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CAFImprovementidentification,prioritisationandimplementation
Astudyofinspiringpracticesinstalledin20PublicSectororganisationsthroughoutEuropeandthemethodologiesforprioritisation.PatrickStaes,NickThijs,DorinaClaessens
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Executivesummary
UndertheItalianPresidencyoftheCounciloftheEUduringthesecondsemesterof2014,thefocuswas
ontheimpactoftheuseoftheCommonAssessmentFrameworkCAFonpublicsectororganisations,inparticularintheSectorofEducation.Oneofthemostremarkableconclusionsofthestudy,undertakenby EIPA on demand of the Italian Presidency1, was that scores of all eight CAF results sub-criteria
increasedaftereachCAFimplementationin12cases.
The present study builds further on the findings of the Italian study, broadening the scope toorganisationsofthewholepublicsectoranddescribingmoreindetailthedifferentgoodpracticesthatwere installed in 20 organisations from 13 different countries. As the CAF stimulates the holistic
approach of the Total Quality Management to improve the performance of the public sectororganisations, based on the Plan Do Check and Adapt (PDCA) circle of continuous improvement, theinterconnectionbetween theenablersand the results criteria is fundamental. Tounderstandpossible
impactlines,theoretical insightisnotsufficient.Examplesofconcretesuccessstories,evidence-based,describedbytheprocessownersthemselves,indicatingwhatkindofeffortstheyundertooktoimprovetheir performance are indispensable. Thanks to the engagement of all our European National CAF
correspondents,theSlovakpresidencyandtheEuropeanCAFResourceCentreattheEuropeanInstituteof Public Administration EIPA received 43 cases and had the difficult task to select 20 of them. Theselectedorganisationswerefoundtobe inspiringand innovative,dealingwiththemesof theStrategy
Paper2(July2016-July2019)oftheEuropeanPublicAdministrationNetwork(EUPAN)andtheRollingProgrammeofthedifferentpresidenciesinthecoming3years3.
PART1:20improvementactionsleadingtobetterperformanceastheresultofCAF
The study presents the 20 cases in-depth per country. Each time, after a short introduction of theorganisation,thecasedescriptionstartswiththedescriptionoftheimprovedresultsoftheorganisation
because these are the final criteria for successof the improvement efforts. In chapter 2, the authorsdeal with the implemented improvement or their change project(s) after the CAF self-assessment,leading to the resultsmentioned. Finally, they explain how theymade their strategic choices for the
undertakenactions,sometimesbasedonaEuropeanornationalprioritisationmethodology,sometimesbasedontheirownapproach.
1RefereCAFintheEducationSector.Successfulstoriesofperformanceimprovement.2014.ItalianPresidencyoftheCounciloftheEuropeanUnion.http://www.eipa.eu/files/File/CAF/CAF%20Education%20Research%20Report_20150601.pdf2EUPANStrategyPaper(July2016-July2019)http://www.eupan.eu/files/repository/20160801161004_First_EUPAN_Strategy_Paper.pdf3Goodgovernance,HR Innovationandorganisationaldevelopment,service innovationanddeliveryandnearlyall thetopicsundereachdomainaredealtwithinCAFthatprovidesadequateoperationalapproachesatorganisationallevel.
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For this executive summary, the cases are clustered according to the relevant domains of publicmanagement.
Cluster1:Theeffectivenessofstakeholderinvolvement
The education and guidance needs of the Italian Secondary Education Institute Galilei-Artiglio,Viareggio,Italy
Gatheringinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagement
information is thebasisof success for thiseducation institute.20% increaseof thenewentrees,40%increase of the attendances to seminars of in depth study and 20% increase of good reports bycompanies where students have done their internship. This shows that themain strategic initiatives
takenweresuccessful.Mostimportantwerethesurveysaboutthefutureemploymentofthegraduatesfromthisschoolintheemploymentmarkettheirchoicesatuniversity,theorganisationofseminarsandscientificpost-graduatecourses.
Increased stakeholder involvement in the planning of the Consumer Ombudsman’s work andpriorities.ConsumerOmbudsman,Norway
The organisation has installed a more systematic approach to obtain relevant information fromstakeholders in the planning of the organisation’s priorities for the coming year. It held a series of
meetingswithrelevantstakeholdersduringtheplanningphaseoftheactionplan.Selectedstakeholderswhere invited to give presentations to the organisation. The foreword of the organisation's plan ofaction2016highlightstheincreasedinfluenceofitsstakeholders.
Cluster2:HumanResourcesManagement
HRManagementattheDistrictofUpperBavaria,Germany
The installedHRManagementat theDistrictconsiders theemployeeas the foundationof itssuccess.The most relevant components that were established were a standardised feedback system for the
executive staff by the employees to improve theirmanagement skills, a curriculum for the executivestaffandmiddlemanagement,theintroductionofanoperationalhealthmanagementsystemwithinthedistrict and external assessment of the organisation and key processes at the HR department.
InnovativeHumanResourcesManagementintheLisbonMunicipality,Portugal
ByusingCAFasaguide,thisMunicipalitywasabletoprovideaclearvisiononHRresponsibilitiesandbuilduptheHRFunctionbycreatingtrainingteamsthatworkwithmanagers,promotingvoluntaryand
short-termparticipationonprojects,aligningorganisationalandindividualcompetenceswithrespectivedevelopment plans and creating a learning community for performance management. Employees'participationlevelsontrainingincreasedby21%andmorethan126employees(250hoursoftraining)
weretrainedontopicssuchasHRFunctionandininternalclientrelations.
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Cluster3:PerformanceandStrategicManagement
Consequences of the implementation of Performance Management in the entire FederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery,Austria
The comprehensive introduction of performancemanagement in the Federal Administration in 2013hadabig impacton theCAF results in LeadershipandStrategicmanagement inDG III of theFederalChancellery. With the introduction of the new system of performance management, the Federal
Chancelleryhasdevelopedamissionstatement,outcome-goals,measures, indicatorsonall levelsandanevaluationsystem.
StrategicplanningintheFlemishDepartmentofAgricultureandFisheries,Belgium
The outcome of the CAF exercise at the Flanders Department of Agriculture and Fisheries can be
summarised as the need for one overall ‘strategic exercise’. Several SWOT analysiswith internal andexternal stakeholders prepared the exercise and identified trends. A two-day strategic seminar withmanagementrepresentativesandkeypersonsresulted inthenewstrategic frameworkwithamission
statement, vision, strategy and values for the neworganisation.Within this strategic framework, theorganisation further elaborated several key elements such as the HR strategy, integrity, diversity,wellbeingandcommunication).Itdefinedandfollowedupoperationalplans.
Cluster4:CAFbasedTQMManagement
Stakeholder analysis in the Hessian Administration for Land Management and Geoinformatics,(HVBG),Germany
HVBGisintheprocessofreducingpersonnelexpenditureandcostsofinfrastructure.Itconcentratesoncore duties and offers good products and services to core customers. It improves processes andtechnology to reduce treatment/process times in order to reduce process costs or to decrease
complaints on products/service. HVBG invests at the same time in personnel development andtechnology.AllthisisachievedbyimplementingStrategicManagementincludingcontractswithpoliticalleadership(2010,2011-2016and2017-2022),partnershipswithrelevantorganisations/corecustomers,
leadership development programs for all hierarchical management, staff developmentactivties/programmes,teamwork-structureineverysectionoftheorganisationandProcess,KnowledgeandProjectManagementsince2009.
CAF-inspiredLeadershipintheCityofVienna,Austria
CAF is shown to be a useful tool to enable executives to quickly and successfully take up their newposition, and to optimise an organisation in an evolutionary way. The new management optimisedvalues,strategies,structures,processes,facilitiesforpeopleandothermanagerialassets.Ittransformed
the former authoritative one-person leadership into a multi-competences leadership team byintroducing division coordinators, executive departments and decentralised administrative units. Athorough remodelling regarding theorganisational structureandprocedures tookplace, following the
principles of modern leadership and involving staff and stakeholders. Targets of the new leadership
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culture were for example: enhance trust, promote a positive error and complaint culture, developmanagement principles, implement a mission statement for leadership and develop an educationstrategyforseniorstaff.
WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment,Spain
Thankstodifferentimprovementactivities,theTreasurydepartmentrealisedaremarkableincreaseinthenumberof tax settlementsand reverse-chargespaid, tax collectionsduring thevoluntaryand theenforcement period, economic transparency, interdepartmental coordination, satisfaction of citizens
and employees, accessibility of facilities and partner involvement. It decreased the number ofcomplaints filed, the average payment period, the indebtedness level and the local debt amount. It
created two professional social communities, simplified processes,made all procedures accessible byelectronicmeansandnewelectronicpaymentsystems.Itestablishedaninformationexchangesystemwith regular surveys and meetings, a training plan and gradual empowerment and specialisation of
someemployees,aServicesCharterforthecitizensandanadvancedmanagementandpaymentsystemaswellaspublic-privateagreements.
Cluster5:Customerandpeopleorientedcontinuousimprovement
ContinuousimprovementoftheMinistryofFinance,Estonia
Results under criterion No 6 citizens/clients and under the key performance results criterion No 9strongly improvedduringtherecentyearsbut incriterionNo7thepeopleresultsonlyslightlyraised.
The citizens/customers and partners needs were better understood which led to more and bettere-servicesfortheclients.Newagenciesstartedup:theInformationTechnologyCentreoftheMinistryofFinance aimed at offering ICT support and the State Shared Service Centre consolidating of all the
supportservices.ChangesinthebudgetingprocessandtheefficientapplicationofEUStructuralFundsresourcesalsoledtotheadvancementofservicesandabettergoverningsystem.Constantchangesinthe people management took place with the elaboration of a personnel policy document, a better
accessibility of information, a more understandable salary system and fundamental changes in thesystemofappraisalinterviewsinlinewiththecompetencymodel.
Process innovation in order to improve the customer satisfaction of the Automobile Club d’Italia,Savona,Italy
The Savona Territorial Unit achieved remarkable results regarding the users satisfaction of services(from40%to thecurrent70%), thesatisfactionof thepeople (from50%to thecurrent90%)and thereductionofthecitizenwaitingtimes(fromanaverageof20minutestoanaverageof5minutes).This
couldberealisedthankstotheimprovementofthefront-officeprocessesand,inthemeantime,tothedevelopmentofasystemicandstructuredsystemofcomplaintsmonitoringtocheckthestatusoftheimprovingactions.ThemajorimprovementareadefinedintheCAFself-assessmentwasmanagingpeak
workinghoursatthefrontoffice.
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Cluster6:Staffinvolvement
Theinitiative-systemintheStateResidentialSchoolLiminka,Finland
The staff of the residential school is actively involved in the development of activities through therenewedinitiativework.Thenumberofinitiativeslaunchedbythestaffhasrisenfrom16in2010to84
in2014. Initiativesareagood tool for improving safetyandsharedownership in theverydemandingeveryday tasks of the organisation. Themanagementmade presenting initiatives as easy as possible.Peopleentertheinitiativesdirectlytoanelectronic‘MAP’,i.e.themanagementandoperationalsystem
of the organisation. In case somebody wishes so, he or she can ask the management to write theinitiativesintothesystembyface-to-facecontactore-mail.Themanagementteamdealswiththenewinitiativesonamonthlybasis.
TheBankofIdeasintheCustomsChamberofBialystok,Poland
The Bank of Ideas improves the process of internal communication, both vertically as well ashorizontally. On a regular basis, the management at all levels is informed about all the aspects ofactivitiesneedtobe improvedandwhichare important tostaff.The functioningof theBankof Ideas
improves the satisfactionofofficers/employeesand increases the identificationofofficers/employeeswith the service. TheBankof Ideas is a costless platform throughwhich every employeeof the localcustomschambercansubmitanyideatoimprovetheorganisationalcultureandgovernance.TheBank
of Ideaspromotes the innovationofprocessesand thecreativityofofficersandemployees.Thiscasepresentsthreemajorimprovementactivities:theMobileapplicationGranica,providingfullinformationaboutthewaitingtimeatthePolishbordercrossingwithRussia,BelarusandUkraine(1),theunification
of the email addresses structure for receiving customs declarations (2) and the electroniccommunicationwiththedistrictcourts(3).
Cluster7:Workingtogetherforbetteroutcome
Target-orientednetworkleadershipofeducationalservicesinthePäijät-häme,Finland
A network of independentmunicipalities in the region of Päijät-häme has built a common vision oneducational servicesand themunicipalitiesarecommitted towork together inacooperativemanner.Thevisionispresentintheproductionofeducationalservicesandharmonisingthosethoughcommon
principles.Thenetwork-basedapproachinvolvingcentraloperatorsfromdifferentmunicipalitiesinthesame service provision chain and under the same direction has turned out to be a well-functioningmethodofcollaboration.Theproposedmeasuresaffectallprofitcentres,customersscores,staffscores,
socialresponsibilityscoresandkeyperformancescores.Thebasis isaCAFbasedoperatingsystemfornetworkleadership.Thecommitmentofcityandmunicipalitygovernmentstooperativecooperationisessential. Plans for developing new networks for substance areas, starting common projects and
buildinganelectronicdatabase,areonthetable.
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QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar,Portugal
SixSchoolsGroupFigueiraMarisamultilevelinstitutionlocatedinFigueiradaFoz,consistingof6public
schools with 1200 students and all levels of education from pre-school to regular and vocationalsecondaryeducation.CAFallowedthereflectionaboutthenewlyformedschoolcluster.Startingfrom
the vision of each school, they construct a holistic identity and culture, mobilising the entire schoolcommunity inorder tomake investments in improving student-learningenvironmentand toenhancestakeholder satisfaction. They developed strategic documents focused on the identity of the recent
school cluster such as the Educational Project, the Regulation and theWelcome programme to newteachers, students and parents. The cluster applied satisfaction surveys to stakeholders (partners,students, parents and staff) which highlight leadership, administrative organisation, resource
managementandeducationalstrategies.
Cluster8:Sharinginformation
TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService,Greece
HMGS has designed, developed and implemented an Integrated Information System (IIS) for thedisseminationofallpertinentgeographicinformationtothepublic,aswellastobothpublicandprivate
institutions. Successful completion relied upon the adaptation of current e-shop technologies andpractices. HMGS’s objective was to deliver accurate, precise, real-time information on all available,distinct GeospatialMaterials and allow for directory browsing, product selection and purchase. Sales
andinventorymonitoringresultinimprovedproductioncapacityandefficiency.TheIISimplementationhasproventobeanimportantaidtoleadership.Managementpracticesreflectuponperformanceandare appropriately fine-tuned to support continuous improvement and innovation, hence fostering
effective relations with the stakeholders. Furthermore, the IIS allows for clear vision and proactiveplanning,sincedataanalyticsoffer insightsonthepresentandfutureneedsofstakeholdersanddriveresourceallocation.
TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje,Slovenia
TheAdministrative InformationServiceSystemCelje (AISS)contributed toanevenbettercooperationbetween the Administrative Unit Celje and other authorities. The information passed through AISSenables their clients to declare their requests with all necessary attachments. Because of this, the
authorities can solve the requests more effectively and before legal time limits. Resulting in highersatisfaction of clients and employees. While determining the satisfaction of other authorities ofAdministrative Unit’s Celje work, the grade received was ‘excellent’. Since 2013 all cases are being
solvedinorbeforelegaltimelimitsattheAdministrativeUnitCelje.
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Separatetheme:Communicationasthedriverforchange
Aqualityapproachfocussedoninternalandexternalcommunicationinthe“HautEcole”ofHainaut,Belgium
Acontinuousimprovementofthecommunicationandstrategicskillsledtothepromotionofacultureofqualityinthiseducationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellasteachers,administrativeandtechnicalemployeesoftheHEH.Differentapproaches
were installed: a participative organisation for external communication, the elaboration of a QualityCharter and its internal diffusion with planned self-awareness of each item, an effective internalcommunicationwithextranet,computerisedsupport,freeprogrammes,onlinelearningtoolssupported
byanITteam,andprojectsalikeawelcomeguideandalumnifollow-up.
Separatetheme:Internalrecruitmentofmanagers
TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw,Poland
The setting of a transparent procedure for managerial positions not only contributed to bettermanagementofhumanresourcesassuchwithreferencetotheorganisation’sgoalsbutalsoimprovedthe satisfaction andmotivation of the employees. In the Polish civil service there are no recruitment
regulations dedicated to themid and lower levelmanagerial positions in the tax services. These aretreated as regular civil service positions. In order to provide better transparency of recruitment andbetter alignment of the employees hired to the organisation’s goals, a recruitment procedure was
establisheddefiningrulesandselectioncriteria.
Separatetheme:ProcessManagement
The use of 6σ (Lean – Six Sigma) for streamlining processes in the Implementation Agency of theSlovakMinistryofEmployment,SocialAffairsandFamily,Slovakia
The implementation of Lean Six Sigma into the process approach brought measurement of theemployee’s performance alongwith the impact to their financial remuneration, the reduction of theerror rate andmajor acceleration of service delivery. Amanagement information system (ATTIS)was
introduced to the entire organisation (250 employees). Other aspects were the mapping of the keyprocesses and the assistance of the management and support processes by PRINCE2® projectmanagement.
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PART2:Theprioritisationmethodologies
Self-assessmentreportsareveryrich,pointoutseveralareasof improvementandoftencontainmore
than 100 to 150 concrete improvement proposals of self-assessment teams. However, successfullymanaging an organisation towards excellence includes making choices and implementing targetedimprovementactionsthatreallycontributetosustainablematurityoftheorganisation.TheCAFmodel
does not prescribe a particular prioritisation methodology and many public sector organisations arestrugglingwiththisstrategicaspect.Somecountrieshavedevelopedtheirownprioritisationapproachandpromoteitamongsttheirusers.
Basedonthemethodologiesdescribed inpart2ofthestudywecanmakeadistinctionbetweenfour
typesofmethodologies.
1.ThemethodologydevelopedbyEIPAandspreadattheEuropeanlevel
This methodology is based on the Belgian experiences and used during the European trainings andcoaching by EIPA. In line with the motto of CAF to concentrate on the most relevant aspect of the
analysis, theSelf-AssessmentGroup(s) -withorwithout the leaders included-are invited to formulateSMART(Specific,Measurable,Acceptable,RelevantandTimebounded)improvementactionsrelatedtowhat they consider the most relevant areas of improvement per sub-criterion. In this sense, the
members of the self-assessment groups give already a first direction to the improvement activities.Indeed,fromthenon,thefocusshiftsfromtheanalysisofstrengthsandareasof improvementtotheevaluationandprioritisationoftheproposedactionsandtheelaborationofthestrategicimprovement
actionplan.
In the prioritisation phase, collaboration between the managers and the members of the self-assessment group(s), representing in some way the whole staff, is very important. In case the
management team was not represented in the self-assessment group or did not undertake a self-assessment on it’s own, themanagement team is for the first time actively involved in the decisionmakingprocessonthefuture.Forthemembersoftheself-assessmentteam(s)ontheotherhand,itis
veryoftenthefirsttimeintheircareerthattheycandiscusswiththemiddleandtopmanagementonstrategicandoperational issues.Theylivethisasaveryrewardingexperience.Oftenit isforthemthestartofalong-terminvolvementintheimprovementoftheorganisation.
Defining theQuickWins,with theengagement to realise theseactionswithina shortdelay,weighing
thestrategicimpact(SW)oftherestoftheproposedactionsandevaluatingtheeaseofimplementation(EIM) of the most important actions, demands in-depth reflection. Defining the priority ofimplementation(PIM)andthefinalchoiceoftheactionsdependtoahighextendofthequalityofthese
discussionsandthetrustbetweentheactors.
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2.MethodologiesdevelopedbyNationalCAFResourceCenters
In 2 countries, the national CAF resource centre and the national CAF correspondent developedthemselvesamethodologythatisdisseminatedinthecountry.
2a.TheItalianapproach
In the fivephasesof the Italianmethod, theselectionof thepriorityareas for improvement involvingstaffandmanagementistheimportantstartingpoint.
Inphase1,theSelf-AssessmentGroup(SAG)makesacross-sectionalsynthesisoftheweakpointsthatappearinallthesubcriteriaandclassifiesthemaccordingtothreecharacteristics:recurrence,strategic
importanceandoperationalimportance.
Inphase2,theSAGandManagerdefinebetween4to6CriticalSuccessFactors(CSF’s)relatedtothemission,visionandstrategicobjectivesoftheorganisation.TheyassesstheimportanceorrelevanceofeachsubcriterionfortheachievementoftheCSFs.Persubcriterion,thetotalscoreismadeandpurely
mathematically calculated on a scale from 1 to 10 to define the relevance of each sub criterion. Bycrossing the relevance of each sub criterion with the score obtained in the CAF self-assessment, 4prioritylevelsaredefinedamongstthesubcriteria.Especiallytherecurrentandstrategicallyimportant
weaknesses of the sub criteria with priority 1 (high relevance and low score) and priority 2 (lowrelevanceandlowscore)areanalysed,resultinginapreliminarylistofweaknessesbetween8and15.
Inphase3, theSAGdefinespossible improvement initiatives foreachweakness.After clustering, thiscanleadto6to12initiatives.
InPhase4,theSAGdefinesforeachimprovementinitiativeitsimpactonthecriticalsuccessfactors,the
feasibilityandtherealisationtime,informationthatmusthelpthemanagertomakehisfinaldecision.
Inphase5,themanagerdecidesonexecuting3to5actionsbesideanumberofQuickWins.
VeryimportantintheItalianapproachisthecross-sectionalsynthesisoftheweakpointsduringtheCAFself-assessmentandthedefinitionoftheCSF’sthatarethebasisfortheevaluationoftherelevanceofthesubcriteriabytheSAGandtheManager.Toacertainextent,thisaddsanextradimensionofthe
useoftheCAF,thatdoesnotweighthesubcriteria.Thefourprioritylevelshelptofocusonthemostneededaction radius.As inothermethodologies, impact, feasibilityand realisation timeof theactionproposalsareevaluated.
2b.ThePortugueseapproach
The first step in the Portuguese methodology brings the proposals for improvements from the self-assessment teams together with the stakeholder’s suggestions from the satisfaction surveys and
clusters them in topics. Integrating stakeholder’s suggestions is particular in this approach. TheQuickWins amongst the proposed actions are directly set aside as in the EIPA methodology and will berealisedanyhow.
