usually an indication of the existence ofgood practices in the Enablers field.

4. to help to find valid partners to learn from (bench-marking: How we compare; and bench learning:What we learn from each other).

With regard to bench learning however, it should benoted that comparing CAF scores has limited valueand carries a risk, particularly if it is done withoutexperienced external assessors trained to validatethe scores in a homogeneous way in different publicorganisations. The main aim of bench learning is tocompare the different ways of managing the enablersand achieving results. The scores, if validated, can bea starting point in this regard. That is how bench learn-ing can contribute to improvement.

How to score?

New in the CAF 2006 is that it provides two ways ofscoring. The classical CAF scoring is the updatedversion of the CAF 2002 assessment panels. The fine-tuned CAF scoring is suitable for organisations thatwish to reflect in more detail the analysis of the subcriteria. It allows you to score for each sub criterion all phases of the Plan Do Check Act (PDCA) cyclesimultaneously.

The PDCA-cycle is the fundament of both ways of scor-

ing. Compared to 2002 when the scale was set at 0-5,the scale has been revised and set at 0-100, this scalebeing more widely used and generally accepted at aninternational level.

1. CAF classical scoring

This cumulative way of scoring helps the organisationto become more acquainted with the PDCA-cycle anddirects it more positively towards a quality approach.

The scores as defined in the CAF 2002 version arepresented in the column level 2002. In the enablersassessment panel the PDCA phase is in place onlywhen bench learning activities are part of the continu-ous improvement cycle.

In the results assessment panel a distinction is madebetween the trend of the results and the achievementof the targets.


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Assessment panels 1

Instructions: Choose the level that you have reached: Plan, Do,

Check or Act. This way of scoring is cumulative:you need to have accomplished a phase (e.g.:Check) before reaching the next phase (e.g.: Act).

Give a score between 0 and 100 according to thelevel that you have reached inside the phase. Thescale on 100 allows you to specify the degree ofdeployment and implementation of the approach.

RESULTS PANEL 1 SCORE LEVEL 2002

0-10

11-30

31-50

51-70

71-90

91-100

0

1

2

3

4

5

No results are measuredand / or no information is available.

Results are measured and show negative trendsand / or results do not meet relevant targets.

Results show flat trendsand / or some relevant targets are met.

Results show improving trendsand / or most of the relevant targets are met.

Results show substantial progressand / or all the relevant targets are met.

Excellent and sustained results are achieved. All the relevant targets are met.Positive comparisons with relevant organisations for all the key results are made.

Instructions: Give a score between 0 and 100 for each sub cri-

terion on a scale divided in 6 levels (correspond-ing to the results panel of the CAF 2002).

For each level, you can take into account eitherthe trend, either the achievement of the target orboth.


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2. CAF fine-tuned scoring

The fine-tuned scoring is a simultaneous way of scor-ing closer to the reality where e.g. many public organi-sations are doing things (Do) but sometimes withoutenough planning (Plan). In the enablers panel, the emphasis lays more on

the PDCA as a cycle and progress can be repre-sented as a spiral where in each turn of the cir-cle improvement may take place in each phase:PLAN, DO, CHECK and ACT.

Bench learning activities are normally taken intoaccount at the highest level of all the phases.

This way of scoring gives more information on theareas where improvement is mostly needed.

The results panel shows you if you have to acceler-ate the trend or focus on the targets achievement.

Assessment panels 2

Instructions for each sub criterion: Read the definition of each phase (Plan, Do, Check

and Act); Find evidence of strengths and weaknesses and

give a global judgement for each phase in the ap-propriate box. This judgement can be illustrated bysome examples or evidence in order not to over-complicate the scoring exercise. However, thosewho want to go further can put all the examples orevidence in the different boxes of the 4 phases andcalculate the average for each phase.

Calculate the sum of the four phase scores anddivide by 4 in order to obtain a score on 100 forthe enabler sub criterion. This score should beplausible and consistent e.g. total scoring shouldnot exceed 40 if any of the four evaluation criteria(Plan, Do, Check, Act) is lower than or equal to20. It should not exceed 60 if any of the criteria islower than 30.