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Steptwodefinestherelevanceoftherestoftheimprovementactionsfortheorganisationalobjectives.
In step three, theproposed relevantactionsare rankedaccording to three criteria: the impactof theactionontheorganisationalperformance,thecapacityof implementationoftheactionandits impactontheclients’ satisfaction,similar to theEIPA’sandthe Italiancriteria.Anexecutionschedule for the
overall improvementplanallowsmonitoring thesystematic followup.Eachaction formdealswithalltheaspectsthatneedstobetakenintoconsiderationtomakeitsuccessful.
3.Recommendationsforprioritisationatnationallevel
In other countries, the national CAF Resource Centre did not elaborate a comprehensive nationalmethodologyforprioritisationbutsharesdifferentwaysthatareusedinorganisationstocometotheiractionplan.
3a.Poland
In one approach, the self-assessment group defines in advance concrete characteristics for theimprovementactions tobe formulated, e.g. inone case12 characteristicswere formulated.Amongstthesuggestedactions,theorganisationselectsforimplementationtheactionslinkedtothesubcriteria
withtheweakestscores.
In another method, the management defines the prioritisation criteria in line with the strategicobjectivesoftheorganisation.
In the thirdmethodology, themembers of the self-assessment group and themanagers reformulate
togethertheproposedactionstobringthemmoreinlinewiththeimprovementareas.Thentheimpactonthestrategicobjectivesandthecapacitytoimplementtheactionareevaluatedandranked.Outoffiveproposedactions,threeareimplementedinthecurrentyear.
3b.Austria
The Austrian CAF Centre also recommends a limited number of milestones. A list of by average 80improvements actions as the result of the consensus meetings of the self-assessment group SAG isdiscussedinaworkshopwithrepresentativesoftheSAGandthemanagement.QuickWinsaredefined.
Out of the remaining actions, the 10 to 12 most important are selected and further specified andclustered. Afterwards,working groups draft project descriptions andplenary sessions find consensus.Thelowprioritisedactionsaredealtwithaftertheimplementationoftheprojectplans.
3c.Finland
ThemethodologyofprioritisationusedintheStateTreasurycanbeseenasanexampleforotherpublicorganisations.Allproposalsforimprovementareanalysedontheirusefulnessandtheamountofworkto install them.Thecombinationofbothcriteria leads toa ranking frommostpromising, topotential
and least promising actions. QuickWins are clearly defined and togetherwith the actions leading to
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future goals, launched straight away. Potential and future proposals are reflected on the strategicpriorities and financial possibilities of the organisation. They are evaluated on their effect on theefficiencyandeffectivenessoftheorganisation,onthecriticaltimeforactionandtheimportanceofthe
enablingorriskminimisingnatureoftheaction.Amaximisedparticipatorydiscussiononthefinalchoiceoftheactioncommitsstaffinthepreparationofthefuture.
4.ThemethodologyoftheSlovakcase
Allemployeesare invited to introduceproposals for improvement,notonly themembersof the self-assessmentgroup.ThemanagementandtheCAFteamdefinethepriorityoftheaccordingtothescoresoftheCAFcriteria(CC)andtheCAFPrinciplesofExcellence(PoE).Basedonthequestionnaireofthe3rd
pillar of the CAF Procedure on External Feedback, the fulfilment of the principles of Excellence areanalysedandtheresultsintegratedinthePoEindex,indicatingthelevelofmaturity.TheCAFindex(Icc)showstheurgencyofactioninaspecificsub-criterion.Thefinalpriorityindex(Ip)isanadditionoftheIcc
index (urgency) for 60% and the PoE index (level of maturity) for 40% : Ip = 0,6*Icc + 0,4Ipoe. In thismethodology,thematuritylevelplaysamoreimportantrolethenintheotherapproaches.
Characteristicsofthedifferentprioritisationmethodologies
Allthemethodologieshaveanumberofaspectsincommontoacertainextent:
• InthestartingphasetheyalldefineQuickWins.
• Theappreciationofstrategicimportanceorimpactoftheimprovementactionsassuchorin
relationwiththestrategicobjectivesoftheorganisationarealwayspresent.
• Theanalysisofmostaspectsofthefeasibilityoftheactionsarealwaystakenintoconsideration.
• Thefinaldecisionalwayslaysinthehandofthemanagement.
Therearedifferencesregarding:
• Theinvolvementofallstaffandotherstakeholdersintheintroductionofproposalsfor
improvement.
• TheinvolvementoftheSAGmembersinthechoiceoftheactions.
• Thenumberofchosenactions.
• TheintegrationofthelevelofmaturityaccordingtothePrinciplesofExcellenceinthemethod.
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1
TableofContents
Acknowledgements........................................................................................................................3
Introduction...................................................................................................................................7
PART1:20improvementactionsleadingtobetterperformanceastheresultofCAF
Austria
Case:CAF-inspiredLeadershipintheCityofVienna.......................................................................15Case:ConsequencesoftheimplementationofPerformanceManagementintheentireFederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery.........................................22
Belgium
Case:StrategicplanningintheFlemishDepartmentofAgricultureandFisheries.........................28Case:AqualityapproachfocussedoninternalandexternalcommunicationintheHauteEcoleofHainaut........................................................................................................................................35
EstoniaCase:ContinuousImprovementoftheMinistryofFinance............................................................42
Finland
Case:Target-orientednetworkleadershipofeducationalservicesinthePäijät-Häme.................50Case:Theinitiative-systemintheStateResidentialSchoolLiminka...............................................59
Germany
Case:HRManagementattheDistrictofUpperBavaria.................................................................67Case:StakeholderanalysisintheHessianAdministrationforLandManagementandGeoinformatics................................................................................................................................74
Greece
Case:TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService........85Italy
Case:TheeducationandguidanceneedsoftheItalianSecondaryEducationInstituteGalilei-Artiglio..................................................................................................................................92Case:ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia......................................................................................................................................99
Norway
Case:IncreasedstakeholderinvolvementintheplanningoftheConsumerOmbudsman’sworkandpriorities........................................................................................................................104
Portugal
Case:InnovativeHumanResourcesManagementintheLisbonMunicipality..............................110Case:QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar...117
2
Poland
Case:TheBankofIdeasintheCustomsChamberofBialystok.....................................................124Case:TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw........................................................................................................................................133
Slovakia
Case:Theuseof6Ϭ(Lean–SixSigma)forstreamliningprocessesintheImplementationAgencyofSlovakMinistryofEmployment,SocialAffairsandFamily...........................................139
Slovenia
Case:TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje....150Spain
Case:WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment...................................................................................................................................158
PART2:Theprioritisationmethodologies
TheEIPAapproach..............................................................................................................................171TheItalianapproach...........................................................................................................................185ThePortugueseapproach...................................................................................................................196ThePolishapproaches........................................................................................................................203TheAustrianapproach.......................................................................................................................205TheFinishapproach............................................................................................................................207TheapproachoftheSlovakcase........................................................................................................210
Conclusions
Whatarethelessonstobelearnedfromtheselected20goodpractices?.......................................215Whatinsightsdotheintroducedprioritisationmethodologiesprovide?..........................................222
TheCAFnetwork
TheCAFnetwork................................................................................................................................229TheCAFNationalCorrespondents......................................................................................................230TheEuropeanCAFResourceCentre...................................................................................................235
3
Acknowledgements
Thisstudywouldnothavebeenpossiblewithoutthecrucialhelpofanumberofpeople.Firstofall,theEuropeanCAFResourceCentrewouldliketothanktheSlovakPresidencyforcreatingtheopportunityto
learn from good practices installed by 20 public sector organisations from 13 countries and fromprioritisationmethodologiesthatweredeveloped.
WealsowanttothanktheCAFnationalcorrespondents (CAFNC)forconvincing41CAFusers intheircountries to present themselves as candidates for the study. 13 countries reacted positively on our
demandandafewothersapologisedfornotbeingabletocollaboratethistimeduetoworkconstraintsand restructuration. Special thanksgoes to the countries that shared theirprioritisationmethodologywithus.Thesemethodologieswillcertainlycontributetoarational,strategicandwellbalanceddecision
makingprocessonthemostrelevantandurgentimprovementactionstoundertakeaftertheCAFself-assessment.
Furthermore,wewould liketowarmlythanktheCAFusersthatsent intheircasedescription.Wearefullyawareof thefact that thiswasademandingexercise,especiallyasweneededthedescription in
English.Weareverygrateful.Weespeciallythankthosewhoreceivedrequestsfromoursideforfurtherexplanationoradaptationsfortheirwillingnessforansweringsotimelyandeffectively.
And last but not least, we would like to thank our colleagues at the European Institute of PublicAdministration(EIPA)whocontributedwithpracticalsupportintheeditingofthepresentpublication.
EuropeanCAFResourceCentre
PatrickStaes,
NickThijs,
DorinaClaessens,
SimoneMeesters
4
5
Introd
uction
6
7
Introduction
UndertheItalianPresidencyoftheCounciloftheEUduringthesecondsemesterof2014,thefocuswas
put on the impact of the use of CAF on public sector organisations, in particular in the Sector ofEducation.
The CommonAssessment Framework (CAF)4 is a result of the co-operation among the EUMinistersresponsibleforPublicAdministration.Apilotversionwaspresented inMay2000andrevisedversions
were launched in 2002, 2006 and 2013. The CAF is an easy-to-use, free tool to assist public-sectororganisationsacrossEuropeinusingqualitymanagementtechniquestoimprovetheirperformance.TheCAF isaTotalQualityManagement (TQM)toolwhich is inspiredbythemajorTotalQualitymodels in
general,andbytheExcellenceModeloftheEuropeanFoundationforQualityManagement(EFQM)inparticular. It is especially designed for public-sector organisations, taking into account theircharacteristics.Themodelisbasedonthepremisethatexcellentresultsinorganisationalperformance,
citizens/customers,peopleandsocietyareachieved through leadershipdrivingstrategyandplanning,people,partnerships,resourcesandprocesses.Itlooksattheorganisationfromdifferentanglesatthesametime;aholisticapproachtoorganisationperformanceanalysis.Sincetheyear2000,nearly4500
public sectororganisationsall overEuropehaveused themodel and thenumberofCAFUsers is stillgrowing.
CAF aims to be a catalyst for a full improvement processwithin the organisations and has fivemainpurposes:
1. TointroducepublicadministrationsintothecultureofexcellenceandtheprinciplesofTQM;
2. Toguidethemprogressivelytoafull-fledged“Plan-Do-Check-Act(PDCA)”cycle;3. Tofacilitatetheself-assessmentofapublicorganisationinordertoarriveatadiagnosisand
improvementactions;
4. Toactasabridgeacrossthevariousmodelsusedinqualitymanagement;5. Tofacilitatebenchlearningbetweenpublic-sectororganisations.
Thenine-boxstructureidentifiesthemainaspectsrequiringconsiderationinanyorganisationalanalysis.Criteria 1-5 deal with the managerial practices of an organisation: the so-called Enablers. These
determinewhattheorganisationdoesandhowitapproachesitstaskstoachievethedesiredresults.Incriteria 6-8, results achieved in the fields of citizens/customers, people and social responsibility aremeasuredbyperceptionandperformancemeasurements.Theexternaland internal keyperformance
resultsaremeasuredonwell-establishedkeyperformanceindicators.
4TheCommonAssessmentFramework(CAF)–ImprovingPublicOrganisationsthroughSelf-Assessment,EIPA2013
8
Organisationsarefreetoadapttheimplementationofthemodeltotheirspecificneedsandcontextualcircumstances;however,thestructureofthemodel,withthe9criteriaandthe28sub-criteria,aswell
astheuseofoneoftheassessmentpanelsisstronglyrecommendedasitistoimplementtheprocessfollowingthegivenguidelines.
Using the CAFModel is a learning process for each organisation. However, the lessons learned overseveral years of implementation can profit every new user. A 10-step implementation plan was
thereforedevelopedtohelporganisationsuseitinthemostefficientandeffectiveway.
9
It is important to emphasise that the advice given here is based on the experience of the manyorganisations that have used CAF. However, each improvement process is unique and therefore thisdescription should be seen as an inspiration for the people responsible for the process of self-
assessmentratherthanasaprecisemanualfortheprocess.
One of themost remarkable conclusions of the study, undertaken by EIPA on demand of the ItalianPresidency5, was that scores of all eight CAF results6 sub-criteria increased after each CAFimplementation.Insomecasesitwasarathermodest3to4%increase,butinotherstheincreasewas
rather substantial, up to 8 and 9%. As the result of self-assessment, improvement activities wereundertaken that led to this better performance of the organisation. 12 concrete change stories fromeducationalinstitutionsoutof5countriesdescribedhowtheseimprovementactionsintheareasofthe
5enablerscriteriahaveledtotheirbetterperformance.
This new study wants to build further on the findings of the Italian study, broadening the scope toorganisationsofthewholepublicsectoranddescribingmoreindetailthedifferentgoodpracticesthatwere installed in 20 organisations from 13 different countries. The self-assessment of public sector
organisations,usingtheTQMmirroroftheCAF, indicatesstrengthsoftheorganisationsinthefieldof28 sub-criteria aswell as areas of improvement. An important added value of the TQM approach incomparisonwithothermethodsthatfocusoninternalcontrolstandards,isthatCAFusersalsohaveto
evaluate their4 resultsdomainsandareable tomeasureprogressordeclineof theirperformance intime.Choosingthemostneededimprovementactionsaftertheself-assessmentisimportanttoenhancethese results.So the linkbetweenresultsandenablers is crucialbutnotunequivocal,notalways ina
one-to-onerelation.Tounderstandpossibleimpactlines,weneedexamplesofconcretesuccessstories,evidence-based, described by the process owners themselves, indicating what kind of efforts theyundertooktoimprovetheirperformance.
Thereforethetransferabilityoftheinspiringpracticeswasanimportantcriterionfortheselectionofthe
cases but they should of course be innovative, being part of a coherent approach of organisational
5RefereCAFintheEducationSector.Successfulstoriesofperformanceimprovement.2014.ItalianPresidencyoftheCounciloftheEuropeanUnion.http://www.eipa.eu/files/File/CAF/CAF%20Education%20Research%20Report_20150601.pdf
6The8sub-criteriaoftheresultsareainCAF:Criterion6:Citizen/Customers-orientedResults Sub-criterion6.1:Perceptionmeasurements Sub-criterion6.2:PerformancemeasurementsCriterion7:PeopleResults Sub-criterion7.1:Perceptionmeasurements Sub-criterion7.2:PerformancemeasurementsCriterion8:SocialResponsibilityResults Sub-criterion8.1:Perceptionmeasurements Sub-criterion8.2:PerformancemeasurementsCriterion9:KeyPerformanceResults Sub-criterion9.1:Externalresults:outputsandoutcomestogoals Sub-criterion9.2:Internalresults:levelofefficiency
10
developmentandbypreferencedealingwiththemesoftheStrategyPaper7(July2016-July2019) oftheEuropeanPublicAdministrationNetwork(EUPAN)andtheEuropeanagendaasmentionedbelow.
Self-assessmentreportsareveryrich,pointoutseveralareasof improvementandoftencontainmorethan 100 to 150 concrete improvement proposals of self-assessment teams. However, successfully
managing an organisation towards excellence includes making choices and implementing targetedimprovementactionsthatreallycontributetosustainablematurityoftheorganisation.TheCAFmodeldoes not prescribe a particular prioritisation methodology and many public sector organisations are
strugglingwiththisstrategicaspect.Somecountrieshavedevelopedtheirownprioritisationapproachand promote it amongst their users. EIPA has worked out together with Belgium a prioritisationmethodologyandpresents itduring itstrainingsessionsand inthecoachingofCAF implementation it
undertakes.Butveryoftenorganisationsdoitintheirownway.Alotcanbelearnedfromeachotherinthisfield.Therefore,theparticipatingorganisationswereaskedtopresentshortlyhowtheymadetheirchoiceof the improvement area theywanted to tackle after the self-assessment. Thepurposeof the
chapteronprioritisationinthestudycanthusnotbetocreateaunifiedprioritisationapproach.ItwantstoshowwhatisdonebyourCAFusersandhowwecanlearnfromeachother.
AsCAFisaholisticinstrument,nearlyalltheaspectsofthefunctioningofpublicsectororganisationsareinvolved, including these aspects that are in the focus of the new Strategic Plan of EUPAN, and the
RollingProgrammeofthedifferentpresidenciesinthecoming3years.Goodgovernance,HRInnovationandorganisational development, service innovationanddelivery andnearly all the topicsunder eachdomainaredealtwithinCAFthatprovidesadequateoperationalapproachesatorganisationallevel.
Before going in-depth into the content and the qualitative impact of the CAF in public sector
organisations, itmightbeuseful togivea shortquantitativeoverviewof theuseof themodel inandoutsideEuropesinceitscreationin2000.AsthereisnoobligationtoregisterasaCAFUserintheCAFUsers database at the CAF Resource Centre in EIPA, the following overview is non-exhaustive. The
numberofregisteredCAFUsersgrewfrom288in2005,over2066in2010tonearly4000inSeptember2016.Especiallyafterthereviewsof2006and2012aboostintheuseofthemodeltookplace.Tables1and2illustratethisgrowinginternationaluserscommunity.
7EUPANStrategyPaper(July2016-July2019)http://www.eupan.eu/files/repository/20160801161004_First_EUPAN_Strategy_Paper.pdf
11
Table 1: The CAF Database on 1 September 2016: 3887 registered CAF Users in 52 countries andEuropeanInstitutionsand74EffectiveCAFusersLabels
Country ECU Country ECU Country ECU
Italy-913 38 CzechRepublic-73 1 Luxembourg-14 4
Poland-412 Greece-68 EUInstitutionsandEC-13 1
Germany-357 4 Slovakia-60 9 FYROM-13 1
Belgium-342 6 Spain-55 BulgariaandIceland-12Turkey-11
Hungary-316 Romania-49 LatviaandUK-8
Denmark-248 1 Lithuania-30
2 TheNetherlands,Croatia-7Ireland-6
Portugal-195 3 Switzerland-29 Sweden-5
Finland-137 France-27 CapeVerde,Russia-4
Austria-99 5 Bosnia-Herzegovina-20 Ecuador-3
Norway-92 Cyprus-19 Indonesia,China,Namibia,Tunisia,Serbia,Montenegro,Egypt,Georgia-2
DominicanRepublic-87
Estonia-18 Kosovo,Morocco,Peru,Ukraine-1
Slovenia-76 Malta-15 Brazil,IvoryCoast,South-Africa-1
12
Table2:TheCAFDatabaseon1September2016:overviewoftheuserspersector
Sector CAFUsers Sector CAFUsers
EducationandResearch 1082 Economy,agriculture,fisheriesandtrade
88
Localadministration(municipalities,provinces)
919 JusticeandLaw 87
Socialservicesandsocialsecurity 410 Culture 57
PoliceandSecurity 175 Homeaffaires 53
Customs,TaxesandFinances 151 Generalpolicyandoversight,coordination
44
Health 144 Environment 31
Publicsectormanagement(P&O,budget,ICTetc.)
126 ForeignaffairsPostandCommunication
1110
Transport,infrastructure,publicworks,utilities
89 Others 362
Sector
13
PART
1:20im
provem
entaction
slead
ingto
betterperform
anceastheresultofC
AF
14
15
AustriaCase:CAF-inspiredLeadershipintheCityofVienna
ViennaCityAdministrationMunicipalDepartment(MD)63CommerceandTrade,LegalAspectsofFoodSafety
Vienna,Austria
FriedrichHirschMA63A-1010Vienna,Wipplingerstraße6-8Tel.:+431400097137
E-Mail:[email protected]
Sectoroftheorganisation:LocalGovernment
CommerciallawhasalongtraditioninAustria,datingbacktothe19thcentury,andhasbeenconsideredeversincearathercomplexlegalmatter.Lyingbasicallyinthehandsoffederallegislationitisexecutedvia indirect federal administration, leading, with regard to the Vienna City Administration, to the
MunicipalDepartment(MD)63-CommerceandTrade,LegalAspectsofFoodSafetybeinginchargeofmattersconcerningcommerciallaw.MD63isalsoinchargeofcorrespondingmatters,mainlyfoodlaw,public procurement law, EU/EEA Professional Qualifications Recognition Procedure, EU Services
Directive(incl.SinglePointofContact).
Thisportfoliorequiresontheonehandaconsiderableamountofconsultingservices,ontheotherhandahighlyprofessionalperformance,includingsolutionexpertiseandreadinesstoinnovate.Consequentlythe Head of Department of MD 63 was appointed Director for Matters Pertaining to Electronic File
Management,ElectronicProcurement,theServicesDirective,IndustrialandFoodLaw,beingresponsibleforthecoordinationofallconcernedissuesfortheentireCityAdministration.UnderthismissionMD63is also responsible for the programmes ‘GEMMA’ - expanding electronic file management - and
‘eProcurement’withintheCityofVienna,aswellasbeingacooperationpartnertotheExecutiveGroupfor LegalAffairs regarding theproject ‘e-Recht’ (e-Law)andanoperativeand strategicpartner to thecross-sectoral (on federal, provincial and municipal level) programme ‘GISA - Gewerbeinformations-
system Austria’ (Trade Information SystemAustria).With respect to the challenging assignments thenumberofstaffmaybeclassifiedrathersmall:Intotal,52employees(34femaleand18male)carryoutalloperativeandstrategictasks.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):
Criterion1:Leadership,sub-criteria:1.2Managetheorganisation
16
1.Descriptionoftheimprovedresult(s)oftheorganisation
As briefly indicated above, MD 63 has grown to its augmented tasks. Behind this progress lies a
profoundorganisationaldevelopment.ByusingCAFasa regularQualityManagement Instrument theperformanceofMD63hasbeengraduallyoptimised inaholisticway.Toa largeextentthe impactofCAFonLeadershipwasresponsibleforthesuccessfuldevelopmentprocessbytransformingthewhole
organisationintoawell-structuredandwell-functioning‘workteam’.Themainprerequisitesregardingleadershiparelistedinpart3,themainpositiveaspectsofthedevelopmentprocessareshownbelow,usingtheCAF-Results-Frameworkaspattern.
ImpactsregardingCustomers&Stakeholders
All stakeholders are identified and
documented, periodical evaluations areperformed. These measures provideaccuracy in the context of customer
orientation,althoughnomajorvarianceshaveoccurred lately, save in connectionwithsingleprojects.
Aconstantcross-sectoralcooperationwiththeEconomicChamber(‘WienerWirtschaftskammer’)being
one of themain stakeholders inmatters of business founders has been established and has offeredparticipation in significant new development projects: The common tool ‘Trade online’ (‘Gewerbeonline’)allowsafasterandmoreconvenientprocessingofapplications:applicationsarerecordedatthe
Economic Chamber as part of the business-founders-consultation service, MD 63 continues andconcludestheprocess.
The Complaint Management System, including an annualcontrollingreport,showsaverylownumberofcomplaints,only2
to 3 per year. This is the outcome of a sincere policy towardscustomersatisfaction,focussingontheidentificationofcausesforcomplaints and preventive measures, accompanied by a high
amountofself-responsibilityandsolutionexpertiseonthesideofthe staff promoted by their superiors, e.g. by fostering a directinterchange of ideas and problem-solving approaches with the
EconomicChamberasfirstpointofcontactfortradespersons.
Customer Surveys - with support of the PR-department - areperiodically performedand showalong the timeline a constantly
high degree of customer satisfaction: 1,6 to 2,00within a rangefrom1to5;specificitemslikeEqualityandDiversityincluded;theresultsarebenchmarkedbythePR-departmentwith internaland
externalreferencedata.
Quote CAF External Feedback 2014: ‘External
Stakeholders (customers and partners) consider theexpertisebytheMD63staffashighlycompetentandtheir procedures well designed, flexible, solution-
orientedandcustomer-oriented.’
17
ImpactsregardingPeople
TheawarenessoftheHeadofDepartmentforasupporting work situation is demonstrated by
measures fostering work-life-balance; e.g. anannual work-time model, part time work forexecutives andmobile ICT-workplaces promote
highstaffsatisfactionpairedwithefficiency.
Thestaffsurveyonworkplacesituationandjob-related psychic strain featured as an outstandingaccomplishment and as an example of superior quality regarding the results (assessed by a medical
officer)inthereportofthe‘CAFExternalFeedback’-Label.
Theeffectsofthetransparentreward-system-criteriaforremunerationsarelistedontheintranet–aremeasured by performance indicators, which show sustained staff engagement, leading to increasedproductivityandaugmentedperformance.
A new culture of trust promotes continuous improvement by higher willingness to cooperate and
supportinnovationandchange,provenbytheengagementinvoluntaryteamwork,spontaneousworkgroups,workplacemobilityandthedispositiontoacceptadditionalandnewtaskseagerly.
High qualification of staff - quotation CAF External Feedback: ‘The staff’s evident readiness forinnovationraisestheircareeropportunities,whichleadstoapositivefluctuation;MD63actsasanelite
trainingcentre’-featuresasoneofthefacetsinthepositiveimageofMD63.
ThepersonallydeliveredannualreportabouttheperformanceofMD63bytheHeadofDepartmenttothestaffnotonlyshowsthehighesteemtowardstheemployeesbutalsoleadstodiscussionontargetsandexpectations,thuspromotingself-evaluationandfosteringself-competence.
ImpactregardingSocialResponsibility
TheworkofMD63showsdirectimpactonsocietyingeneralandonbusinesstradersindetail.Therefore
highlyprofessionalperformanceisinevitabletosafeguardViennaasasoughtafterplaceforbusinessaswell as a citywhere people like to live. The positive share byMD63 adds to the success of the Citydocumented by the annual ‘Mercer Study’, listing Vienna in 2016 the City with the highest living
standardsfor7timesinarow.
How effectively laws are executed is equally important for target groups and society in general, asshownbytheexampleofFoodLaw:MD63isresponsibleforlegalaspectsoffoodinspectionandfoodsafety, gives legal advice to othermunicipal departments engaged in food inspection and renders an
expertopiniononamendments to federal food laws.Moreover, issuesorders incaseof foodhygieneshortcomings in enterprises dealing with foodstuffs and fulfils control tasks concerning organic foodproduction,labellingoforganicproducts,imports,processingandtrade.
Quote CAF External Feedback 2014: ‘MD 63is characterised by a particularly open
organisational culture with evaluation-oriented leadership, high intrinsic motivationandexcellentworkingatmosphere.’
18
The initiative to define a new target for the Viennese Contract Management System in favour ofpromotingwomeninpublicprocurementprocedureswassubstantiallysupportedbyMD63.
MD63maintainscontact tomigrantsassociations, thusprovidingassistance/exchangeof informationregardingopportunitiesforbusinessfounding.
ImpactsregardingKeyPerformance
The transformation from a monocratically steeredorganisation intoamatrix-organisation and the reduction
from 22 units to 12 different faculties and 3 executivedepartments provided the framework for more efficientprocedures.
Theincreaseofproductivity isvisiblebyfulfillingadditional
tasks(e.g.theperennialprogramme‘GEMMA’)despitegradualstaff-reduction.
The consistency of quality in times of major changes in the legal framework, is documented by aconstantlownumberofamendmentnotifications.
Theproportionoftheamountofeducationforfemaleandmaleemployeesfeaturesintheannualreport
fortheChiefExecutiveDirectorandshowsastablehighrateofadvancedtrainingforfemaleemployees.Theproportionoffemaleandmaleemployeesinleadingpositions,beinganotherfeatureinthisannualreport,documentsabalancedproportionofmaleandfemaleemployeesinhigherpositions.
The readiness of employees to participate in additional assignments and ad-hoc tasks has steadilyincreasedasdocumentedbythenumberofemployeesvoluntarilyengagedinprojectsandworkgroups.
Theevaluationoftheroleaskey-andpilot-organisation,measuredbythenumberoftimesleadingorparticipatinginmajorprojectsorprogrammesaswellasparticipatinginthedraftingoflaws,showsan
upwardtendency.
ThelevelofcontinuousimprovementisdocumentedbythenumberofoptimisationprojectswithinMD63aswellasthenumberofCAF-Self-assessments(CAF-SA),toppedbytheCAFExternalFeedback-Labelin2014.
The sincere observance of budget limitations and the rise of productivity are evaluated by the (non-
existent) numbers of budget-transgressions: so far the budget has at no time been exceeded, butconstantly fallen below, in spite of extended assignments. Examples of cost reduction add to theevaluationoffinancialtargets:byexpandingonline-procedures,about2/5oftheexpensesforstationary
weresaved.
Quote CAF External Feedback2014: ‘MD 63 distinguishesitself by its engagement inprocessmanagement’.
19
2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Startingpointforchange
Atthetimethelatestchangeofmanagementoccurred,theCAF-SA
results had already displayed the necessity for a more suitableorganisational structure and a set of effective managementinstruments for MD 63. Based on detailed suggestions out of an
internal development project the transformation from a strict lineorganisationintoamatrixorganisationwassetinactionbytheHeadof Department in accordancewith the Chief Executive Director of
theCityofViennaandtheExecutiveCityCouncillorincharge.
The CAF-SA-report, as further means of advice for the changeproject acted, stating the complexity of recent challenges forMD63, while also addressing New Public Management approaches
required by the Chief Executive Director, comprising aspects ofDiversity and Gender Mainstreaming, Quality Management,Complaint Management System, Customer Surveys, Knowledge
Management, Risk Management including business continuityregarding ICT as well as periodical reports on targets andperformance. With this blueprint for an ideal organisation CAF
contributedtotheneworganisationaldesignofMD63.
TheroleofCAF,andtheCAFActionPlan
From the first CAF-SA on, the determined needs for action had been documented in a ‘Work Book’(‘Arbeitsbuch’), including responsibilities and planned completion dates. From the ‘CAF-2013’ on, theformer ‘WorkBook’was optimised into an ‘Action Plan’with an evenmore accurate prioritisationof
actions.
At the time the newHead ofDepartment started hiswork atMD63, the tradition of evaluating thedepartment’s performance via CAF acted as a pillar of stability and provided tangible performanceindicators, thusconvincing thenewHeadofDepartmentofall theCAF-merits.Consequently,heused
the CAF results, including the accurate list of strengths and areas of improvement, to assess theperformanceofMD63,countingontheexpertiseofanexperiencedCAF-SA-team.Furthermorehebasedhis decisions regarding the reorganisationofMD63 to a large extenton theCAF-expertise, herewith
securingthecontinuityofthedepartment’sdevelopmentwhilebondingthealreadyidentifiedareasofimprovementtohisvisionofamodernisedMD63.Byjoiningforceswiththedepartment’sexperiencesand traditions, he also secured the motivation of the staff and fostered a climate of mutual
improvementandinnovation.
20
TangibleBenefitsoftheCAF-inducedroleofLeadership
When the new Head of Department showed his confidence in and esteem of the experiencedemployeesbybasinghisplansforchangeonaprofoundanalysisoftheactualdepartment’ssituation,
taking into account the evaluation-results of the CAF-SA and withstanding an enforcement ofunreflectedschemesupontheorganisation,aprofoundculturalchangeregardingthereadinessofstafftoworkonchangesand improvementpro-activelywas induced.Therewardwasanoticeablepositive
developmentregardingproductivity,riseofqualificationandriseofsatisfaction.
Highly motivated employees, effective management instruments and an orientation towards TQM-principleshavebuilt a solidbasis for theorganisation's ongoing improvement. The continuoususeofCAF, actively encouraged by the Head of Department, has supported a deep-rooted cultural change
towardsanevaluation-andoutcome-orientedorganisation.
Itisevident,thatthecontinuityoftheCAF-SAandtheexperiencedCAF-experts-teamcontributedtotheholistic evaluation of the department’s performance. A comparison between the CAF’s vision of asuccessful organisation and the evaluation-results by the department’s CAF-SA offered a profound
guidelineforthemodernisationofMD63.
In2014the ‘CAFExternalFeedback-Label’wasgainedforthefirst time.The latestCAF-SAhasstartedsummer 2016, the next CAF External Feedback is planned for 2017. By linking the CAF-SA with theInternal Control System (IKS) and the Knowledge Management System – each of them affording
periodicalself-evaluation–afurtherincreaseinefficiencyisexpected.
ChangestotheEnablerCriteria‘Leadership’and‘People’
Leadership
• Vision,Mission:Commitmentby theHeadofDepartment toaprofoundcultureof innovationandchange; leadingtohigherself-competenceandresulting inchallengingnewtasksaspilot-
organisation.
• Customerorientationwith rulesof conduct, including rulesof conduct for thecommunication
withcustomers,weremutuallydefinedandaredocumentedinthemissionstatement.
• Use of modern media e.g. electronic files and processes, comprising all procedures and
communication-processes.
• Establishingacultureoftrust(assessedviaCAF-SAregularly).
• Establishingacultureofpro-activecommunicationtowardstheemployees.
• Increasedmotivation and engagement (e.g. evaluated by percentage of sick-leave, which lies
belowtheaverageoftheCityAdministration;moretasksaccomplisheddespitethediminishedstaff).
• Participationincompetitions(victoryatSpeyerQualityAwardandBestPracticeCaseatEPSA).
• TheCAFExternalFeedbackin2014providedamotivationboostfortheentireorganisation.
21
People
• Theformersolelyonprofessionalcompetenceorientedappointmentofexecutivesevolvedintoa leadershiporientedapproach.This resulted in:alterationsof jobdescriptions formanagerial
functions, leadership principles, management training programmes, network service ‘careerspringboard’(‘Karrieresprungbrett’)tomeetformerandnowpromotedemployees.
• Demands on the performance of employees have mounted considerably. Due to the new
hierarchy-system of MD 63 most of the employees face additional responsibilities out of
leadershiptasks,projectwork,teamwork,ad-hoc-teams.
• Optimised job descriptions; staff surveys – recently with focus on psychological strain in the
workplace; staff orientation talks; various work-timemodels and the involvement of people,securetheMD63theimageofasoughtafterworkplace.
• An education coordinator provides an annual education concept (with annually changing
focuses) and facilitates the selection of individual education plans; MD 63 provides alsoeducationfacilitiesfortrainees.
• Job-enrichment:Duetomodernwork-andcommunication-techniquesthe jobsoftypistswere
no longerneeded to the formerextent, therefore typistswereeducated todo (minor)experttasks.
3. Description of the prioritisation approach that led to the chosenproject
As mentioned above, the first CAF-SA opened the doors for a systematic approach towardsimprovement. Proof for the positive effect of CAFwas achievedwhen the newHead of Departmentreliedon itsevidence-basedpointers towardsareasof improvement.Thiswasthestartingpoint fora
target-oriented reorganisation of MD 63, comprising structural and operational measures as well ascultural changes.Therefore thechoiceofactions for improvementwasaligned to theoverallplan forreorganisation.
Afterthemajorstructuralchangesacontinuousimprovementprocesswassetintoaction,keepingthe
TQM-principles in mind, towards which the improvement actions were chosen by the Head ofDepartmentaccordingtothesuggestionsbytheCAF-SA-teamandrecentcontract-targets.
By linkingdifferentmanagement instrumentstoeachother,astillmoreefficientmanagementsystemwillbegained.OnforthcomingCAF-SAsthesetopicswillfaceprioritisation,CAFinthiscontextactingas
effectivedriver,asithasdoneinthepast.Ingeneral,theprioritisationofactionsduringtheCAF-SAhasbeendeveloped since ‘CAF 2013’ into amoremethodical approach: TheCAF-SA-teamdecide on twomaincriteria–urgencyandimportance.Additionally,theactiveinvolvementoftheunitmanagersatthe
CAF-SAprovidesarealisticfocusonpriorities.
22
Austria
Case:ConsequencesoftheimplementationofPerformanceManagementintheentireFederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery
AustrianFederalChancelleryWien,Austria
MichaelKallingerFederalChancelleryIII/9/aPublicAdministrationInnovation
Sectoroftheorganisation:GeneralPolicyandoversight/coordination
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):
Allthe20sub-criteriaoftheenablers,except4.6ManageFacilities
1.Descriptionoftheimprovedresult(s)oftheorganisation
DGIIIoftheFederalChancelleryisresponsiblefori.a.thefollowingmatters:
• Civilservicelaw
• HR-Management
• Performancecontrolling(Wirkungscontrolling)
• Civilserviceinnovation
• CoordinationoftheuseofManagementInstrumentslikeCAF
• TrainingprogrammesforFederalstaff
Until2016,DGIIIoftheFederalChancellerydidthreeCAFself-assessments,intheyears2006,2011and2015. This case study compares the two self-assessments of 2011 and 2015 in the light of the
introductionofPerformanceManagement(Wirkungsorientierung) intheentireFederalAdministrationinAustria,withafocusonenablercriteria.Inanutshell,wecanreportsignificantimprovements:CAF-scores for Enablers improved by 17 points on average and results by 10 Points according to the CAF
scoringmethodology.
23
The main reason for the improved results is the implementation of a yearly Controlling Circle(Criterion1:LeadershipandCirterion2:StrategyandPlanning).
With the implementation of Performance Management (Wirkungsorientierung) in the entire PublicAdministration as of 2013, also the Performance Controlling CyclewithinDG III becamemore clearlystructuredandbetteralignedtostrategicpoliticalgoals.Formsarestandardisedandqualityisassured.Asthecontrollingcyclehasbeenranthroughcompletelythreetimesnow(fortheyears2013,2014and2015),thescoresforseveralsub-criteriafor‘Leadership’and‘StrategyandPlanning’havenowrisentothezoneof‘Check’(51-70points)andeven‘Act’(71-90points).Akeyinstrumentinthisconnectionistheyearlystrategyworkshopwiththeuppermanagementofthedirectorate,wherestrategicgoalsaredefined. Also a mission statement of the directorate has been developed and made public. Regularmeetings of the management of 1,5-2 hours on a weekly basis and bi-weekly meetings in thedepartmentsarethemaincommunicationinstruments.
The same improvement of the score applies for sub-criterion 3.3, because employees are regularlyincludedindrawingup,controllingandevaluatingperformanceinformation.Performanceinformationisalsopartofannualstaffinterviews.
Anotherpointisthatperformanceinformation(atanaggregatelevelbutincludinggoalsandindicators)
isalsodiscussedat leastthreetimesayear inparliament, intheplanningandevaluationphases.Thishappens in the plenary of the National Assembly and in the Budget Committee (Sub-criterion 1.4Manage effective relations with political authorities and other stakeholders). According to the
Performance Management scheme, planning is threefold: a Mid-Term-Strategy for a 4-years-time-horizonand theyearlyplanning for theBudgetChapter (‘Untergliederung’ inGerman)and respective
globalbudget.In2012,DGIIIdevelopedacodeofconducttostrengthenethicalbehaviour.
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1
K5.
2
K5.
3
Leadership Strategy - Planning People Partnership & Resource Processes
Federal Chancellery DG III, Comparison of CAF-scores 2011 versus 2015
2011 2015
24
2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Since2013thepublicadministrationatFederallevelismanagedaccordingtotheprincipleofoutcomeorientation. In other words, management is based on contributions towards achieving objectives in
connectionwithsolvingsocietalproblems.
The state is responsible for a wide variety of services, ranging from key public sector tasks such asprovidingeducationandhealthcareorensuringequalopportunities,legalcertaintyandsocialsecurity,to the protection of consumers andworkers, aswell asmore ‘exotic’ services like avalanche control.
Asbudgetsaretight–giventhecurrentsovereigndebtcrisisandtheneedforbudgetconsolidation–publicfundsmustbeoptimallyallocatedinordertomeetpeople’sneedsandmaintainthepresenthighlevelofserviceinthelongterm.
This is where outcome orientation comes in. Federal budgets show the societal effects aimed at by
ministries and other public bodies, as well as how to achieve these and how to measure progress.Bycomparingtheintendedoutcomestotheavailablebudget,itiseasytoseewhethertheresourcestobeusedareproportionatetotheobjectivespursued.
Anexamplefromtheareaoftransportpolicy
• Outcome:fewertrafficaccidentsinvolvinginjuriesonAustrianroads.
• Objective:improvedroadsafety.
• Input:personnel,financialandotherresources,externalactors.
• Activities: setting up a multiphase driver education system, designing an awareness-raising
campaign, drawing up proposals formeasures to prevent accidents based on the analysis ofaccidentdataandpatterns.
• Output:aregulationonmultiphasedrivereducation,anawareness-raisingcampaignon‘drunk
driving’,definingandimplementingaccidentpreventionmeasuresincooperationwithexternal
actors (e.g. Kuratorium Sicheres Österreich, an association aiming to promote safety andsecurityconsciousness).
• Externalfactors:increasedtrafficvolume,weatherconditions.
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Political objectives relating to a desired societal outcome form the starting point of performancemanagement. It is the taskofpublicadministration toprovide thoseservices, i.e. theoutput thatwillbest achieve the intended outcome. However, outcomes cannot always be clearly attributed to par-
ticular outputs as external factors canplay a role, too. Before services canbeprovided, the requiredresources,i.e.thenecessaryinputmustbeascertainedandallocated.
Finally, the activities required to generate a particular output are carried out, either by publicadministration itself or by external service providers. The services thus provided produce short–term
intermediateoutcomes,whichinturngiverisetotheintendedfinaloutcomesinsocietyinthemediumandlongterm.
The degree to which the intended outcomes are attained is evaluated at regular intervals. In thiscontext, effectiveness means ‘doing the right thing’, i.e. it is a measure of the extent to which the
desiredeffect isachieved.The termefficiency,on theotherhand,means ‘doing things right’, i.e. it isusedtoevaluatetheoutputintermsoftheresourcesused.Inadditiontothesecriteria,itgoeswithoutsayingthatlegalitycontinuestobeakeystandardforpublicadministrationactivity.
Theperformancemanagementcycle
As a result of the new budgeting law and the introduction of performance orientation, a newmanagementcycleappliesinpublicadministrationatFederallevel.
Every spring each Ministry and each Supreme State Organ elaborates a multi-annual strategic planwhich is laid down in the Strategy Report on theMedium-Term Expenditure Framework. This broad
strategy is specified for each financial year in the annual Federal Budget, bymeans of outcome andoutputstatements.
Outcomestatementssetouttheeffectstobeachievedinsociety.Thetermoutputreferstoprioritiestobe set andmeasures to be takenby public administration in order to achieve the desired outcomes.Outcome and output statements aremeant to provide orientation for Parliament and the interested
publicregardingtheprioritiestobepursuedbytherespectiveMinistryorotherpublicbodyinthenextfinancialyear.
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Within public administration, the implementation of these priorities is ensured by means ofperformancemandates.Thesesetouttheoperativeworkplanofaparticularadministrativeunitforthefollowingfourfinancialyears.
Thebenefitsofthisapproachlienotonlyindefiningpolicyaimsatdifferentlevelsbut,inparticular,in
ensuringtheirachievementthroughmanagementbyobjectives.Appraisalinterviewsformafurtherkeyelement of the system, as it is there that each employee’s contribution to achieving the respectivepublicbody’sobjectivesisdefined.
Outputsshouldbeevaluatedatregularintervalssothatanydeviationfromtheplancanbedetectedin
goodtime,andsuitablestepstakentocorrectit.However,merelyevaluatingtheoutputwouldnotbeenoughtoshowwhethertheintendedeffecthasbeenachieved.Itisthereforenecessarytocarryoutanevaluationofoutcomestoo.
The conclusions drawn from the evaluation of outcomes show any potential for increasing the
effectivenessandefficiencyofpublicadministrationactivity.Evaluationresultsarethereforetakenintoaccountinelaboratingthenextstrategicplan,andthustheperformancemanagementcyclecomesfullcircle.
Whataretheadvantagesofthismanagementmodel?
Members of Parliament are better informed when debating the budget and in a better position todemand that government and public administration achieve objectives. This is conducive to carefulmanagementoftaxpayers’money.
Citizens gain better insight into the government’s work, as well as a better understanding of themachinery of government and what it is responsible for. This will strengthen people’s confidence inpublicinstitutions.
Publicadministrationcanshowtherangeofservicesitprovidesforcitizens,organisedinterestgroups,
politiciansandotherstakeholders.
The definition of intended outcomes makes the aims to be achieved by public administrationtransparenttoitsvariousinstitutionsandeachoftheirstaffmembers.Thismakespublicadministrationevenbetterabletotargetsocietalprioritieswithitsactivitiesandservices,andtoworkeffectivelyand
efficiently.
Asoutcomesandoutputsaregeared towardsachievingequalityofwomenandmen, it ispossible toshow,analyseandcontrolthedifferenteffectsofgovernmentactivityonwomenandmen.