PHASE

PLAN

DO

CHECK

ACT

Strongevidencerelated tomost areas

51-70

EVIDENCE

Very strongevidencerelated toall areas

71-90

EVIDENCE

0-10

Noevidenceor justsome ideas

EVIDENCE

SCALE

EVIDENCE

Planning is based on stakeholdersneeds and expectations. Planning isdeployed throughout the relevant partsof the organisation on a regular basis.

SCORE

Execution is managed through definedprocesses and responsibilities anddiffused throughout the relevant partsof the organisation on a regular basis

SCORE

Defined processes are monitored with

relevant indicators and reviewedthroughout the relevant parts of theorganisation on a regular basis

SCORE

Correction and improvement actionsare taken following the check resultsthroughout the relevant parts of theorganisation on a regular basis

SCORE

Some goodevidencerelated torelevantareas

31-50

EVIDENCE

Some weakevidence,related tosome areas

11-30

EVIDENCE

Excellentevidence,comparedwith otherorganisations,related to allareas.

91-100

EVIDENCE

TOTAL / 400

SCORE / 100

Enablers Panel 2

Areas of improvement


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EXAMPLE of a fine-tuned scoring: Enablers sub

criterion 1.1:

Provide direction to the organisation by developing

its mission, vision and values

Synthesis of the evidence emerged in self-assessments(starting points for improvement planning and basisfor scoring).1.1.a. A vision and a mission for the administration

was elaborated three years ago. It was re-quested by the director general and the dis-cussion involved all the first line managers. Anelegant, coloured card with the vision and mis-

sion statement was distributed to all employ-ees.

1.1.b Nothing has been done yet in the area of val-ues statement and code of conduct. The Hu-

man Resources Manager has developed aproject to this end. Middle management willbe invited to a seminar to reflect together onthe values of the organisation. The values willbe crystallised into teaching what positionshave to be taken in difficult situations.

1.1.c Employees, customers/citizens and other stakeholders have not been involved up tonow in the vision and mission definition proc-ess. However, awareness of the importance of

such involvements arose two years ago, whensome managers of our administration partici-

pated in TQM Seminars, particularly one dedi-cated to the CAF model. The decision was thentaken to make internal and external surveys tocollect employees and citizens perceptions.Results indicated that middle managers andemployees considered the vision and missionas image statements, totally detached fromreality and that the objectives quite often didnot seem in tune with such statements. As faras customers are concerned, surveys indicatedthat alignment of management perceptionswith customer perceptions is needed. Meet-ings with managers and employees and withrepresentatives of citizens have been plannedand will take place soon. The decision wasalso taken to conduct employees and custom-er surveys every year. An administration wideself-assessment is also being planned.

1.1.d The above mentioned surveys should guaran-tee that in the future the vision and mission

statements will be periodically reviewed andupdated taking into accounts customer/stake-holder needs and expectations; that employ-ees involvement will increase as well as com-munication within the organization.

The above findings have been placed in the followingEnabler Matrix, to help elaborate a global scoring forthe sub criterion: Notice: that does not necessarilymean giving scores to the individual examples; theblank boxes of the matrix are used as a memo pad,to pass from the evidences collected during the subcriterion assessment to a global sub criterion scoring,and as a way to guide the discussion in the consensusmeeting.


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Instructions

Consider separately the trend of your results for 3years and the targets achieved in the last year.

Give a score for the trend between 0 and 100 ona scale divided in 6 levels.

Give a score for the targets achievement of the lastyear between 0 and 100 on a scale divided in 6levels.

Calculate the sum for the trends and targetsachievement and divide by 2 in order to obtain ascore on 100 for the result sub criterion.

EXAMPLE of a fine-tuned CAF scoring:Results sub criterion 9.1:

Key performance results. External results.