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3. Description of the prioritisation approach that led to the chosenproject
Theprimarymotivationforintroducingperformancemanagementonthefederallevelwastoimprovebudgetary decision-making. Performance management addresses the following weaknesses of the
traditionalsystem:
• Nobindingmedium-termperspective
• Prevailingfocusoninputs
• Monopolyofcashperspective
Asof2013,thebudgetisacomprehensivesteeringinstrumentforresources,outputs&outcomes.
In this context, CAF comes in in several ways. When the organisation takes through the CommonAssessmentframework,allstakeholdersaresensitisedforabetterimplementationofthePerformanceManagement system, as all CAF-criteria are checked with a view to performance management.
Managersandstaff intheCAF-teambring intheirknowledgeanddiscusstogetherhowtobestdefineandmeasuretheoutcomesoftheorganisation.WhereasPerformanceControllingmightconcernonlyasmall number of people, CAF offers the possibility to broaden the basis and by that realise the full
potentialofPM.TheintroductionofPMhasalsoanimpactonthecultureoftheorganisationandtheCAF-processcansupportthischange.
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BelgiumCase:StrategicplanningintheFlemishDepartmentofAgricultureandFisheriesDepartmentofAgricultureandFisheriesFlemishgovernment,Belgium
ValerieDeWulfOrganisationalandHR-partner
E-mail:[email protected]
LeenBasHRbusinesspartnerE-mail:[email protected]
Sectoroftheorganisation:PublicSector–Economy,Agriculture,FisheryandTrade
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):
Criterion2:StrategyandPlanning,sub-criteria2.1,2.2and2.3
1.Descriptionoftheimprovedresult(s)oftheorganisation
WhentheCAFexercisetookplacein2013-2014,weknewamergerwasplannedfortheorganisation.The department of Agriculture and Fisheries under its new structure started from the 1th of January2015andwastheresultofamergerofthreeorganisations:theformerDepartmentofAgricultureand
Fisheries, the former Agency of Agriculture and Fisheries and a part of the Belgian Bureau forIntervention and Restitution. One common structure,strategy and culturewas needed and therefore strategic
alignmentwasthepriorityfortheorganisation.If we look at the 4 results criteria, we can say for the
results in the field of ‘citizens/customers’ that the newmission statementandclear vision reflectshowweworkand interact with our target group. The company values
have an impact on howwe interact with customers andamongstemployees.After themergerandthestatement
29
of the newmission/vision and values the management organised seven roadshows to discuss thesetopicswithalltheemployeesatthedifferentlocationsofourorganisation.Inanopendebateeveryonecouldaskquestionsandgivetheirviewonthetopics.Towardsthestakeholdersaninformationsession
wasorganisedtoexplainchangeswithintheneworganisationandreceivefeedback.The results in the field of the ‘people’ who work in the
organisation are partly due to a better communicationstrategy and partly to the new future-oriented HumanResources strategy. A new communication plan was
written to take care of communicating regularly andcorrectly to all layers in the organisation. An importantaspectwasalsotheclearchoicetospeakas‘onevoice’for
the whole organisation (sub-criteria 2.3. Communicateand implement strategy and planning in the whole
organisationandreviewitonaregularbasis).AnewStrategicHR-planwasmadetodefinetheHRgoals.
These three HR-goals focus on several elements such as coaching leadership, motivation, flexibility,commitment, development of talent and aspire an innovative organisational culture through creativeandsolution-orientedthinking.Thisisa5yearfutureorientedaspiration.Themainprojectsthatwere
launchedin2016withthispurposearethe‘leaderschip3.0project,theprojectinternalmobilitypolicyand the diversity project. The leadership project started with a satisfaction measurement of theexcistingHRtoolsformanagers.Onthisbasefurthertoolswillbeelaboratedtosharpentheleadership
skillsofmanagerswithintheorganisation.Alsotheprojectmobilitypolicyanddiversitystartedwithasatisfaction measurement of the current situation in order to focus on the most important and/orurgentmatters.
For the results in the fieldof ‘keyperformanceof theorganisation’, therewasa revisionof theoldbalancedscorecard.Soallofthekeyelementsintheorganisationcouldbemonitoredintherightway.
Theyaremonthlydiscussedbythemanagementteamtoseewhereextraworkisneededtoreachthetarget. Another tool to monitor the progress of organisational projects is TRAJECT. This tool wasimplementedbytheFlemishgovernmentandmonitorsthedepartmentalgoalsandprojects.Usingthis
tooltacklesacritical issueintheCAFanalysisthatthereshouldbemoremonitoringandevaluationinthefuture.Thenewstrategyalsomentionsalltheshorttermstrategicalandoperationalobjectivesofthe organisation. Furthermore we can mention that the core tasks were debated broadly and an
efficiencyprogrammemakessurethatallresourcesareusedcorrectly,efficientlywhiledecreasingthecostsinallfieldsoftheorganisation.InourBSCthereare32KPI’stomeasureourgoals.TheseKPI’saredividedinfourdimensions(results,quality,processes,learningandgrowing).ThisBSCisupdatedyearly
according to changes or new goals set by the management. The KPI’s are discussed monthly in amanagementmeeting.
A new process cascade was created when all existing processes were revised. Within the strategicframework several key elements of the organisation (HR strategy, Integrity, Diversity,Wellbeing and
Communication)werefurtherelaboratedsoitwasclearwhichdirectiontheorganisationisheadingthenextyears.
30
Onecommonmissionstatement,aclearvisionandonestrategywerecreatedfortheorganisation.Ontopofthat,theorganisationcreatedownershipoffourcore-values(openness,trust,manoeuvrability,vigour) as theywere rolledout toall theemployees. These four core-valuesweredeterminedby the
Flemishgovernmentandfurtherelaboratedwithinourorganisation.The CAF exercise resulted in a new strategy (sub-
cirteria 2.2.Develop strategyandplanning, takinginto account the gathered information) whichresulted in its turn in several useful projects that
were needed and sets organisational goals for thecoming years. This exercise gave the organisationthe opportunity to really prioritise what is
important and to cluster improvement programs.After the CAF exercise, a satisfaction survey wasconducted to see if the exercisewas useful in the
future. From the survey we learned that regularcommunication about the progress of theimprovementactionsandQuickWinswaskeyinthisfield.
Improvedresult(s)inthefieldof‘socialresponsibility’arenotyetcreated,butanactionplanhasbeensetuptotacklethistopicthecomingyears.Theproposalisthatbottom-upproposalsofemployeesare
beinghandled.
2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Contentoftheproject
After the CAF self-evaluation, the project resulted in thirteen improvement actions and fifteenQuickWins.Foreachimprovementactionorquickwinaresponsiblepersonwasassignedtotackletheissue.TheQuickWinsweretackledfirstasfastaspossible.Fromtheimprovementactionsninewereallocated
to2014(themosturgentones)andfourto2015.Themoststrategicimprovementactionswerebundledandputforwardinthestrategicexerciseof2015.Asemi-annualmonitoringtookplacetofollowuptheprogressofallactions.
Thenewstrategicexercisebecameatoppriorityprojectforthedepartmentin2015,soitwasimportant
thattheprojectwasrealisedorimplementedfastbutprofoundly.
Thefollowingdiagramshowsthestepsthatweretakenincreatingthenewstrategyofthedepartment.
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Thestartingpointandthe‘problems’thepracticewantedtotackle
During the CAF self-evaluation several issues or problems appeared. Good examples of those issues
were the lackof commitment to themission statementandvisionof theorganisation. The imminentmergerofthreeorganisationsintoone,theappointmentofanewministerunderthenewgovernment,and thirdly themajorchanges in thepolicyofagricultureand fisheriesmade thisproblemevenmore
urgent.Theemployeesendedupinamazesotospeak,wheregoalsandexitswerenotclearatall.Theorganisationneededonecommongoalsoeveryonecouldbemotivatedandengagedtoworktowardsthiscommongoal.
TheexercisestartedwithaSWOT-analysisof theorganisationtoknowthestrengthsandweaknesses
but also all the possible elements that had an effect on the organisation. The SWOT-analysis wasexecuted by the management and the employees. Another step was surveying the most importantstakeholdersabouttheirideasandexpectationsregardingthefutureneworganisation.
Differentanalysesandinputmadeasolidfoundationforthestrategicexercisesuchas:
• severalSWOT’s
• ascientificallyreasonedenvironmentalanalysis
• themonitoringoftheupcomingtrends
• thenewgovernmentagreementanditspolicynotes(sub-criteria2.1.Gatherinformationonthe
presentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation)
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The previous mission statement and vision were hard to understand and there was a lack ofcommitment of the employees within the organisation. Therefore a lot of attention was given toovercome this lack of commitment. Besides the top and middle management, the operational
managers,expertsaskeypersonsanddynamicvolunteersoftheorganisationwereinvolvedinthetwo-day strategic seminar. The outcomeof the seminarwas a new strategic framework. Translation intooperational plans and goals were made and followed up (sub-criteria 2.2. Develop strategy and
planning,takingintoaccountthegatheredinformation).
Themajorstepsintheimplementation
1. First thirteen improvement actions and fifteen Quick Wins were selected by voting at the
prioritisation seminarafter theCAF self-evaluation,wherea clear strategywasan issue to tackle(sub-criteria 2.1. Gather information on the present and future needs of stakeholders aswell asrelevantmanagementinformation).
2. A strategic seminar was organised to tackle several issues that were on the CAF to-do list. Thefollowing itemsresultedfromtheseminar(sub-criteria2.2.Developstrategyandplanning,takingintoaccountthegatheredinformation):
• Anewstrategy,visionandmissionstatement,accompaniedbyacomprehensivebasis for the
fourvaluesoftheorganisation.
• AnewHRstrategy.
• Anewintegrity,wellbeinganddiversitystrategy.
• Anewcommunicationplan.
After the seminar, the following projectswere initiated to support all of the above-mentioned items(sub-criteria 2.3. Communicate and implement strategy and planning in the whole organisation and
reviewitonaregularbasis):
• After having set up the strategic plans, the operational annual plans for all above-mentioneditemswereclearlysetup.
• Unfoldingthefourvaluesinalllayersoftheorganisation(avaluebarometer,actionplans,…).
• Therevisionoftheprocesscascadefortheneworganisationalstructure.
• Anefficiencyprogramme(2015-2016):throughthirteennewprojectsthesearchbegantomake
the current workflow more efficient than before. Key elements of this programme are:streamlining the current workflows, handle peaks in workload through teamwork, outsource
severaltasks,digitalisationgandautomation.
• New changes to the organisational structure (one year after the merger) that make sure
workflowprocessesareallocatedmoreequallyandcorrectly.
Therolesandresponsibilitiesofthemajoractorsinvolved
All below-mentioned groups have the responsibility to become an ambassador of the results and toworktogethertocreateagoodcommunicationflowtoallemployeesandthetargetaudience.
33
Thefollowingrolesareacknowledgedtofollowinggroupswithintheorganisation:
• Topandmiddlemanagement:deliveramissionstatement(purposeoftheorganisation).Theyare fullyawareofpolitical stakes, interestof the stakeholderandemployees.Theseelements
arecapturedinthestrategicexercise.Thisgrouplooksstrategicallyahead.
• Operationalmanagers:theytakeintoaccounttheinterestoftheemployeesandthecustomer
forthestrategicexercise.Theyhavetheclearestviewonspecificrealisations.
• Experts: theyput forward sufficient (background) informationabout theirexpertiseandapply
thiswhennecessaryduringtheexercise.
• Dynamicvolunteers:theycontributeinaclear,critical, innovativeandcreativeway.Theydare
toaskscriticalquestionstothemanagement.
Thecriticalsuccessfactors
Forthisprojectthecriticalsuccessfactorswere:
• Sufficientownershipandinterestoftheemployees.
• Gettingthebuy-inofthepoliticalstakeholdersatdifferentlevelstogothroughwiththiskindof
exercise.
• Theallocationofresourcesandpeoplefortheexercisebythemanagement.
Themajormistakesmade
Thestrategicexercisecoveredmostaspectsthatneededtobetackled.Howeversomeaspectsweren’tcoveredclearlyorspecificallybecausetheimpactofthoseaspectswereunderestimatedatthetime.
Thishasleadtosupplementaryexercisesafterwardssuchas:
• TheITpolicy:athoroughassessmentprovidedthefoundationofanITpolicythatmatchedthe
headlinesofthenewstrategy.
• Thepolicyonknowledgemanagement/studies:thisaspectwasn’ttackledsufficientlyduringthe
strategicexerciseandnegotiationsanddiscussionsareaheadtodoso.
Thelinkofthegoodpracticewiththeimprovedresults
Thefivecriteriaoftheenablersshowusagoodlinktotheimprovedresults.
• In the field of ‘Leadership’ we noticed that afterwards it was more clear which way theorganisationisheading.
• In the field of ‘Strategy and Planning’ most aspects were strategically aligned which has a
positiveimpactonamorelogical,operationalplanning.
• In the field of ‘People’ involvement,motivation, a broader versatility of personnel, a newHR
policy(coachingleadership,talentmanagement,flexibility,…)wereelaborated.
34
• In the field of ‘Partnership and Recourses’ we have the IT-digitalising and the search forefficiencygains.
• Inthefieldof‘Processes’wehadanentireprocessrevisionafterthestrategicexercisetodesigntheexistingprocessesmoreclearlyandefficiently.
3. Description of the prioritisation approach that led to the chosenproject
The CAF exercise of the Department of Agriculture adn Fisheries took place in 2014. The group ofrepresentativesconsistedoffoursubgroupsofwhichtwoofthemwerefullycomposedofvolunteersof
theentireorganisationfromdifferentlayersoftheorganisationalstructure.Thethirdgroupconsistedofthetopmanagementoftheorganisation.ThefourthgroupconsistedofvolunteersfromtheHR-servicecentre.
FirsteachsubgroupwentovertheCAF-modeltoanswerallthequestionsthatwerenecessarytotackle
all obstacles and uncertainties along the way during the CAF-exercise. They were called consensusmeetings,wherediscussionsleadthewaytoconsensus.Notallideasmadeitattheend,butoveralltherepresentativesagreedonwhichitemswerechosenbythegrouptogetthroughtothevotingsession.
AlargeadditionalworkshopforallrepresentativeswasorganisedinJanuary2014toselectthepriorities
for theorganisation.Usingavotingsystemallowingeveryone toparticipateandgiveargumentsgavelifetothefinalactionplanwhichconsistedofthirteenimprovementinitiatives(ninefor2014andfour
for2015) and sixteenQuickWins.Becauseof thearguments thatweregiven, several piecesof inputcouldbeclusteredtooneimprovementactionandsentenceswerefine-tuned.
Themanagementitselfwasfully involvedduringtheprioritisationprocess.Afterthesummarywassetup,subsequentlythemanagementwasbriefedaboutthisprioritisationprocessandthedecisionsthat
weretakenduringtheprocess.Thechoiceofanewoverallstrategybecamethetoppriorityprojectofthedepartmentfrom2014onwards.
PicturesCAFexcercise
35
Belgium
Case:AqualityapproachfocussedoninternalandexternalcommunicationintheHauteEcoleofHainaut
HauteEcoleenHainaut(HEH)Belgium
BéatriceLoirE-mail:[email protected]
Sectoroftheorganisation:Education:HigherEducation
TheHaute Ecole enHainaut (HEH) is a public university college providing courses and training in theareas of Science and Technology (Bachelor and Master degrees) and Human and Social Sciences
(Bachelordegrees).Over3000studentsattendtheHauteEcolelocatedinWallonia(MonsandTournai)in4campuses(Engineering,Educational,EconomicsandSocial).Thereare350teachingstaffmembers.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:2.3Communicateandimplementstrategyandplanninginthewholeorganisationand
reviewitonaregularbasis
1.Descriptionoftheimprovedresult(s)oftheorganisation
OurUniversityCollege,theHauteEcoleenHainaut(HEH)isaCAFuser.WeadoptedtheCAFasabasereference standard in 2008 andhave realised since then two self-assessmentprocesses. Theuse andimplementation of the CAF model has led to improvement actions and internal as well as external
contributionsinbetterperformance.TheCAFself-assessmenthasbeenrealisedattheinstitutionallevelandwasledbytheQualityCommission.
As shown in Figure 1, the Quality Commission is the central actor of the CAF process. A continuousimprovement of communication skills and strategy has led us to promote a culture of quality in the
educationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellastheteachers,administrativestaffandworkersoftheHEH.
36
Figure1:ActionsprocessedbytheQualityCommission
Communication and monitoring (with timeframe) are important in management. A selection of
improvementactionsandresultsfor‘Communicateandimplementstrategyandplanninginthewholeorganisationandreviewitonaregularbasis’issummarisedinTable1.
Table1:Selectionoftop5actionstoimprovecommunicationskills
Natureoftheimprovementactionsfrom2013 Resultsoroutputs
CreationofCommunicationDepartmentandhiringacommunicationofficer
Supportandorganisationoftheinternalandexternalcommunication
Creationoftheannualcommunicationplan
Updatingoftheannualcommunicationplan
Improvementofthecommunication(evolutioninFigure2)
EnhancementoftheHEHvisibility
ElaborationanddiffusionofaQualitycharter SharedreferenceinAgencepourl'évaluationdelaqualitédel'enseignementsupérieur(AEQES)assessment;self-awarenessofeachitem(inprogress)andselectionofKPIs
Websitedevelopmentandsharingofinformaticstools
HEHWebsiteforexternalcom;commonuseofExtranetandtransitiontoMoodleplatform(cfr.infra)forinternalcommunication
Informationsession/CollaborativeworkCom-Informatics
Follow-upwiththeacademiccommunity:eventsNewslettersandQualityserviceNewsletters
37
As already reported in the previous CAF Education Research Report 2014, ‘people’ are an importanttarget: good communication about the strategy and the on-goingmonitoring are significant for staffmotivationandsatisfaction.TheQualityCommissionalsoactedtocentralisetheimprovementactions,
astheelaborationanddiffusionofaQualitycharter.
To improve our actions, we realised an annual survey about the HEH advertising and visibility.Weanalysed itwiththefollowingquestion: ‘Howdoyoungpeopleget informationaboutour institution?’Basedontheresults,wehavebeenandarestillselectingthebestadvertisingcampaignsinrelationwith
student’sinterests.
Thesurveyhelpsusunderstandhowstudentsget informationandhowtheyget intouchwithus.Wehave therefore adaptedourpublications andbookedonline advertisingondifferentmediaproviders.Forexample,webookedanonlineadvertisingcampaignontwofamousonlineradios(PureFM,NRJ).
Table2a:Identificationofthebestmediatotargetaudienceduring3academicyears(in%)
Media 2013-2014 2014-2015 2015-2016
Internet 87 85 88
SocialMedia 49 37 43
TVandradio 44 38 38
Table 2b: Identification of communication channels to collect information during 3 academic years(in%)(--:resultsnotavailable;*:surveywithlimiteditems)
Channels 2013-2014 2014-2015 2015-2016
Explanationsonthewebsite -- 55 52
Wordofmouth 70* 26 30
Leafletsandfolders -- 12 15
Theseresultsshowthatwecontinuouslyneedtofollowtheevolutionofusedcommunicationchannels
totargetouraudience.
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2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Apositionwasopenedin2013inordertodevelopcommunicationskillsandstrategyasaresultofoursecondCAFself-assessmentprocessin2012.TheCommunicationofficerhas3tasks:
1. Internalcommunication
2. Externalcommunication3. Networkingandevents
Figure2:TasksofCommunicationOfficer
ImprovementoftheCommunicationstrategy:evolutionoftheannualCommunicationPlan
We write an annual Communication Plan with all the events and planned projects in June. TheCommunicationOfficerpresentsallactivitiesplannedmonthbymonthforthenextacademicyear.
Moreover, the new communication developments on promotional material, partnerships, events,writingandadvertisingareintended.
The Management Board (Authorities of the HEH) validates this Communication Plan before eachacademicyear.Itcanbeadaptedduringtheacademicyearasregardstotheneedsoftheinstitutionandnew happenings. Sometimes, some interesting promotional offers can also lead to adaptations,
repositioningandprioritisation.
Internalcommunicayon
Networkingandevent
Externalcommunicayon
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Figure3:EvolutionoftheannualCommunicationPlanfrom2013-2014until2016-2017(4yearsperiod)
TheHEHcentralisestheexternalcommunicationforStudentandEducationfairsaswellasinformationsessions.TheCommunicationOfficegivesinformationtoteachersbye-mailabouttheirparticipationin
StudentandEducationfairs,presentationandsessions.The collaboration with the IT team is essential for the dissemination of information via our website
www.heh.be, including thepresentationof coursesprogrammes.Briefings areorganisedona regularbasis.AframeworkhasbeenestablishedtocontactanyITmanagers.
Communicationimprovement&enhancementoftheHEHvisibility
We improved the HEH visibility with the use of a new logo. The old name was too long and theauthoritiesdecidedtouseanewname:HauteEcoleenHainaut(HEH).Since2013,wehavedevelopedthegraphiccharterandcreatedacompletelynewchart for internalandexternalcommunication.We
haveadaptedadvertisingmaterialinaccordancewiththenewgraphiccharter,i.e.presentationleaflets,signageofthestandforfairsandsignposting,etc.
Moreover,othernewlogoswererethoughtfortheHEHdepartmentsincludingtheQualityDepartment(Social Department, Academicachievement support Department, ...). This is the visible part of thedevelopmentofourstrategyincommunication.
Fromtheacademicyear2015-2016on,theHEHorganisesinSeptemberforthenewlyhiredstaffahalf-daysessiontopresenttheinstitution,thequalityandtheCAFprocess,thedifferentDepartmentsand
contactpersons(accounting,humanresources,IT,…).
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ImprovedcommunicationforStudentandEducationfairs
The HEH takes part in several fairs in Belgium and France. The Communication Department informs,invites and centralises the participation of the academic and administrative staffs during the events.
Onceayear, theCommunicationOfficerorganisesadebriefingmeetingwiththepeople involved.Weanalysewhatcanbeimprovedandwhat isalreadyefficient in logisticsandorganisationofstudyfairs.Thismeeting is useful to notice key points and improveweak points. For example,we could set the
orientationofopenclasses,planscheduleddatesofevents,editnewbrochures,improvelogistics,etc.
Anotherpriority:InternetsitedevelopmentandsharingofITtools
ThewholeacademiccommunityofHEHrequiresasolutiontomanagefiles.TheITteamhasdeveloped
aspecifictoolonInternettomeetthisneed:‘theExtranet’.It’saspecificareaforauthorities,differentdepartments and students. Teachers and peopleworking in the institution can put on and downloadfiles.Studentscanjustdownloadfilesandtakepartinsurveysandteachingassessment.Itallowsusto
haveinformationandabettercommunication.
Moodle’sdevelopment
Theadvantagesofdigitaltechnologyhavecreatednewtechnologiesofinformationandcommunicationtools in the educational landscape to practice newways of teaching and learning.One of thewidelymethodsofteachingconsistsintheuseofteaching-learningplatforms.
In2010,HEHselectedanonlineteaching-learningtool,‘Claroline’,todevelopadigitalpedagogy.Aftera
fewyears,thechosenplatformhasprovedtobeusedmoreasadeviceforonlinecomputerresources.
The integration of digital technologies and pedagogies must be defined as well as necessaryorganisationalsupportstructures.However,allstaffdidnothavethenecessaryskillstosuccessfullyuse
these new technologies and incorporate them into courses. Moreover, the design of the ‘Claroline’platformdidnotstimulatethem.
Lastyear,in2015,HEHdirectedacrossanewplatform:‘Moodle’(acronymforModularObjectOriented
termDevelopmentalLearningEnvironment)withdifferenttoolstoimprovesocialinteractionsbetweenstudentsandteachersandmotivationstolearnandboosttheeducationalprocess.Thisallowsteacherstocreatecourseswithresources,registerstudents,createtheirprofiles,createwebsitesanddiscussion
forums, post educational material, create student groups, create quizzes,… With these applications,‘Moodle’ combines the presence of students in the school environment during class hours with thepossibilitytocollaborateoutsidestudyareasatatime.Ofcourse,thecompletionoftechnicaldevices
(Wi-FiaccessintheCampus)isprovided.ThisstepisessentialfordevelopingthedigitalapproachinourUniversityCollege.
A workgroup composed by computer experts supported Moodle’s implementation. They created a
guideandtrainingsto initiateandtrainthe interestedteacherssothattheycanusetheplatform.In the workgroup, there were also teachers who tested the platform tools and established courses.Aprogrammeoffurthertrainingaboutspecificpedagogicapproachesforteacherswillbeproposednext
year.
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3. Description of the prioritisation approach that led to the chosenproject
The‘EffectiveCAFUser’awardin2014ledtoastrategywithanupdatedplanfor2015-2016.TheCAFself-assessmentprocessallowedus to selectareasof improvementand todevelopour ‘prioritisation’
approach.Ourstrategicplanincludedin2013severalactionsatthelevelofthecommunicationsuchas‘improvethevisibilityandimageoftheHEH’or ‘improvethecommunicationstrategytoallstaff’.Theself-assessment report in 2014 led to an updated plan with new actions and specific objectives for
internalandexternalcommunicationstartingin2015.Thedecisionmakingonthisnewactionplanwastheresultofaninvolvementofallstakeholdersintheself-assessment,includingtheselectionofcriteriaand the choice of actions. This prioritisation methodology involves a participative management, the
QualityCommissionandtheauthorities.
Moreover,wehadtoimplementanewpublicpolicyoneducationandtomanagetrainingprogrammes.The introduction of specificmanagerial practices depends on choicesmade in concertation with theauthorities(StrategicPlan)andrelativetothefinancialcapacitiesoftheUniversityCollege.Acontinuous
improvementofthecommunicationskillsandstrategyleadstothepromotionofacultureofqualityintheeducationandtraininginstitution.Ittargetsthefuturestudents,learnersandgraduates(alumni)aswellasteachers,administrativeandworkeremployeesoftheHEH.
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Estonia
Case:ContinuousImprovementoftheMinistryofFinance
MinistryofFinanceofEstonia
KerstinLaidmäeQualityManager
Tel.:+3726113757E-mail:[email protected]
Sectoroftheorganisation:Customs,TaxesandFinances+Regionalandlocaladministration
TheMinistryofFinanceofEstoniaisthegovernment´scentreofexpertiseintheimplementationoftax,financialandfiscalpolicies,andsettingeconomicgoals.Besides,MOFisanactiveplayerincoordinating
strategicplanningforallareasof thestate–settingthegoalsandplanningresources forcarryingoutactivities inpublicpolicyareas.MOF´smain servicesor activities areplanningand implementationofthestate’sfiscalpolicy;statebudgeting,planningtaxandcustomspolicy;financialandinsurancepolicy,
public administration, state assets, state treasury, coordinating the aid available to Estonia, spatialplanning, regional planning, developmentof local governments and regional administration.MOFhasbeen responsible for services such as personnel policy of state, public procurement policy and state
accountancy,nowbeingintegratedtothenewStateSharedServiceCentre.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criteria1.2,1.3and1.4Criterion2:StrategyandPlanning,sub-criterion2.2
Criterion3:People,sub-criteria3.1,3.2and3.3Criterion4:PartnershipsandResources,sub-criteria4.1,4.2and4.4Criterion5:Processes,sub-criterion5.2
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2.Descriptionoftheimprovedresult(s)oftheorganisation
First,itisnoteworthythattheMinistryofFinance(MOF)hasahistoryofself-assessmentfromtheyearof2002,andthereforewehavebeenliterallymovingonaroadofcontinuousimprovementfor14yearsalready.NootherministryorgovernmentagencyinEstoniahasbeendoingitforsuchalongperiod.
In order to make a better point on results and approaches that have been the most important forEstonia and MOF during the recent years, we have decided to concentrate on the three latest
assessmentsandchangesduringtheperiodof2009-2014.Wefocusonthe improvementsconcerningresults of citizens and customers (criterion 6) rising from 14 points (2009) to 37 (2014) and on thepeopleresults(criterion7),whichhaverisenfrom38(2009)to45(2014)accordingtotheCAFscoring
methodology.
ResultsofCriterion6(Citizens/Customers)
MOFhasatwo-foldapproachtoitsclients.First,tobetterdevelopitsprocessesandservices,wehave
been concentrating on asking feedback from the organisations who are directly customers or areaffectedbytheMOF`sactivities,thosearemainlyotherministriesandgovernmentagencies.Second,amore comprehensive approach is to consider entrepreneurs and third sector organisations as our
interest groups and media as an important interest group for mediating and developing MOF´sreputation, allowing better and more effectively to execute our policies. Both approaches areelaboratedinthenextsections.
Underthecitizens/customersrelatedresultscriterionwehavebeenmeasuringthesatisfactionlevelofclientsconcerningoneofMOF`scoreprocesses,thebudgetprocessandit´ssubprocesses.
Theresultsof2010incomparisontothoseof2009showedaremarkableincreaseinratingthebudgetprocessasawhole(from3.37to3.61ona5-pointscale)ledbytheMOFandalsoinmostsubprocesses
(e.g. budget implementation from 3.57 to 3.86; strategical planning from 3.15 to 3.67, except forcompilationofeconomicprognosis,whichstayedatthelevelof3.38points.
Feedback from clients concerning the budget process was also collected in 2012 and 2013, but themethodologywaschangedinthemeantime.In2012,90%oftheclientsregardedthebudgetprocessas
a whole ‘good’ or ‘very good’; the percentage was 88% in 2013; we consider the 2% decline as amarginalone.
Second,fromtheyear2014wemeasureclients´satisfactionwithseveralE-systemswhichhelptheMOFtocarryout itsservices.Thefour included inthesurveywereProcurementRegister (RHR),E-Treasury(e-Riigikassa),anE-systemforapplyingfundingfromEUStructuralFunds(SFOS)andPropertyRegister
(KVR).Thefirsttwoscoredquitehigh-averagesof7.58and7.17ona10-pointscale-butthePropertyRegister received 5.67 and the SFOS 5.43 points. Analogous research using the samemethodology isgoingtobeexecutedinfall2016.
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Figure1:Clients'satisfactionratewithMOFe-servicesin2014
Third, we present the results concerning MOF´s reputation and the availability and adequacy ofinformation as valued by journalists and other partners by the example of MOF`s public websitehttp://www.fin.ee.
The opinions of partners and media over MOF's general reputation were collected through auditingprocessusingthesamemethodologybothin2008andin2011.Itappearsthatwhenin2008therewere
60%ofrespondentsevaluatingMOF'sreputationas‘good’or‘verygood’(markedblueonthefollowingscheme), it had risen up to 65% in 2011, while the rate of respondents scoring the reputation as‘satisfactory’(markedredonthescheme)(35%)in2008wasloweredto30%in2011.Thelevelofnon-
satisfactorypartnersormediaremainedonalevelof5%.
Figure2:EvaluationsofpartnersandmediatoMOF´sreputation
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ThetermsusedbypartnersfordescribingMOFmostoftenwere‘reliable’and‘competent’.Aregularsurveyonpublic sectororganisations` relationshipwithmediahasbeencarriedout in2008,
2010 and 2013 by a sociological research company. The results showed that while in 2010 MOF´swebsite was evaluated as highest among all the websites researched (first position among 14 otherministriesandstateagencies),in2013thescoresbypartnerswerelower,sothatMOFwaspositioned
9th,stillremainingslightlyhigherthanaverage.Thoseresultshavebroughtouttheneedforcontinuousimprovement,sothatin2014therewasacommunicationauditplannedandcarriedout.AlthoughwecouldnotusetheresultsduringtheCAFassessmentprocessin2014,theresultsrevealedthatpartners
consider MOF as providing reliable and relevant information, but wider public opinion sees itoccasionallytoocomplicatedand‘speakinginfigures’tounderstand.Itwasalsosuggestedtowidenthespokespersons`circleandtousedifferent,additionalchannelsforsharinginformation.
ResultsofCriterion7
MOF has been consistent on implementing regular personnel surveys, monitoring satisfaction ratesconcerningorganisation leadership,processes, getting insightonhowcoreand supportprocessesare
evaluatedandindividualsatisfactionwiththejob,andrelatedissues.The resultsof 2008, 2010and2013 surveys canbepresentedasevaluatedduring the last, 2014CAF
assessmentprocess.Therewasapersonnel surveycarriedout in2015aswell,butas ithasnotbeentaken into account during the CAF assessments, we have to exclude the results of the last one. Thescores have been given on a 5-point scale and the methodology (propositions) has been the same.
Participationratehasbeengrowingthroughouttheyears:74%in2008,80%in2010and85%in2013.
Figure3:OverallsatisfactionratewithMOFasanemployer
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Theoverall satisfaction levelwithMOFasanemployerhasbeenslightly rising (from3.9 to4.0) since2008to2013,whichhasbeenthetargetaswell.Attitudestowardsreadinessofleavingtheorganisation(‘Idonotthinkaboutleaving’)hadaremarkabledeclinein2010(3.7)incomparisonto2008(3.4),buta
slightrisein2013(3.6).AwarenessofMOF´sstrategicalgoalshasrisenfrom3.8in2008upto4.1in2010andstayingthesame
in 2013. Satisfactionwith self-fulfilment, career andmotivational opportunitieshasbeen3.9 in 2008,but loweredto3.8 inboth2010and2013.Satisfactionwithaccessibilityto informationhasalsobeenrisingsince2008(3.4),being3.5in2020and3.7in2013.
The roleof seniormanagers (permanent secretary, deputyundersecretaries) leading theorganisationand‘leadingbyexample’hasbeenconstantlyrising,from3.5in2008to3.7in2010andto3.8in2013.
Still, thereweresome improvementareasdetermined in2013,whichalsowerereflected in the2014CAFassessment,mostofalltheMOFemployees`viewofMOF´simageandreputation,andsecond,themostusedinformationchannelintranet,whichcollectedseveralimprovementideas.
2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Implementationofimprovementstowardstheclients/citizensdirection(connectedtoresultsofCriterion6)
Duringthe2012assessmentaneedforbetterclarifyingMOF´sinterestgroupswasrevealed.Thereisa
generalunderstanding,bothatpoliticalaswellasmanageriallevel,thatinawidersense,everycitizenofEstoniaisaclientandisentitledtoaskquestionsabouthowstatefinancesareplanned,sothebudgetprocesshastobeastransparentaspossible.ButforMOFasanorganisationweneededtonarrowthe
scope of interest groups in order to know from who are we planning to get feedback. It was alsostressed that it is crucial to set the target levels of satisfactionmeasures and start the regular datacollection.Aservice-basedapproachtoprocesses,especiallywhenpolicymakingisinvolved,isstillquite
achallengeinpublicsector.
Sofirstwezoomedintothepartnerswhodirectlyuseourservices,startingwithe-services.Westartedwithinvestigatingtheclients`satisfactionwiththee-systemsandfrom2014weareabletopresentthe
resultsmentionedinpart2.
The2014CAFassessmentbroughtoutthelackofacomprehensiveconceptconcerningthepartnersandclientsofMOF.Soasanimprovementprojectitwasdecidedtofocusonthepartners'issue.
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Thefirstcommunicationauditthatwascarriedoutin2014wasplannedtozoomintotheresultsofthe2013research,whichshowedadecline inevaluationsconcerningthewebsite informationqualityandaccessibility.Theauditfocusedonreputationandtheinformationavailability-audibilityandreliability-
issues, but had a new view added about which channels are most preferred and why. The results,especially of the qualitativemethods, gave valuable information aboutwhat are the expectations topossible new channels as socialmedia. Based on the audit (46% of respondentswished to getmore
information on fiscal matters over social media) the MOF has developed its Facebook and Twitteraccountsandusesthemsystematicallyforsharinginformation.
In2015apartners'seminarwaslaunchedinMOF.ItsmainaimwastoshowwillingnessonbehalfofthemanagementofMOF(includingtheminister)toanswerquestionsanddiscussopenlyonseveralissues
that might lead to better mutual understanding. Also, referring to the 2012 CAF assessmentimprovementplan,partnersofMOFwerebetterdefined.Wehave takenamorevisibleapproach tohaving good relations with entrepreneurship and their unions, e.g. Estonian Taxpayers Association,
EstonianAssociationofConstructionEntrepreneurship,EstonianServiceIndustryAssociation,aclearerapproach to partners executing regional policy, e.g. Association of Estonian Cities, Association ofMunicipalitiesofEstonia.WealsoconsidercivilsocietydevelopmentasoneoftheaimssupportingMOF
strategies, therefore the partners involved are National Foundation of Civil Society and othernongovernmentalorganisationsandprofessionalandacademicassociations.
Partly going after the improvement decisions set because of CAF, but also following the EstonianMinistry of Economic Affairs and Communications-led project of development of public services, the
MOFhasmappedallitse-servicesanddeterminedtheownersofthesystems.Now,weareworkingonmotivatingtheownerstofullytakeownershipandworkonthepossibilitiesofstartingtomeasuretheclients`satisfaction,fullcostsoftheserviceand,mostchallenging–theefficiencyofthoseservices.We
arestillmovingcautiously,asitisagovernment-levelinitiativeandtheregulationisyettobeelaboratedandsigned.Theoverallideaisofferingasmuchvirtualservicesaspossibleandmakingtheenvironmentascomfortableforclientsaspossible.
The abovementioned practices have improved, as we see it, the results of criterion 6, the results of
criterion7andhasaffected the keyperformance criterion results (criterion9),whichMOFhas set indifferent public policy areas. In mid-term planning level we set certain key performance indicators(KPI`s) in 7 activities areaofMOF, 5 of them in public policy and2 fields aremoreor less aimed for
supporting the policy fields.While assessing the achievement of those KPI`s we do not differentiatebetweenthepolicyandadministrativefieldsandtreatallthetargetsasequallyimportant.
Duringthelast6yearsofimprovements,theservicesofMOFhavebeenclarified,alsohowtheclientsevaluate the systems through which the services are delivered; or how the partners see MOF as a
leadingexecuteroffinancialandbudgetpolicies.Ithasclarifiedhowtosettargetsandhowtoimproveour processes, the latter becoming also more important as the constant pressure towards moreefficiency and cutting down operating costs, including the personnel management costs, is also a
government-levelguidelinetoallpublicsectororganisations.
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It isworthy to stressupon somechanges in theadministrative fieldofMOF thatmostprobablyhavehelpedtoreceivebetterresultsintheclients/citizensview–theformationoftwonewagencieswhichstartedfunctioningfromthebeginningof2012-theInformationTechnologyCentrefortheMinistryof
Finance(aimedatofferingICTsupporttoMOFaswellastoallotherorganisationsintheadministrativefield,likeTaxesandCustomsBoardandtheStatisticsEstonia)andthecreationofStateSharedServiceCenter,withconsolidationofsomesupportservicestothatorganisation.Thelattermeansconsolidating
accounting, personnel administrating processes, procurement etc of all the ministries to a singleorganisationinordertoofferbetter,moreefficientandcompetentservices.Theambitious,butrealisticaimhasbeensetbythegovernmentthattheabovementionedservicesofallthe12ministriesandState
Chancellery have been overtaken by the State Shared Service Centre by July 2017. Those decisions,although made on governmental level and affecting more than just MOF and its partners, haveundoubtedlyhelpedMOFtochangeitselftoamoreclient-focusedorganisation.
Improvementprojectsconcerningpeople(leadingbetterresultsofCriterion7)
Therehavebeenconstantchangesinthepersonnelmanagementovertheyears,mainlyasresponsetotheresultsoftheCAFself-assessments.
If we look at the strategical level, we have elaborated a personnel policy document (first version in
2009),whichisevaluatedregularlyandchangedifneeded.Lastevaluationiscarriedoutatthemoment.In the personnel policy document are statedboth the strategic issues coming from the values of theMinistry–whichkindofvaluesouremployeesshouldhaveaswellasmorepracticalinstruments(salary
arrangements,requirementsonthedifferentpositions,principlesfortrainingsetc).
Asoneof themainareasof improvementhasalwaysbeen theaccessibilityof information,wehavesince2008introducedtheprinciplesfordifferentlevelofmeetings,whichenteredintoforcesincethen.Wehavealsohadseveralprojectstodevelopourinternalwebsiteinordertoimprovetheaccessibility
ofthenecessarydatainthenecessarytime.
We have regularly assessed the salary principles (in the scope which is allowed in law) concerningperformance based pay and changed the system considerably (in 2014). The complicated system ofperformancebasedsalarywaschangedintomoreunderstandablesystemmoredirectlyconnectedwith
exceptionalresults.
Therehavebeen fundamentalchangesalso in the systemofappraisal interviews (conductedonceayear),astheseareamendedwiththecompetencymodel.
In order to rise the quality of leadership since 2005 there have been several trainings for leaders in
differentlevelsofministryandthesearestillongoing.
Therehavebeenseveralotherdifferentscaleprojectsimplementtedinthepersonnelmanagementovertheyears.
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3. Description of the prioritisation approach that led to the chosenproject
Therehasbeenalmost10yearsacertainmethodologyusedforprioritisationinourorganisation,whichwebelievehasworkedverywell.Allimprovementactionshavebeenevaluatedaccordingto3criteria:
impact (whether this activity has impact on thewhole organisation or just a unit etc),urgency (howurgentistheimprovementactivity)andimplementationcosts.Theweighingwasdoneonthescaleof1-3.Theprioritisationhasbeenalwaysdonebythetopmanagementoftheministry(secretarygeneral
and the deputy secretary generals). Of course on the background there has also always been thestrategicviewoftheministryaccordingtowhichthenecessarychoiceshadtobemade.
Also efficiency has been the keyword describing the approach in designing and offering services andexecutingstatepoliciesinallfieldsoftheMinistryofFinance,beitbudgetingortaxpolicyorreforming
civil service and public administration. As Estonia is a small country, workforce is themost valuableresource,thereforecreatingthepossibilitiesforconcentratingmoreoncorebusinessandprocesseshasbeenessentialfortheMinistryofFinance.
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Finland
Case:Target-orientednetworkleadershipofeducationalservicesinthePäijät-Häme
TheCityofLahtiEducationandCulturalAffairsAnjariittaCarlsonDevelopmentmanagerSaimaankatu1115140LahtiTel.:+358503985751E-mail:[email protected]
RaisaKujalaDevelopmentcoordinator
Tel.:+358447161734E-mail:[email protected]
Sectoroftheorganisation:Educationandresearch
Theservicesectorsinmunicipaleducationservicesareearlychildhoodeducation,pre-schoolandbasiceducation,uppersecondaryeducation,libraryservices,sportsservices,youthservices,culturalservices,
andadulteducation.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:1.1Providedirectionfortheorganisationbydevelopingitsmission,visionandvaluesSub-criterion:4.1Developandmanagepartnershipswithrelevantorganisations
1.Descriptionoftheimprovedresult(s)oftheorganisation
The modes of operation differ among the municipalities in the network, which are heterogeneous,independent, and of various sizes. Active development of network-based collaboration steers thedevelopment of service processes in amutually selected direction. In particular, the development of
mutual collegiality among themembers of the development groups engaged in expert duties in thevarious service sectors in their respective municipalities, discussions over practices in the various
municipalities, andmutual sharinghavepromotedharmonisationof serviceprocesses. There is still alongwaytogo,butthedirectionisright.
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LahtiCityLibraryThecoherent,customer-orientedharmonisationofinformation and library services throughout thePäijät-Häme region is a tangible result of network-
based collaboration. The municipal service sectordatabaseshavebeenpooled,anduniformfeesandcharges have been introduced throughout the
municipalities. Residents of Päijät-Häme can nowusethesamelibrarycardinalltheregion’slibrariesandborrowbooksonlinefromanymunicipality.
In addition, uniform service strategies have beenintroducedforpupilcareandcounselling,aswellas
for complementary training of teachers in all themunicipalities.
The points scored in the CAF assessment for the first section, Leadership, sub-criterion: 1.1 Providedirectionfortheorganisationbydevelopingitsmission,visionandvalues,cameto2.8.Thankstotheproject,thescorefortheLeadershipsectionimprovedfrom2.8to3.5inthe2014assessmentaccoring
totheoriginalscoringpanel.The network-based approach involving central operators from different municipalities in the same
serviceprovisionchainandunderthesamedirectionhasturnedouttobeawell-functioningmethodofcollaboration. The proposed measures affect all profit centres, customer scores, staff scores, socialresponsibilityscores,andessentialperformancescores.Moretimeisneededtoimprovetheoperations,
because of the extent of the area,variation in the service processes, andthe large number of operators. The
scores for this assessment remainunchangedforthetimebeing,at2.7.