Synthesis of the evidence emerged in self-assessments (starting points for improvementplanning and basis for scoring).In preparation on the strategic meeting in the begin-ning of the new working year, a report was preparedfor the board of directors on the key performanceresults of last year in order to optimise the strategicplanning for the next year. The conclusions of the re-port were clear: the performances goals were met for

more than 50% and in comparison with the year be-fore a progress of 10% was established. The apprecia-tion of these conclusions was far from anonymous andgave way to intensive discussions among the membersof the board.


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Guidelines for improving organisationsusing CAF

The process of continuous improvement can be de-signed and carried out in a number of ways. The sizeof the organisation, the culture and prior experiencewith Total Quality Management tools are some of the

parameters that help to determine what the most ap-propriate way of launching the TQM approach will be.

In this chapter we have identified a 10 step process ofcontinuous improvement with CAF that may be consid-ered relevant to most organisations.

It is important to emphasise that the advice given hereis based on the experience of the many organisationsthat have used CAF. However each improvement proc-ess is unique and therefore this description should beseen as an inspiration for the people responsible forthe process of self-assessment rather than as a precise

manual for the process.

Phase 1 The start of the CAF journey

Step 1 DECIDE HOW TO ORGANISE ANDPLAN THE SELF-ASSESSMENT

A high level of commitment and shared owner-ship between the senior management and the peo-ple of the organisation are most crucial elements insecuring the success of the self-assessment process.

In order to gain commitment and ownership, the expe-rience of many organisations shows that a clear man-agement decision through a sound consultative processwith the stakeholders of the organisation is necessary.This decision should clearly illustrate the willingness ofthe management to be actively involved in the processby recognising the added value of the self-assessmentand guaranteeing the openness of mind, respect for theresults and readiness to start improvement actionsafterwards. It also includes the commitment to set asidethe resources needed to carry out the self-assessmentin a professional way.

Knowledge about the potential benefits of a CAF self-assessment and information about the structure of themodel and the process of self-assessment are neces-sary elements in providing management with a basisfor decision making. It is very important for all manag-ers to be convinced of these benefits from the outset.

Survey 2005 The most important benefits ofa CAF self-assessmentThe CAF users survey of 2005 shows that major ben-

efits of a self-assessment include:

Effective identification of the strengths of the or-

ganisation and the areas where improvement has

to be made

Identification of relevant improvement ac-tions

Increased level of awareness and communication

throughout the organisation

People started to become aware and interested in

quality issues

In relation to other TQM tools the CAF users generally

find CAF to be easy to use, low cost and well adapted

to the public sector.

In this phase it is vital that one or more persons in theorganisation take responsibility for securing these basicprinciples. A good idea is to contact the organisation

responsible for dissemination of CAF in your country(for information on this see www.eipa.eu) and eitherask them to make a presentation of the CAF model orget information on/from other organisations that havealready used the model and are willing to share theirexperience.

In order for the people of the organisation to supportthe process of self-assessment it is important that con-sultation takes place before the final decision aboutcarrying out self-assessment has been made. Apartfrom the general benefits of carrying out self-assess-

ment, experience shows that many people find CAF tobe an excellent opportunity to gain more insight intotheir organisation and want to be actively involved inits development.

For some organisations it may also be relevant to seekthe acceptance or approval of external stakeholdersbefore deciding to carry out self-assessment. This maybe the case with politicians or senior management ofhigher level organisations who are traditionally closelyinvolved in management decision making. Key externalstakeholders may have a role to play, particularly indata collection and processing information, and alsopotentially benefit from changes regarding some of theareas of improvement that may be identified.

Initial planning of the self-assessmentOnce a decision has been made to carry out self-as-sessment the planning process can start. One of thefirst elements in this that may have been includedin the management decision is the definition of thescope and the approach of self-assessment.