0
0.5
1
1.5
2
2.5
3
3.5
4
CAFpoints2013-2015
2013
2014
2015
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Importantinthiskindofcooperationisthattheinteractionbetweentheactorsofthesameprofession
indifferentmunicipalitieshas increasedwhile theyareworkingwith improvements in thedevelopinggroups.
Municipalities have also uniform common agreements with mutual invoicing, for example when thepupilgoestoschoolindifferentmunicipalitythanwherehelives.
The steering group decides each year together on common teachers- and student’s working- andholidayperiodswhicharethesamethroughouttheregion.
2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Theoverallobjectiveinadoptionofthenetwork-
basedcollaborationwastoimprovethequalityofthe operations. Our mutual vision ‘Päijät-Hämeas the spearhead of education and culture’
outlines the mutually desired direction for thecollaboration. The vision requires continuousimprovement of municipal cultural and
educational services because the residents’needs and the operating environment arechanging continuously. The development
measures implemented jointly in thecollaboration network must be in line with thevision.Thevision,basedontheoperationofthe
53
collaboration network, does not conflict with the visions of individual municipalities in the network,because the collaboration is aimed at improving the provision of municipal educational and culturalservices together. The municipalities agreed on mutual collaboration in the network through a
collaboration agreement that also received a mandate from the political representatives of therespective municipalities. A mutual operation system for the collaboration network was created toensure successful collaboration and to focus the development measures. The steering committee’s
annual self-assessment as an essential part of this system. The steering committee controls theoperationofthedevelopmentgroupsrepresentingvarioussectorsineducationalandculturalservices,anditmonitorsthecompletionofprojects.Theoperationsystemdefinesthe interactionbetweenthe
steeringcommitteeandthedevelopmentgroups.
Thenetworksleadershipdevelopmentwasthefirstpointofattention
Attheoutset,theoperationofthesteeringcommitteewasinefficientwhencomparedtoexpectations.
The members of the steering committee are directors of educational and cultural affairs from each
membermunicipalities,sothattheCityofLahtihastwomembers,becauseofitslargesize.Thesteeringcommitteeisestablishedin2009.Thecommitteemakespoliciesincommonimplementationplansandsharetheresponsibilityforcarryingouttheprojecttotheeachselecteddevelopmentgroupdepending on the context. The steering committee has a timetable and a year clock. Themembersmeet everymonth,excludingJuly,whichistheholidaymonthinFinland.
Themembersofthesteeringcommitteearebusydirectorsanduniquepersonalitieswithmanyironsinthefire.Someofthemparticipatedinsteering-committeemeetingsonlysporadicallyandinformoftheir
absenceatthelastminute.Themeetingdocumentsandtheirattachmentsweresenttothecommitteemembersbyemailaweekbeforethemeeting,butsomeofthedirectorsdidnotstudythedocumentsin
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advance. Some did not study the meeting minutes properly either. Breakdowns in communicationoccurred in individual municipalities, and the information about steering-committee decisions neverreached the personnel engaged in the actual service provision in some municipalities. Therefore,
clarificationoftheroleofthesteering-committeemembers(directorsineducationandcultureservices)as themost importantoperators in theregionalcollaborationnetworkwas identifiedasan importanttargetofdevelopment,withtheaimofsuccessinthedevelopmentofmunicipalserviceprocessesand
harmonisation of service production as intended. The directors' personal performance is key tocontinuous improvement of the results of the regional collaboration, particularly with respect tospreadingawarenessofthemutualvisionandtheobjectivesfortheservicestrategyandoperationsin
theorganisationintheirrespectivemunicipalities.
An action programme was drafted in order to improve the results for the Leadership section andimplemented in the course of 2014. As a mechanism for improvement, a regular schedule and setduration for themeetings were agreed upon. In addition, themeeting schedulewas entered in the
directors’calendarsinadvance.Thesteeringcommitteealsoagreedonadeputationsystemwhereinadeputyisappointedforthedirectoroftheeducationandcultureservicesofeachmunicipality.Shouldthedirectorbeunabletoattendthemeeting,thedeputyisobligedtoparticipateinstead.Thisensures
that each municipality remains fully informed about what is discussed and decided by the steeringcommittee.In2014,themeetingsalsoaddressedcommunicationgapsandtheproblemstheycauseforinteraction in themunicipalities. These too turned out to be critical success factors. In addition, the
committeeagreedthateachpersonparticipating inthemeeting(directorordeputy)shallensurethatthediscussionoutputfromthemeeting(i.e.theagenda)willbediscussedbytheadministrativegroupofthe educational and cultural department in each municipality and passed on to the appropriate
committees(politicaldecision-makers)inthefuture.Asharedonlinedatabankwascreatedforstoringthemeetingdocumentsandmaterialsproducedby
thedevelopmentgroupsinordertoprovideequalaccesstothemeetingdocumentsandmaterialsforeverybodyappointedasanoperator in thecollaborationnetwork inanyof themunicipalities.All therelateddocumentsandminutes, includingtheirappendices,arestoredinthedatabankaweekbefore
themeeting, and separate email messages regarding them are no longer sent. This system, createdjointly and known to all parties, now forms the core of the network operations. Commitment to itcreatesabasisforself-assessmentandcontinuousimprovementofserviceprovision.
PartnershipsandResourceswasanotherimportanttargetfordevelopmentofthecollaborationofthesteeringcommitteefor2014,agreedupononthebasisoftheCAFassessmentin2013.Sub-criteron4.1
Developandmanagepartnershipswithrelevantorganisations.Allmembers of the steering committee are responsible for the provision of educational and cultural
servicestotheresidentsintheirrespectiveareasinthenetwork-basedcollaborationmodel,subjecttothelegislationgoverningallmunicipalitiesalike.Theservicesectorsinmunicipaleducationservicesare
earlychildhoodeducation,pre-schoolandbasiceducation,uppersecondaryeducation,libraryservices,sports services, youth services, cultural services, and adult education. Each municipality has anorganisationwithamanagerappointedforeachoftheservicesectors,workingunderthedirectorof
55
educationandcultureservices.Developmentofoperationsineachofthesectorshasanimpactonhowwellthemutualobjectivecanbeattained.
At the outset, for some of the service sectors, there were peer groups covering the collaboratingmunicipalities,whosememberswereresponsibleforsimilaroperations.Meetingstookplacearbitrarily,convenedbydifferentpeople.After learningthatthemutualcommunicationamongcolleagues inthe
various municipalities worked well, the steering committee found it appropriate to strengthen itspartnerships inorder tomanageanddevelop them.Asamechanismof improvement,alleducationaland cultural services sectors received equal opportunities to share good practices and develop their
operations by learning among peers. Each of the groupswas named asa development group for itsrespectiveoperatingarea,forharmonisationoftheoperationsanddescriptionoftheoperationoftheexpert groups consisting ofmanagers from the variousmunicipalities. The director of education and
culture services in eachmunicipality enabled operation of the development groups by allowing theirmembers to allocate working hours for operating in the regional network. The entire developmentnetworksystemwasorganisedunderthe leadershipofthesteeringcommittee.Atthemoment, the
steering committee assigns tasks (development projects) to the development groups in order toharmonisestaffskillsandserviceoperationsamongthemunicipalities.Thepurposeofthedevelopmentgroups’ work is to improve the quality of service in their respective sectors. A set of consistent
guidelineswascreatedfor thedevelopmentgroups,whichwasdiscussedatameetingofeachgroup.The guidelines were also made available in the operation system. The meeting practices wereharmonised, and a chairperson, in charge of drafting and implementing the annual action plan, was
appointedforeachdevelopmentgroup.Thesteeringcommitteeisinformedoftheactionplans.Inordertofacilitateinteractionbetweenthedevelopmentgroupsandthesteeringcommittee,acontactpersonhasbeenappointedforeachdevelopmentgroup,toserveasa linktothedevelopmentgroupswithin
thesteeringcommittee.Allmembersofthedevelopmentgroupcanusetheonlinedatabankusedforstoringallthematerialcreatedduringthecollaboration.
Participation of the appointed experts in the network meetings and in implementation of mutualdevelopment actions in the municipalities or introduction of mutual practices in the improved andstreamlinedserviceprocessesisacriticalsuccessfactorintheoperationofthedevelopmentnetworks.
Anyconflictsorsuggesteddeviations fromtheagreedpracticesaretobebroughtbeforethesteeringcommittee,asagreedwithin thenetworkoperationsystem.All themunicipalities in thecollaborationnetworkarecommitted to thecollectivedecisionby the steeringcommittee,which is final (abinding
agreement).
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3.Theorganisationmodel for thedevelopmentof quality in themuni-cipal collaboration in Päijät-Häme and the selection, implementation,monitoringandevaluationofimprovementactions
The independent municipalities inPäijät-Häme, of many sizes, have
been collaborating in order todevelop educational and culturalservices since 2006. The directors
have worked to a great extent ontheirownwithissuesandchallengessimilar to those in theneighbouring
municipalities. Mutual collaborationhasprovidedsupportfortheworkofindividualdirectors.
Thesteeringcommitteecompiledan
overview before the first CAFassessment, analysing not just the
mutualvisionbutalsopartnerships,customers,mutualcoreprocesses,financial instruments,available
resources, and the operating environment. The steering committee also analysed the strengths andweaknesses,opportunities,andrisks(threats)ofthecollaboration.Theoverviewwasthebasisforself-assessment.Thenetwork’soperationalsystemhasbeenbuiltonthebasisoftheCAFareasofoperation.
Using the assessment tool has led tomutual understanding that all the areas of operation affect theoverallresultsandthat,foroperationstoimprove,itisnecessarytodevelopallofthem.Also,theCAFhasmadecollectionoffeedbackfromstaffandresidentsmoresystematic.
The network operations are co-ordinated by two persons, whose views have perhaps had the most
impactonusingtheCAFasatoolofself-assessmentinthenetwork.Thedevelopmentmanageractsasthepresenterofthenetworktothesteeringcommittee,andherexperienceandexpertise(MasterofQuality) convinced the steering-committeemembers of the benefits of applying the CAF approach in
network-based operation. The steering-committee members had very little experience with self-assessmentwhen it began.Only the basic education sector had self-assessment recommendations inaccordancewith theCAF for assessing theoperationof schools. In thedevelopment network, all the
municipalitiesintheareaadoptedtherecommendations,sotheeducationsectorhasgainedexperienceinusingtheCAF.Anotherobjectiveofthenetworkco-ordinatorshasbeentoexpandtheuseoftheCAFmodel in municipalities and in other service divisions through the experiences of the director of
educationandculturalservices.
The suggestions for development collected in the CAF assessment report will be thematised intoentities, and the steering committee will select the targets for development for the next year. Thetargets for development will be prioritised on the basis of which area has the most room for
improvement,asindicatedbytheresultsfromtheself-assessment,andwhichmeasuresareinlinewiththe vision for the network-based collaboration. Public organisations should take into account known
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changesinlegislation,whichcontributetodirectingtheselectionofcertainserviceprocessesastargetsof development across a broad spectrum of cultural and educational services. Renewal of serviceprocesseshasbeenacontinuoustarget fordevelopment inall theself-assessmentsperformedso far.
Theareasfordevelopmentaredistributedamongdevelopmentteams,andanimplementationplanwillbedraftedforthem,monitoredbythesteeringcommittee.Thechairpersonofeachdevelopmentgroupis in charge of implementing themeasures. If public financing is available for some of the areas for
development,itisappliedviaamutualapplicationbytheentiredevelopmentnetwork.
When the steering-groupmembers perform a self-assessment together, they also stop to review theoperational entity, identify targetsof development together, and commit to theobjectives theyhaveset.Theresultswithnetwork-basedcollaborationhavecontinuously improved inquality,eventhough
thisworkhasbeentakingplaceforjustashorttime.
The CAF self-assessment was introduced as an essential element of operations only in 2013. It waspreceded by quality- and development-manager training targeted at the needs of the steering-committee members, with the aim of increasing their quality-awareness and development skills.
Understandingthepurposeoftheassessmentinthesamewaywasessential,andsowasunderstandingits role in planning the development of operations. Adopting a uniform quality language and sharedconceptswasalsokey.AsectiononusingtheCAFtool forself-assessmentwasaddedtothetraining.
The first CAF assessmentwas included in the steering committee’s annual action plan, and timewasallocated for the self-assessment process in the steering-committee’s meeting calendar. The self-assessmentwascreated inaccordancewithCAFcriteria,butquestionswereedited tobetter suit the
network-basedoperatingmodel.
To facilitate realisation of the vision of the collaboration network, amutualWeb-based assessmentsystem was created in parallel with themutual operation system, with a scheduled implementationplan.Aseparateexpertgrouprepresentingthevariousmunicipalitieswascreatedtoassessthesuccess
ofthedevelopmentmeasures.Thegroupisinchargeofperformingassessmentsfortheagreedsubjectareasandofgatheringfeedbackforthenetwork’ssteeringcommittee.Theassessmentgroup(ARVO)drafts the assessment questions in collaboration with appropriate representatives from each service
sector to be assessed, usingmutual criteria that take into account the special characteristics of eacharea. Online assessment questionnaires target residents using the services and staff providing them.These include questions specific to each target groups. The quality criteria created by the Finnish
Ministry of Education and Culture are used to assess pre-school and basic education, with feedbackgatheredalsofromthepupils.Theassessmentiswidelypublicisedinthearea,andeachmunicipality’sWeb site has a link to the questionnaire. The link to the Ministry of Education and Culture’s
questionnaire regarding assessment of education services is also sent via online communicationchannelsbetweenschoolsandhomes.
TheresultscovertheentiretyofPäijät-Häme,andeachmunicipalityreceivestheresultsfromitsarea.The results indicate whether the agreed development measures (separate mutual development
projects)have improvedtheservices.Also, results for individualmunicipalitiesarecomparedwiththeresults from the entire area. Systematic assessment has been carriedout in collaboration among the
municipalities for many years now. It has already proved useful in assessment of the effect ofdevelopment measures. All the municipalities in the network know that the feedback from the
58
assessmentindicatesthestatusoftheeducationalandculturalservicesofeachindividualmunicipalityto all participants in the network. That is why commitment to implementing improvements hasincreasedovertheyearsduringthecollaboration.Thequestionnairesarethemostimportantindicator
intheassessmentofthedevelopmentofeducationalandculturalservicesinthenetwork.Theprincipleis that the strengths identified in theentireareaare reinforcedand theparties invest in the selectedtargetsofdevelopmenttogether.Feedbackfromstaff isessential intheCAF-basedself-assessmentof
staffresults.Customerfeedbackisassessedaspartoftheresultsfromcustomersandresidents.
Thedevelopment initiativewasbasedon the idea thatmunicipalitieswill achievemoreas anetworkthan individually. The mutual quality vision helps the independent municipalities in the Päijät-Hämeregion to assess each year whether they have progressed towards the goal via the measures
implemented in the network. The programme also aids in sharing good practices more rapidly. ThesteeringcommitteeselectedtheCAFasthedevelopmenttoolforthenetworkcollaborationbecauseitisbestsuitedtothenetwork-baseddevelopmentoforganisations,anditsadaptabilitytotheneedsof
thenetworkwasconsideredparticularlyimportant.ThenetworkaimstoutiliseCAFself-assessmentinthedevelopmentofitsactivitieseveryyear.Thefirstmeasureshavebeeninitiatedinareaswherecloseandfruitfulnetwork-basedoperationisconsideredbeneficial.
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Finland
Case:Theinitiative-systemintheStateResidentialSchoolLiminkaStateResidentialSchoolLiminkaLännentie191900Liminka
TeijaTuuliainenDirectorTel.:+358295244205
E-mail:[email protected]
Sectoroftheorganisation:
Mostdemandingchildwelfare.Stateresidentialschoolplayakeyroleinshoulderingtheresponsibilityfor theupbringing, educationand careof childwelfare clientswith themost challengingneeds. Theyprovidethequalityanddevelopmentstandardsforsubstitutecareforallthoseinvolvedinthisfieldof
child welfare. A successful implementation of the task of residential school helps strengthen thefunctional capacity and copingof children and their families and reduces human suffering, aswell asdiminishingtheneedforotherpublicserviceresources.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):
Criterion3:People,sub-criterion:3.3Involveemployeesbydevelopingopendialogueandempowerment,supportingtheirwell-being
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1.Descriptionoftheimprovedresult(s)oftheorganisation
Asaresultoftheinitiativesystem,presentedunderpart2,thenumberofinitiativessubmittedbystaff
hasincreased.Approximately25%ofinitiativeshavebeensubmittedwithsecurityinmind.
Thenumberofstaffsickleavedaysisdecreasing.Thevastnumbersickleavedaysin2009and2010hadmanagementinvestinstaffwellbeingandthedevelopmentofstaffrelatedprocessesandpractices.
0
20
40
60
80
100
0 0
16
34
50 55
84
57 55
Numberofinitatvesfromstaff
0
5
10
15
20
25
0 02
4 3
11
23
1715
Security-relatedinitatvesfromstaff
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Jobsatisfactionhasbeenevaluatedannuallyonascaleof1-5.Jobsatisfactionappearstobearound3.5.
0.0
5.0
10.0
15.0
20.0
25.0
2008 2009 2010 2011 2012 2013 2014 2015
12.8
19.8 20.2
11.2
15.6
10.6
13.7
7.7
Sickleavedays/man-year
1.0
1.5
2.0
2.5
3.0
3.5
4.0
4.5
5.0
2008 2009 2010 2011 2012 2013 2014 2015
3.18
3.64 3.63 3.763.55 3.66 3.57 3.45
JobSatsfacton
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2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Examplesofinitiativesmadebystaff Improvementsmaderesultingoftheinitiative
Securitydrillsamongteams:Scenariotypeexercisesthatmimicreallife
dangeroussituationsineverydaywardenvironment.
ImplementedinFall2015.
Followupannually.
Renewalofprocesstoaddressdeviantsituations:Everybodyhasthechanceto
makeanoteofdeviantinstances.Theinternaloccupationalhealthandsafetycommitteeprocessesthenotebeforeits
goestothereviewofthemanagementgroup.
Implementedin2015.Continuousprocess.
Professionalguidance:Some
respondentswereunsatisfiedwiththecontentofprovidedprofessionalguidance.
Professionalguidanceproviderswereputouttotender.
Staffwishesandguidancethemeswerediscussedandagreeduponindetailwithnewproviders.
Acquisitionofnewsleepingbagsand
campingmattressesduetothebadconditionofexistingones.Alsotheacquisitionofnewsharedoutdoor
clothingforchildren.
Newsleepingbagsandcampingmattresseswere
acquired.Sharedoutdoorclothingnotacquiredduetorapidwearofsharedequipment.Childrenarealsoeligibleforasumofmoneytopurchaseclothingforthemselves.
Inadditiontosurveysandquestionnaires,itwouldbebeneficialto
gatherqualitativefeedbackfromchildren.Thiswaythefeedbackwouldservetoimprovethecontentand
directionofwork.
Implementationincomplete.Atthemomentthenatureofqualitativefeedbackisbeingexamined,andalsohow
andwhenitcouldbecollected.
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OverviewofQualityManagementatLiminkaStateResidentialSchool, thebasis fortheInitiativeSystem.
Liminka State Residential School has systematically developed its operation and qualitymanagementsince2009.Asaresultofthisdevelopmentprocess,thequalitysystemMAPwasbuilt,aninstrumentaltool which still today serves as a vessel for everyday guidance, information circulation, surveillance,development, self-assessmentandemployee familiarisation.Themanagement systemand thequalitysystemMAPhavebeenbuiltaccordingtotheCAF-model,eventhoughoriginallytheywerebasedonISO9001.
Staff was constantly involved in the development process through multiple forums, such as team
meetings,organisation-widedevelopmentseminars(3timesayear),co-operationcommitteemeetings,internal reviews, occupational health and safety committee meetings and also through initiatives,feedbackandemployeeperformanceappraisals. Inaddition,anydivergencesencounteredand logged
bystaffarenowreviewedandaddressedmonthly,sotheyfunctionassourcesforfurtherdevelopment.Thecentralideaofthemanagementsystemisthatallminutes,memos,decisions,reportsandmetricsarereadilyavailableforstaffinthethedatabasecalledtheMAP(excludingthosedeemedconfidential).
Alsotheprocessingofinitiatives,feedbackanddivergencesisaccomplishedthroughMAPandthuscanbeviewedbyanystaffmember.
The benefits gained from the operational development and management have been: the increasedtransparencyandopennessofmanagement,improvedinformationcirculation,activestaffparticipationindevelopmentprocesses,theinvolvementofinterestgroupsindevelopmentwork,goal-directedand
strategy adhering management on all levels of the organisation, improved focus on ‘ground work’(children), and the production of new pedagogic and educational content, increase in employeewellbeingandsafety,strengtheningandactivationofrolesregardingoccupationalhealthandsafetyand
unionstewards,increasedcohesioninemployeefamiliarisationandtheimplementationofproceduresfromvariousplansandmanualsintoeverydaywork.
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Thevastnumberofsickleavedaysin2009and2010causedmanagementtoconsiderthedevelopmentofstaffwellbeing.Thepossibilityforstaffmemberstobeabletogetinvolvedwiththedevelopmentoftheir work and working environment, and the transparency of decision-making were seen as crucial
factors in increasing staff wellbeing. By involving staff in the development processes, managementsends amessage that the expertise and professionalism of staffmembers is held in high regard andtrust.
In retrospect, it has been noted that the quality systemMAP has functioned as a good basis for theimplementationofvarious involvementprocedures.Ontheotherhand,anysystematicallyfunctioningsystemcanactasaplatformfordevelopment,butthemostcrucialfactorismanagement'scommitmentandpersistentrepetitionofimplementedmethodsuntiltheysolidifyintoestablishedoperatingmodels.The creation of established practices creates an atmosphere that staffmembers' involvement has animpactongroundworkwhichagaincreatesafeelingofcontinuityandsecurity.
ImplementationoftheInitiativeSystem
The staff now actively participates in operational development by filing initiatives, through internalreviews,employeedevelopmentappraisalsandjobsatisfactionsurveys.
The ability to file initiatives into the quality system MAP was made available to all staff membersstartingfromdayone. Incaseastaffmemberdoesnotknowhowtousethesystem,theirsupervisorcan file an initiative for them. During the first couple of years, management group and supervisorsremindedstaffmembersaboutfiling initiativeswhenevertheyhearddevelopment ideas.Forexampleduringmeetingsorcoffeebreaks.
Themanagement group processes all initiativesmonthly. Comments are then added regarding whatsteps can be taken towards realising these ideas, and also conversely why some ideas cannot be
realised.Staffmembersareabletokeeptrackofhowtheirinitiativesarebeingprocessedthroughthequality system. Themanagement group keeps track of the initiative processmonthly through ‘trafficlights’:aninitiativeinprogressisshowninyellow,whereacompletedoneisshowningreen.Initiatives
areobserveduntilcompletion.
Completed and realised initiatives were discussed in staff meetings right from the start in order toemphasisetheimportanceoftheinitiativesystem,anddemonstratetostaffthattheirideaswerebeingcarriedthrough.Assuch,nospecificrewardisgrantedforsuccessfulinitiatives,forthetransparencyof
decisionmakingandtheabilitytoinfluencearerewardsinthemselves.
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FurtherdevelopmentoftheInitiativeSystem
Further on initiatives were also collected from employee development appraisals, job satisfaction
surveys, discussions in staff meetings, internal reviews, management reviews, reviews conducted bygovernmentofficialsandexternalreviews.Thishasledtothefactthattheinitiativesystemhasbecomeacrucialtoolincontinuousoperationaldevelopment.
Today,teamskeeptrackoftheprogressandprocessingofinitiativesinmonthlyteammeetings.Team
meetings takeplacemoreoftenthanstaffmeetingsso theyhavetakenoveras theregular forumfordiscussing initiatives. Teams keep track of initiatives through the quality systemMAP,which as suchreinforcesthehabitofmakingfulluseofthesystem.
Staff members are not being rewarded for individual initiatives, although displaying activity in
operationaldevelopmentwillbetakenintoaccountwhiledeterminingastaffmember'spersonalsalarypercentage,forwhichthenumberoffiledinitiativesisagoodindicator.
Whatcangowrong?
Itisofparamountimportancetotrusttheexpertiseandprofessionalismofstaffmembers.Thefilingofinitiativescannotbemadetoodifficultandthepossibilityoftheentirestaffbeingabletocontinuously
keeptrackoftheprocessingofinitiativesisimportant.
Managementhas to takeall initiatives seriously,even thoughsomeof themmight seemminute. It isimportant to give an explanation if an initiative cannot be realised. Management has to processinitiatives on a regular basis and make sure to act on matters that have been agreed upon. If
agreements are not adhered to, the verymeaning of filing initiatives loses its purpose. Realised andcompleted initiatives should be brought up and emphasised for example, in staffmeetings so that itbecomescleartostaffthatmattersarebeingcarriedthroughviatheinitiativesystem.
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3. Description of the prioritisation approach that led to the chosenproject
Originally the principles of quality management were selected as the methodology for operationaldevelopment.Meanwhile itbecameclear that the improvementof theexistingquality systemwas in
order, for at the time instructionsweremissing or no one knewwhich versionswere valid. The newsystemwas designed to act as an archive for instructionmanuals, minutes andmemos as well as aplatformforprocessdescriptions.
After this first stage the staff satisfaction was low and need for improving employee wellbeing and
servicecontentarose.Thepurposewastocreatepracticalsolutionssuchasthe initiativesystem,andlater the platforms for securitymanagement and sustainable development to be embedded into thequalitysystemitself.
Thedesirewasto improveemployeewellbeingby increasingtheirabilityto influencetheirownwork,
thecontentsoftheirownworkandthedevelopmentoftheirworkingenvironment.Thiswasdonetoemphasisethefactthateachstaffmemberisthebestexpertinitsownwork.Givingstaffresponsibilityinoperationalandoccupationaldevelopmentservedtoincreasetrustbetweenstaffandmanagement.
Prioritisingofdevelopmentactionsweremade inannualplanningdays,whichareheld three timesayearandinvolvethewholestaff.
Anothercentralthemeinemployeewellbeingwastheopennessandtransparencyofmanagement.Theprocessing of initiatives in away that all staffmembers are able fully keep track of all stages of the
processwithrespectiveexplanationsandrationalisationsisopendecisionmakingandpreparation.
The implementation of the initiative system began with the requirements stated in the qualitycertificate,buthasover theyearsdeveloped intoa crucial tool for continuousdevelopment.Amajorreasonforthis is thefact thatthe initiativesystemisapractical tool forboththemanagementgroup
and staff. Last CAF self-assessment with was made 2015. Continuous quality work is part of theorganisationalculture.
67
Germany
Case:HRManagementattheDistrictofUpperBavaria
DistrictofUpperBavaria(BezirkOberbayern)Germany
ArminLiebigQMOfficerPrinzregentenstr.14
80538Munich
Sectoroftheorganisation:Regionalandlocaladministration-Socialservices&socialsecurity
ThedistrictofUpperBavariaispartofthethirdlevelofthelocalgovernmentinBavaria/Germany.
The district is by far the largest andmost populous district in Bavariawith over 4.5million residents(about1.4millionofthemarelivinginthecityofMunich).Itisaself-governingbodywithaparliament
(districtcouncil/’Bezirkstag’)ledbyanelectedPresident(‘Bezirkstagspräsident’)whichisresponsibleforvariouspublicservicesexceedingthecapabilityofthemunicipalities,citiesandlocaldistrictsintheareaofpublichealth,socialwelfareandculturalheritage.
About800peopleworkatthemainofficeofthedistrictadministrationinMunich.Responsibleforthe
operationalbusinessisthedirector.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criteria:1,2,3,4,5
districts
Local districts and
cities
municipalities
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1.Descriptionoftheimprovedresult(s)oftheorganisation The district of Upper Bavaria and its administration staff are in the process of implementing an
integratedqualitymanagementsystem.Ourgoalisastakeholderandcitizenfriendlyservice.
Beginning in 2005, a structured quality management approach on the basis of a CAF process wasintroduced. Based on three CAF self-assessments (2005, 2011 and 2013) the district implemented avarietyofactivities to improve thequalityof servicesandproducts.Theseactivitieswereassessedby
external feedback experts resulting in the label ‘Effective CAF User’ being awarded by the FederalMinistryoftheInteriorin2015.
InthiscasestudywewillfocusonvariousactivitiesinHRmanagementoverthelastthreeyears,since2013. HR management was one of the three pillars of our strategic plan (the others were
‘communication’and‘knowledgemanagement’)toachievethelabelandtoshowhowweimplementedtheresultsandfindingsoftheCAFself-assessments.
InadynamicandprosperousregionsuchasMunich it is increasinglydifficulttoattractcandidatesforthe public sector. Furthermore we want our staff to be satisfied with the working environment and
optimisestaffretention.
ThismeansforHRmanagementtopromote(fordetailssee3):
• Jobdevelopmentopportunities
• Trainingcoursesforeveryone
• Specialtraineeprograms
• Executivefeedbacksystem
• Performanceincentives
• Externalreviewofkeyprocesses
ourmainofficeinMunich
69
ThefirstresultsinthefieldofHRmanagementareshowingpromisingsignsofimprovement.
The numbers of trainees have increased since 2012 and have proven that the district is a well-establishedtrainingorganisation:
Figure1:Numberoftrainees
Anotherimportantfigurewasthedeclineofourstaffturnoverrate8.
Figure2:Turnoverrate
8Although the latest data shows a rise in the rate
6.83% 7.62%
10.50% 9.19%
7.38%
10.24%
7.23%
0%
3%
6%
9%
12%
2008 2009 2010 2011 2012 2013 2014
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Figure3:Spendingfortrainingperperson
ThedistrictiscontinuingtomonitorkeynumbersandwillassesstheactionundertakeninthenextCAFself-assessmentin2016/2017.
Howdid thestaffevaluate theoverallworkingsituation? Inansurvey in2014,ourstaffwasaskedtoassesstheirsituationinthefollowingdimensions(blueline=actualstate,redline=ideal)
A scopeofaction
B versatilerangeofworking
C holisticapproachofworking
D informationandparticipation
E socialsupport
F workingatmosphere
G cooperationamongstaff
H workcontent
I amountofwork
J customer/clientcontact
K processes
L workenvironment
M paymentanddevelopmentopportunities
The resultswere discussed in several workshops andmeetings and prepared for a presentation at aleadershipmeeting.
588.48 €
518.82 €
389.58 € 471.71 €
662.14 € 690.01 €
0 €
100 €
200 €
300 €
400 €
500 €
600 €
700 €
2009 2010 2011 2012 2013 2014
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2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
Overallgoals
ThemaingoalsoftheactivitiesimplementedintheCAFactionplanwere:
• to describe our philosophy of a people-centred organisation through the classic principles of a
selectionanddevelopingcorecompetencies;
• establishingknowledgemanagementtoenhancelearningandorganisationalspecificknowledgeand
skills;
• improveworkingconditionsthroughahealthmanagementprogramme.
Startingpoints
The administrative district of upper Bavaria is located in Munich, a dynamic and prosperous region
whereon theonehand thepublic sectormust competewith theprivate sector andonanotherwithhigh costs of living. In today business personnel management/HR management is one of the mostimportantfactorsforawell-functioningorganisation.
One important starting point in this area was our CAF self-assessment of 2011. It identified the
departure and retirement of our staff as a crucial area of the example/indicator sub-criteria 4.4.69 :Ensuring,thatkeyinformationandknowledgeofemployeesisretainedwithintheorganisationintheeventoftheirdeparture.
Alsoafeedbacksystemforourleadershipwasafieldofimprovement.
Inour3rdCAFself-assessment2013theassessmentgroupdidfocusontheHRdepartmentasawhole.HowcantheHRdepartmentbecomeabetterinternalserviceproviderfortheadministration?Howcanwe make sure our employees are strengthening their customer orientation? How can the HR
departmentfocusontheirkeytask?
Actionplan(allactionsstarted2013andinthefollowingyears)
Togetherwith theHRmanagement the so called ‘management supportunit’ developedaknowledge
managementconceptwithastructuredknowledgetransferinterviewifanemployeeleavesthedistrict.Withaguidedinterviewandamindmap,theknowledgewaswelldocumentedandaccessibleforthesuccessorinthejob.
9Based on the CAF 2006 model
72
Another step takenwas theestablishmentofamanagement feedback system (socalled270-degree-feedback).Withthehelpofanexternalservice,specialised infeedbacksystems,anonlinesurveywasconducted and analysed. The evaluation of the results was followed by workshops and feedback
discussion.
The district also introduced an elaborate health management program. Special office equipment, acompany(district)sportsgroupwithvariousoffers(backtraining,yoga,afreefruitbasketplacedinourcafeteriaetc.)andextensiveinformationcoverageinourintranetarealsopartofhealthmanagement.
Forourtraineesandjuniorstaff,thedistrictdidintensifythepersonalcareandsupport.Inadditionto
the CAF self-assessment the district applied successfully for the quality label ‘Best place to learn’ in2015.10Thisshowsthatthedistrictistrainingjuniorstaffinternallywithrespecttothespecialdemandsoftrainees(e.g.weeklyteachingafternoonswithexpertsfromtheadministration).
Thetraining-on-the-jobwasalsostrengthened. In-housetrainingpossibilitiesas
well as external courses and training in several areas like communication skills,conflict management and IT know-how were part of an offer open for allemployees.
Amanagementcurriculumgivesour leadership (2ndand3rd level) theskills to
fullfilltheinternal‘Principlesofleadershipandcooperation’.Withthehelpofadevelopmentguidecustomizedtrainingwasoffered.
To improve the key processes of the HR department an external review by the KGSt, (the Germanregionalofficeforpublicmanagement)wasundertaken.Therecruitmentprocesswasidentifiedasthe
most important fieldof improvement.Theprocessdescriptionwasrevisedandthekeypartnerswereaskedtoaddresstheirneeds.
At the endof 2015we started a comprehensive online survey and asked the entire stuff about theirlevelofsatisfactionwiththeHRdepartment.Theresultsgavesomeadditionalinputfortheoptimisation
ofinternalprocesses.
All actions were monitored within the ‘management support unit’ at the office of the director. Theactionplanwasmadeaccessibleviatheintranetwithanimplementationstatus.
10 https://www.bestplacetolearn.de/verwaltung-des-bezirks-oberbayern-vorreiter-in-sachen-ausbildung/ (in german)
73
3. Description of the prioritisation approach that led to the chosenproject
Theprioritisationprocesswasbasedonamulti-levelapproach
First,theCAFSelf-AssessmentGroupwasabletodiscussandprioritisetheresultsbasedontheirownassessmentontheCAFexamplelevel.Forthefirsttimeweconsultedourpoliticalauthoritieswhichare
theelectedmembersof the localparliament (‘Bezirkstag’).We invitedapeer group consistingof thefaction leadersandthepresidentofthedistricttoassessanddiscussthecriteriaandsub-criteria.Theresult was an astonishing agreement between the assessments of employees and the political
authorities.Thepoliticalauthoritieswereunawareoftheemployees'results.
Finally at a two-day workshop with the extended leadership (around 40 people) we prioritised theactions using group-working techniques. Based on all these activities a Top 10 action plan was
developed:
• Developacultureofopencommunication
• Coordinatepoliticalandadministrativegoals
• Analysetheneedforadditionalstaff/recruitment
• Introduceknowledgemanagement
• ReviseinternalguidelinesforHR
• Communicatetheneedforchange
• EvaluateourITservice
• Strengthenmutualtrust
• Supporttheemployeesinachievingtheirgoals
74
GermanyCase:StakeholderanalysisintheHessianAdministrationforLandManagementandGeoinformatics
HessianAdministrationforLandManagementandGeoinformaticsSchaperstrasse16D-65195Wiesbaden
Hessia,Germany
ChristophHehlTel.:49(0)6115355435
E-mail:[email protected]
Sectoroftheorganisation:Regionalandlocaladministration(16)
The Hessian Administration for Land Management and Geoinformatics (HVBG) keeps relevant andcomprehensiveinformationonthelandscapeandlandinHessia/Germanyandprovidesspatialdataforvariouspurposes.HVBGrunsnecessarydataprocessingproceduresandintegratesspatialdataofstate
administrations and municipalities. HVBG develops urban and rural areas and supports ruralinfrastructure investments.HVBG’s coredutiesare:national/state survey, landsurvey register, spatialdatainfrastructure,landconsolidation,sitedevelopment,propertyvaluecollectionsandservices
About1440employees(670civilservants+770employees)areworkingcurrentlyatHVBG.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):
AlltheenablersCriteria
1.Descriptionoftheimprovedresult(s)oftheorganisation
The Hessian Administration for LandManagement and Geoinformatics inWiesbaden (in the state ofHessia/Germany)hasbeendrivingafar-reachingtransformationprocesssince1999.Inthefirstphase,manypublicservicesprovidedbytheAgencywereprivatised.
75
As a result, in 2005 the 56 localoffices of the Agency weremergedinto seven new land survey offices
with five outlying branches. At thesame time, the Agency reducedstaffing numbers by 30% within 10
years through an employmentfreeze.
It is estimated that the Agencywilllose nearly 200 employees by 2022
duetoretirement.
Formorethan10yearsHVBGhandlesitschallengesusingconsequentlymethodsandtoolsofamodernmanagement cycle. The interaction of using modern management tools, common assessmentframework,strongstaffinvolvementandintroducinganunderstandingoftheTQMmaturitywithinthe
organisationis leadingtoacontinuouswayof improvements.Thereforeahighquantityandqualityofpositive outputs and outcomes can be perceived. Political leadership appreciates the improvementactivitiesofHVBG.In2014/2015HVBGwasrecompensedwithamanagementdividendof1MillionEUR.
Someexamplesofpositiveoutputsandoutcomesaregivenonthefollowingpages.
CAFassessment
76
HVBG uses Common Assessment Framework as total quality management tool since 2003. Self-assessmentswereproceededin2003,2006,2008,2011,2013and2016.Anenhancementofscorescanbeobserved. The scoresof caf assessmentsenhance significantly in2016 comparedagainst scoresof
2011and2013.
Enablerscriteria (1-5)arescoredhigherthan70,whichmatchestoscoreACT.Criterion2StrategyandPlanningisnearly90(PDCA)
Results criteria (6-9) are scored higher than 60, which matches to score ‘Results showimprovingtrendsand/ormostoftherelevanttargetsaremet.’IncreaseofEnablercriteria
isbetween30%andnearly50%
IncreaseofResultscriteriaisabout50%
Managefacilities
Reducingstaffnecessitatesthinkingaboutrentedbuildings,costsofproperties,necessaryareasetc..
Rentalareawasreducedfrom60.700m2in2010to50.600m2in2015.In2022theplannedrentalareawillbe48.000m2.
As a consequenceexpenditures for facilities (rent, services, utilities, additional costs etc.)
are cutdown from11.150.000EUR in2011 to10.800.000EUR in2015, though rentwasincreasedbyatminimum15percentinthelastfiveyears(2010-2015).
KeyPerformanceResults
HVBGimprovesprocessesandtechnologyto reduce treatment-/process times in
core duties up to 30% during five years(2010-2015). Process costs in sectionsales/distributionarereducedby100.000
EUR/year and complaints on products/services are decreased lower than 1,5percent.
77
Sector ‘Liegenschaftvermessung / Surveying’and sector ‘Liegenschaftsdaten / real estatedata’ generate more than 90 percent of
ordersand turnover.Asa resultofdifferentimprovement activities (process manage-ment, new ICT solutions for geo-data,
knowledgemanagement etc.) cost coveragein core duties advances at maximum by 20percentinperiod2010to2015.
Citizen/Customers-orientedResultsSince2010,asaconsequenceofprivatisingmanypublicservicesprovidedbytheAgencyandreducingstaff,HVBGhastoconcentrateoncoreduties(highrelevantforsocietyandregionalpolitics)andtriesto
offer good products and services to core customers (state administration, municipal management,energyetc.)indifferentsaleschannel.
Since2011theagencysimultaneouslystrengthensactivitiesinsales,distribution,marketing.
In spite of staff reduction (2500 employees in 56 locations in 2005 to 1440 employees in 8 mainlocationsin2016)ordersandturnoverremain(nearly)stable.
78
For Several administrations it’s possible to get products and services for free. From 2011 to2015costlessturnoverraisesbymorethan60percent.
HVBG runs the biggest online shop of Hessia’s state administrations. Since 2011 turnover,generated in theonlineShop, increasesby44percent.At same timevisits raisebynearly80percent.
Spatialdata/geoinformatics gets increasingly important to state administrations, municipal
management, energy suppliers, environment protection (solar-/wind energy), flood control/climatechangeetc.
TheusageofDigitalservices,offeredbyHVBG,advancesby175percentinthelastfiveyears.
PeopleResults
TheHVBGhasdonealotforwork-lifebalancelike
• flexibilityintheorganisationofworkingtime
• flexibilityinalternatingtelework
• theawarenessofmanagers for the issueup to thecorporatecultureandappreciativerelations
In2016HVBGisgiventhequalitylabel‘FamilyFriendlyEmployer’.
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HVBG invests with consistency inleadership development programs for allhierarchical management levels (since
2011 called FKE I, FKE II, FKE III) and instaffdevelopmentactives/programssince1998.
Since2005(asanimprovementactionby
CAF)differentappraisalsoflinemanagersby subordinates shows positive averagescores.Theaveragescoresenhancefrom
2,14 in2011 to2,11 in2016.Scoresof1or 2 (1 and 2 are the best scores of 5)advance from 68 percent in 2011 to 73
percentin2016.
About93percentof interviewedpersonsaresatisfiedwithcooperateleadershipoftheirlinemanager.
• Theaverageageofstaffiscurrentlyabout49years.
• Theorganisationinvestsinworkplacehealthmanagementandrehabilitationmanagement.
• Sickness absence rate decreases form 6 percent in 2011 to 5,1 percent in 2016. Sickness
absencerateis lowerthantheaverageofpublicorganisationsinGermany(5,9to6,2percent)andnearlyatthelevelofemployeesineconomy/industry.
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2.The implemented improvementorchangeprojectafter theCAFself-assessment,leadingtotheresultsmentioned
As mentioned before, the Hessian Administration for Land Management and Geoinformatics inWiesbaden (in the state of Hessia/Germany) has been driving a far-reaching transformation process
since 1999. The staff members are expected to continue the transformation process to deal with anumberofchallenges,including:
• TheAgency is facedwithan increasingdemand for itswork, e.g. in land consolidationprocesses
acrossfarms,transportplanning,environmentalprotectionandclimatechangeprojects.
• At the same time, new ICT solutions for geo-data and the EU INSPIRE-Directive mean that the
Agencyhastoadviselocalgovernmentandstateagenciesontheseissues.
• Continuous ICT investments are required by the Agency in order to keep up with the rapid
technologicaldevelopmentsinthisfield.
StartingPoint
In 2003 HVBG decided to use an easy to use Total QualityManagement Tool to evaluate 30 change
projects,whichhadtheobjectiveto introduceperformancemanagementthroughouttheAgency.CAFwasconsideredasthemosteffectivetooltorespondtothesedemands.
The Agency piloted CAF in 2003 and repeated the self-assessment in 2006 and 2008. In 2011 HVBGmadeCAF-based self-assessmentsmandatory for thewholeAgency.CAF self-assessments followed in
2013and2016.
After 2005 the leading management has to overcome enormous challenges as mentioned before(reducing staff, reducing costs, reducing offices, privatization of services, obsolescence of staff etc.).FromthatperioddateHVBGstartsout for change.For the first timeSeniorManagers/steeringboard
developed, implemented themissionandvisionofHVBGand translated intoa strategyandplanning.Simultaneouslythedefinitionofsharedvalues/cooperateculture/cooperativeleadershipwasdevelopedandcommunicatedtostaff.
In2010aneworganisational conceptwasdevelopedand implemented. In the senseof a continuous
improvementphilosophytwobroadstrategicandimpact-orientatedconceptsweredevelopedfortheperiods2011-2016and2017-2022.Thefirstconceptisimplemented,theimplementationofthesecondoneisstartingin2016.
Theseconceptsareconsideringdetermining factors,mission,vision,demographicageing, influenceof
stakeholders(politics,corecustomer,citizen),customerrelationship,costs,infrastructure(ICT,buildingsetc.),rentalarea,productsandservices,innovation,staffrecruiting,culturalaspects(cooperateculture,leadership,sharedvalues/companycorevalues,codeofethics/rolemodeletc.).Inordertodealwithall
challenges the Agency has agreed the change strategy with the responsible state governmentdepartment,whichdefines thekeymodernisation reforms for2011-2016andasanupdate for2017-2022.