A frequently asked question is whether the self-assess-ment has to cover the whole organisation or if sepa-

rate parts such as units or departments can undertakeself-assessment. The answer is that separate parts canperform self-assessment but in order to assess all cri-teria and sub criteria in a meaningful way, they should
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have enough autonomy to be considered as a mainlyautonomous organisation with a proper mission andsignificant responsibility for Human Resources and fi-nancial processes. In such cases the relevant supplier/customer relations as well as stakeholder relations be-tween the selected unit and the remaining part of theorganisation should be assessed.

It is recommended to include in the management deci-sion the choice of the scoring panel to be used.Two ways of scoring are offered. An organisationshould choose depending on the time available toinvest in scoring and on its level of experience andmaturity.

A very important action by top management to un-dertake in this phase is the appointment of a projectleader for the self-assessment process. Tasks that arenormally performed by the project leader include:1. Detailed planning of the project, including the

communication process;

2. Communication and consultation with all stake-holders regarding the project;

3. Organising training of the self-assessment group;4. Gathering of supporting documents and evidence;5. Active participation in the self-assessment group;6. Facilitation of the consensus process;7. Editing of the self-assessment report;8. Supporting the management in prioritising

actions and outlining of the action plan.

The demands regarding the competences of the projectleader are high. The person has to have both a high

level of knowledge regarding his or her own organisa-tion, knowledge of the CAF model as well as knowl-edge about how to facilitate the process of self-assess-ment. Appointing the right project leader who has thisknowledge and the confidence of senior managementand people within the organisation is one of the keymanagement decisions that can affect the quality andoutcome of the self-assessment. Appropriate projectmanagement training is available at national and Eu-ropean level.

For some organisations the language and the exam-ples used in the CAF model are unfamiliar and too faraway from their daily practise to be used directly. If thisis not resolved early in the familiarisation of the model,it can later be an obstacle in the process of self-as-sessment. What can be done in such cases, in addi-tion to the training efforts that are later described, isto adapt the model to the language of the organisa-tion. Prior to embarking on this action it is a good ideato check if this has already been done by an organi-sation similar to your own. This can be done throughthe organisation responsible for disseminating CAF inyour country or with the CAF Resource Centre at EIPA.

Step 2 COMMUNICATE THESELF-ASSESSMENT PROJECT

A very important planning activity once the project ap-proach has been defined is the outlining of a com-munication plan. This plan includes communicationefforts targeted at all stakeholders in the project with aspecial emphasis on middle managers and people ofthe organisation.

Communication is a core field in all change manage-ment projects, but especially when an organisation isperforming self-assessment. If communication regard-ing the purpose and the activities of the self-assessmentis not clear and appropriate, it is likely that the self-as-sessment effort will be seen as just another projector some management exercise. The risk here is thatthese assumptions become self-fulfilling prophecies asthere may be a reluctance from middle managers andother people to be fully committed or involved.

Survey 2005 The importance of communi-cation to create ownership by the employ-ees is generally underestimatedAn important conclusion of the latest CAF

users survey is that the users of CAF find that they

have generally not prioritised sufficiently the commu-

nication efforts regarding employees during the proc-

ess. The lessons learned show that one of the major

potential benefits of CAF is to increase the level of

awareness and communication across the organisa-

tion. But this can only be realised if management and

the people responsible for the CAF self-assessment are

active at a very early stage in communicating and in-volving people and middle managers in the organisa-

tion about the purpose and the potential benefits of

self-assessment.

An important result of early communication is tostimulate the interest of some of the employees andmanagers to be directly involved in a self-assessmentgroup. Involvement should ideally be pursued throughpersonal motivation. Motivation should be the basicelement that links people to the whole process of self-assessment. People should have a completely clearview of the purpose of the CAF self-assessment proc-ess: the improvement in the overall performance ofthe organisation. The communication policy on theCAF self-assessment process should focus on win-winoutcomes for all stakeholders, people and citizens/cli-ents.

So clear and coherent communication to all stakehold-ers during the relevant phases of the project is key tosecuring a successful process and follow up action.The project leader along with the top management ofthe organisation should reinforce that policy by focus-ing on:

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