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Anotherimportantstepwastoimplementandtouse
consequently methods and tools of a modernmanagementcycle.
By applying the Common Assessment Framework
modelHVBG evaluates all its approaches, its acting,itsoutputandoutcomeinaholisticway.
HVBG concurrently tries to introduce an
understanding and an attitudeof the TQMmaturitywithintheorganisation/withinthestaff.
Today
Since2010anexecutivedepartmentofstrategyandcontrolling(strategicsteering,qualitymanagement,
organisational development, project management, process management etc.) is supervising andsupportingallactivitiesandeveryactor.Todaytheinteractionofusingmodernmanagementtools,CAF,strongstaffinvolvementandintroducinganunderstandingandawarenessoftheTQMmaturitywithin
the organisation is leading HVBG to a continuous way of improvements towards the Principles ofExcellence.
Self-assessmentwithCAFisnowused:
• tofindeverythingwhatisstillabsent;
• tofindeverythingwhatisnotgoodyet;
• tofindeverythingwhereadecreasingcanbeperceived.
About250improvementactivities(2003-2016)initiatedbyCAFwerestartedandimplemented.
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Improvementsandimpacts
Thefollowingimprovements(assomeexamplesforgoodpractice)haveresultedfromdifferentsourcesandorigin[Ⓜ-initiatedbyManagement(-Cycle),Ⓒ-initiatedbyCAF,Ⓘ-improved
byCAF].TheactivitiesgenerateimpactonimprovementresultsdescribedinChapterII/respectivelyonCAF-Criteriainadifferentway/score(lhigh-laverage-l low-≠noeffect)
activityandimpactonimprovementresultslll
scorescafassess-m
ent
manage
facilities
KPIResults
Citizen/Custom
erorientedresults
Peopleresults
origin*impactonCAF-criteria
Holistic continuous Strategic Management including contracts with political leadership (2010, 2011-2016 and 2017-2022)(customerorientedproductsandservicesin/withanappropriateorganisation/personnelplacement/ICT/technology)
l l l l l Ⓜ + Ⓘ 1-9
DevelopmentandManagementofpartnershipswithrelevantorganisations/corecustomers. l l l l l Ⓜ + Ⓘ 4,9
DevelopmentandImplementationofProcessManagement integratingpartsofknowledgemanagement,allcoreprocessesofHVBGaredescribed,optimized,evaluatedinacontinuousway(p-d-c-a)
l l l l l Ⓒ + Ⓘ 4,5,9
DevelopmentandImplementationofProjectManagement(methods,tasks/rules/functions,steering/controllingetc.) l l l l l Ⓒ + Ⓘ 9
DevelopmentandImplementationofKnowledgeManagement(ICT-based,Personalisedknowledgetransferetc.) l l l l l Ⓒ + Ⓘ 4
Implementationofteamwork-structure l ≠ l l l Ⓜ + Ⓘ 3,9
HolisticandcontinuousLeadershipdevelopmentprogramsforallhierarchicalmanagementlevelssince2011 l l l l l Ⓜ + Ⓘ 1-9
Investwithconsistencyinstaffdevelopmentactives/programssince1998 l l l l l Ⓜ + Ⓘ 3
Developmentand implementationofmarketingconcept,conceptsales/distribution,customersurveys,CustomerRelationshipManagement,PublicRelations
l ≠ l l l Ⓒ + Ⓘ 4,5,6-9
Consolidationofqualitystandards l ≠ l l l Ⓒ + Ⓘ 4,6,9
Improvinghumanresourceplanning l l l l l Ⓒ + Ⓘ 3,7
Improvements in the internal suggestion system, through incentives for good ideas and introduction of a complaintsmanagementsysteminanintegratedapproach/ICT-Systemasanideasmanagementforstaffandcustomers
l l l l l Ⓒ + Ⓘ 4,6,9
DevelopingandImplementingappraisalsoflinemanagersbysubordinates l ≠ l l l Ⓒ + Ⓘ 1,3,7
Definitionofsharedvalues/companycorevalues,codeofethics/rolemodel l l l l l Ⓜ + Ⓘ 1-9
Developingandimplementingofaconceptforinternalinformationandcommunication(culturalaspectsincluded) l l l l l Ⓒ + Ⓘ 1
Developingandimplementingofaconceptforadvancededucation,recruiting l ≠ l l l Ⓜ + Ⓘ 3,5,7
…TQMisneverending: (Ⓜ + Ⓒ + Ⓘ)awareness = TQM(Maturity+Excellence)
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3. Description of the prioritisation approach that led to the chosenproject
Itbeginsandendswiththesettingofmanagement.
President,executive-/steeringboardhavetorecogniseandanalysethesituationofanorganisation.
Theymusthavecourageanddeterminationtochangethesituation.
Theyneedtocommunicateandconvinceinanhonestwayamongstpoliticalauthoritiesandstaff:
• tobondpeoplewithsameideas,purposes,wishes,visionsandgoals;
• togeneratedesiretobelongtosomething,thatisworthtodo.
CAF Self-Assessment process in HVBG based on this approach and the ten step model of EIPA/GermanCAFCentre.
1. Decidehowtoorganiseandplantheself-assessment.
2. Communicatetheself-assessmentproject.3. Compose8Self-AssessmentGroups.4. TrainSelf-AssessmentGroups.
5. Undertaketheself-assessment.6. Conduct 8 consensusworkshops, develop short project-profiles [on one page: initial situation,
objectives, tasks, quick-scoring of efforts (resources, costs, time exposure, simplicity of
implementation) and impacts/benefits (customer, quality, processes, employees)] forimprovementactions.
7. ConductQualityconference.a. Qualityconference(firstday:Self-AssessmentGroup).b. After consensus workshops in 8 locations all members of the Self-Assessment Groups
propose,unifyanddevelopshortproject-profiles [ononepage: initial situation,objectives,tasks,quick-scoringofefforts(resources,costs,timeexposure,simplicityofimplementation)
and impacts/benefits (customer, quality, processes, employees)] for improvement actionsandprioritise10-15actionsatmaximum(method:Portfolio-Analysis).
c. Qualityconference(secondday:Self-AssessmentGroupandsteeringboard).d. Self-Assessment Group (delegation of all members) presents/discusses the results/project
profiles to/with executive management board of HVBG. An adjustment against strategicdeterminations/otherrunningactivities/projectsandprioritisationfollows.Allactivitiesfor
e. initiation/assignment/implementationareagreed/fixedattheendoftheday.
f. HVBGhasdevelopedand implemented a general approach for prioritisation, planning andimplementingofactivities,proposesorprojects:
idea
shortdescrip]onwith
quickscoringofeffortsandimpacts
adjustmentagainststrategicdetermina]ons/otherac]]vi]es
detailleddescrip]on/planning,ifneeded
valua]on,agreementandasignementby
(project)steeringcommi_ee
Implementa]onandControlling
ac]vityorprojectclosure
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8. Communicatetheimprovementplan.9. Implementtheimprovementplan.
a. Afterwards HVBG uses all established project management tools to implement theimprovement actions. The actions of improvement are defined in clear, verifiable projectcontracts(S.M.A.R.T.).
b. Theprojectcontractsareconcretisedwithscheduling,milestoneplanningetc.c. Ifneededtheprioritisation/planningcouldbeadjustedbyprojectsteeringcommittee.
10. Plannextself-assessment.
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Greece
Case: The Integrated Information System (IIS) of theHellenicMilitaryGeographicalService
HellenicMilitaryGeographicalService(HMGS)Evelpidon4Str,PedionAreosAthens
SoultanaPouli
HeadoftheDatabasesManagement'sDepartmentE-mail:[email protected]:[email protected]
Sectoroftheorganisation:Policeandsecurity
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criteria:1.1,1.2,1.3,1.4
Criterion2:StrategyandPlanning,sub-criteria:2.2,2.3Criterion3:People,sub-criteria:3.1,3.2Criterion4:PartnershipsandResources,sub-criteria:4.2,4.3,4.4,4.5,4.6
Criterion5:Processes,sub-criteria:5.1,5.2
1.Descriptionoftheimprovedresult(s)oftheorganisation
The Geographical Materials Provision Subdivision of the Hellenic Military Geographical Service
(HMGS)processes,annually,alargenumberofapplicationsregardingadministrationofgeographicalmaterialstobothpublicandprivateinstitutionsaswellascitizens.
StatisticaldataregardingtheIIS’syearsofoperationtodate(2009-2015)areproperlydepictedinthe
followinggraphwithrevenuechartperyear.
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Figure1:Transactionsperannum(2009-2015)
Statisticaldataregardingonlinesales indicatethat,overtime,all themorecustomersmakeuseofthee-shopsubsysteminordertocompletetheirtransactions.
Also,onlinesales,asapercentage,aregrowingatasteadyrate(from1.195in2014thattranslatesto9.84% of total sales, to 1.137 in 2015 that translates to 13.87% of total sales), regardless of the
steadydeclineintotalsales(from12.153in2014to8.195in2015)duetothefiscalcrisis.
Infurtherdetail,forthefiscalyearof2015thestatisticaldatareadasfollows:
Figure2:Aggregatetransactionsforthefiscalyear2015
Furthermore,theinterestofonlinevisitorsontheHMGS’sofficialwebsitefollowsasteadycourseasshowninthefollowinggraph. It’sworthnotingthatreturningvisitorsconstitutea largeproportion
(58.4%)ofthetotalof52.529visitors,plusfactthatinterestextendsoutsideofGreece.
91 446 220 273 5951,195 1,137
5,936
10,570
8,996
10,107
9,663
12,153
8,195
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
2009 2010 2011 2012 2013 2014 2015
ONSITESALES
ONLINESALES
TOTALSALES
0.00%
50.00%
100.00%
TOTALSALES
86.13%
13.87%
ONLINESALES
ONSITESALES
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Figure3:Onlinetrafficpermonthforthefiscalyearof2015
Since 2009 and the completion of the Integrated Information System (IIS) project on the HMGS’s
premises,themanagementanddisseminationofgeographicalinformationwithregardtobrowsing,ordering, pricing and logistics is fully automated and thus contributes significantly to thetechnological advancement of the Geographical Materials Provision Subdivision. The automated
procedures allow for consistent operation of the Subdivision that results to more efficientadministrationofproductstothepublicandfacilitatesstaffdevelopment.
Furthermore,certainmetricswithregardtoqualityofservicesofferedandtransactionscompleted,
areeffectedbyelectronicmeans.
At last, the implementation of a geo-portal in the framework of the afore-mentioned project,enhanced the Service’s social profilewhile improving on the quality of services offered, spreading
awarenessongeo-informationandallowingforsuccessfulonlinetransactions.
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
In context of the continued attempt to further improve on the quality of services and products
offered,certainshortcomingsneededtobeaddressedinorderfortheHellenicMilitaryGeographicalService (HMGS) to progress seamlessly to the era of Information and Communication Technology(ICT).Stakeholdersshouldbeabletocommunicatetheirconcerns,ideas,complainsand/orgratitude
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inanunimpededway.Customers,either corporateorprivatecitizens, shouldbeable to completetransactions tailored to their needs in a most efficient manner. Production personnel needed to
effectivelytrackandfulfillproductionordersandlogisticspersonnelneededtoefficientlykeeptrackofinventory.GeographicalMaterialsProvisionSubdivisionstaffwasinneedofarobustsystemthatallowedforholisticordermanagementandtheintroductionofmetrics,standardsofmeasurements,
by which efficiency, performance and quality could be assessed. Then-current state of the artsolutions thatallowed for successful implementationof suchavast spectrumofapplicationswereconsidered, and Information Systems technologies came out on top. In this regard the Hellenic
MilitaryGeographicalService(HMGS)greenlightedin2009theIntegratedInformationSystem(IIS)project that upon completion addressed each and every one of the aforementioned issues in aneffectiveandefficientway.
The implementationof the EnterpriseResourcePlanning system (ERP) allows theHellenicMilitaryGeographicalService(HMGS)toprovideabroadrangeofcommercialcapabilitiesandrespondtothe
growingneedforonlinecommerce.
Incorporation with the other subsystems of the Integrated Information System allows for further
operationalsupportandadditionalfunctionality.
Figure4:Suppliedgeographicmaterial
Department of supplies
Fax or Ε-mail
ORDER MANAGMENT
Web Portal www.gys.gr
Internet
Eshop
Geoindex
GEOSEARCH
Geoindex
Additional order information
CASH MANAGMENT
Bank payment
CREDIT DARD
physical presentation Department of suppliesGeoindex E.R.P.
Department of supplies
ORDER PREPARATION
The successful implementation of the Integrated Information System (IIS) within the HMGS’s
premisesfortheefficientmanagementanddisseminationofgeographicalinformationisconsideredamilestoneinthecontextofInformationandCommunicationTechnologies(ICT)andhasresultedin
anumberofbenefits,asdescribedbelowaccordingtotheCAFEnablersCriteria.
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• EnablesoperationaltransparencyoftheGeographicalMaterialsProvisionSubdivision.(Criterion1)
• AllowsforinstrumentalcontroloftheSubdivision’soperability.(Criterion1)• Enables effectiveness regarding the correctness and reliability in which the Subdivision
enables the personnel in executing its duties and the public in submitting its claims.(Criterion1)
• AllowsforcommunicationoftheSubdivision’sactivitiesthroughtheHMGS’sofficialwebsite.(Criterion1)
• Enablesdiffusivityofgeographicinformation.(Criterion2)• Allowsforonlinesalessupportandmonitoringthatenablestransparency.(Criterion2)• Enablesefficientlogisticsmanagementandaccountingcorrectness.(Criterion2)• Asamonitoringsystem,itallowsforenablingdueprocess.(Criterion2)• The information subsystems’manual drawn under the Integrated Information System is a
valuable resource for every user,which allows for efficient operation of said systems andcontributesintroducinganddiffusingknowledgeinastructuredmanner.(Criterion3)
• InnovativesolutioninthefieldofawarenessthatenablesbrowsingofgeographicalmaterialsadministeredviatheInternet,allowingforefficientexecutionoforders.(Criterion4)
• Theemail serviceenablesonline communicationand transactionsbetween theHMGSandpeople living in remote areas, thus unable to be physically present on the premises.(Criterion4)
• Application of modern logistics management due to the use of the Enterprise ResourcePlanning(ERP)Subsystemthateffectstransactionandlogisticsmanagement.(Criterion4)
• The ability to export summary statements regarding sales and warehouse stock ofadministeredgeographicalmaterials, thusallowing foreffective financialmanagementandauditing. Online transactionmonitoring providesmanagement with a definitive picture ofsalestrends.(Criterion4)
• Enablesonlinepaymentbycreditcard.(Criterion4)
• Exemplarypresencewithinthemarket.(Criterion4)
• DocumentationofdueprocessregardingtheSubdivision’sproceduresresultedinsignificantimprovementofinternaloperationsandeffectiveprovisionprotocolsthatallowforefficienttransactionsandcustomersupportofclientsresidinginremotelocations.(Criterion4)
• Stakeholdersareabletosubmitcomments,proposalsandcomplaintsregardingtheofferedservices and products either through the official HMGSwebsite (www.gys.gr) or via email([email protected]) or by telephone, thus fully engagewith the process of geographicalmaterials’provision.(Criterion5)
• The implementationofthee-shopenablesprovisionofgeographicalmaterials frompeopleresiding in remote locations, thus unable to be physically present on the premises.(Criterion5)
• Theuseofemailforcommunicationpurposesandthesuccessfulcompletionoftransactionsincluding online payment by credit card, reflect the Subdivision’s commitment for thedevelopment of innovative processes that enable public engagement with regard togeographicalmaterialsprovision.(Criterion5)
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3.FurtherareasofimprovementoftheHMGStobeprioritised
The implementationof the IISwasnot the resultof aCAFexerciseper se, sinceat the timeof itscreation, the concept of self- assessment was not a common practice within the broader public
sectorinGreece.HowevertheHMGS’smanagement,recognisingtheneedsofthetimes,relieduponits personnel’s expertise and pursued the implementation of the IIS as it could bridge theorganisation’sstrategyandvisionwith itsoperationalproceduresandoperatingstructure.Theaim
was to create an integrated system for the production anddiffusionof geographic information toserve the citizens’ needs. The project was accomplished under the operational programme‘Information Society’ of the third Community Support Framework (CSF) - technical form: regional
geographicalinformationsystemsandinnovativeactions-priorityaxis:citizenserviceandimprovedqualityoflife.
InformationSystemswereat thetime,andstillare, themosteffectivetechnologyavailablethatallowscompaniestoevaluatethemselvesrelativetodimensionsandhelpmaximizethevalueandimpactofinformationasastrategiccorporateasset,whichisamongHMGS’shighpriorities.
As part of the assessment process undertaken by the public with regard to the IntegratedInformation System, a pilot study regarding customer satisfaction validated the correctness of
practicesimposedupon.
Nevertheless, the process of implementing the CAF, highlighted certain areas in need ofimprovementfortheefficientoperationoftheGeographicalMaterialsProvisionSubdivision.
Specifically, while the Geographical Materials Provision Subdivision of the Hellenic Military
Geographical Service (HMGS) certainly meets the needs of the public, it is not aware of itsexpectations, since the Subdivision does not employ a systematic data collection method.
Consequently, certain importantvariables suchas social, ecological, economic, legal, fiscaletc. arenotregisteredandthus,theSubdivisioncannotproperlyassessstrengths,weaknesses,opportunitiesandthreats,norcanitsystematicallyadapttotheconstantlychangingbusinesslandscape.
As far as employee training is concerned, the lack ofmetrics results to inconclusive operational
needsthatinturncannotbetranslatedtoaspecificroadmapthatleadstopersonalandprofessionaldevelopment.Asa result,educationalactivities cannotbeevaluatedonacost–benefitbasis that
woulddeterminetheextenttowhichtheyarenecessary.
The Subdivision does not employ a Total Quality Management (TQM) Tool, nor does it require
certaingoals–thresholdstobemet.Specificmetricsthatallowforefficiencyandqualityofservicesassessment are yet to be determined, as well as definitive customer and employee satisfactionmeasurements. These metrics would allow for the continuance of the ongoing improvements of
organisationalandoperationalproceduresthatpositivelyimpactcorporateculture.
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In present time, the CAF exemplified and rewarded the organisation’s best practices, and thusintroducedacultureofexcellence.Inordertomaintainhighstandards,anactionplanwasdeveloped
andiscurrentlyunderimplementation.
Figure5:Partoftheactionplan
C/N Sub-criteria
Action Priority(4-1)
Prerequisites EstimatedCost
TimeframeofMaterialization
Actor
1 4.3,9.2 Restructuringofcertainbudgetandfinancialgoals
4 Approvalfromthechainofcommand
Uponapproval HMGS/Leadership
2 1.2,2.2,2.3,2.4,3.3,5.1,5.3,6.2,7.1,7.2,9.1,9.2
EmploymentofaTotalQualityManagementTool
4 Appropriatepersonneltraining
Withinayear HMGS/GeographicalMaterialsProvisionSubdivision
3 1.2,2.4,3.2
Organisepersonnelparticipationinaconsistentwayintrainingactivities&assessments
4 Withinamonth HMGS/GeographicalMaterialsProvisionSubdivision
4 3.3,5.1,7.1
Consistentmeasurementofcustomers’andemployees’satisfaction,systematicandprogressivecollectionandmanagementofallpertinentdata
4 Within2months
HMGS/GeographicalMaterialsProvisionSubdivision
..29
ForHMGS,meetingbudgetandfinancialgoalsisamajorpriority.Reliabledata,systematicallyand
progressivelycollectedandmanaged, isakeyfactorforperformanceimprovement.Hence, it isofutmostimportanceforHMGStoemployaTotalQualityManagementToolthatallowsforconsistentmeasurementof customers’ and employees’ contentment andwork towards improving results, as
well as to ensure a positive work environment and encourage personnel to participate in aconsistentwayintrainingactivitiesandassessments.
In conclusion, the implementation of a TQM tool within the Geographical Materials Provision
Subdivisionisdeemedvalid, ifnotnecessary,andreflectsthemanagement’scommitmenttostriveforcontinuedexcellence.
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Italy
Case:TheeducationandguidanceneedsoftheItalianSecondaryEducationInstituteGalilei-Artiglio
IstitutoTechnicoIndustrialeApplicateG.GalileiViareggio,Italy
MariaGraziaAnatraTeacherandresponsibleofthequalityimprovementplan
Tel.:393332945995/+39058453104E-mail:[email protected]
Sectoroftheorganisation:EducationandResearchGalilei-Artiglio is an I.I.S. (Italian Secondary Education Institute) located in Viareggio, Tuscany. It
includes a Liceo and two Istituti Tecnici (Industrial and Nautical Technical Institutes). Since 2015Galilei-Artiglio has also offered post-secondary technical courses in the nautical sector (yachtcaptains,engineersandrefitters).Galilei-Artigliomissionistoprepareitsstudentstobeproductive
citizensandlifelonglearnersinarapidlychangingworld.Galilei-Artigliostakeholdersareitsstudents,theirfamilies,itsstaff,andthewholecommunitytheyalllivein.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion2:StrategyandPlanning,sub-criteria2.1:Gatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation
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1.Descriptionoftheimprovedresult(s)oftheorganisation
Inour casepresentation the startingpointwill bea comprehensivedescriptionof thebest resultsachievedinrelationtotheenablersused(Criteria1-5),andthestrategiesandapproachesemployedtoachievethem.
Ourcasehasevidencedthreetypesofresultswithregardtothetrendsobservedintheyears2013-
2016.Theresults,asexpressedinpercentagevariations,arethefollowing:
1 Numberofnewstudentsenrolledintheschool increaseof32%
2 Numberofstudentsattendingthescientificseminarsorganisedbytheschool
increaseof40%
3 Positiveopinionsonourstudents'skillsandcompetencesexpressedbyhostingorganisationduringandafterthestudents’workexperience.
increaseof20%
Asdetailedbelow,the4criteriaof theCAFModelusedasreferencetobetterexplainsuchresultsarethoserelatedwiththefieldof1)citizens/customers,2)people,3)socialresponsibilityand4)key
performance.
Numberofnewstudentsenrolledintheschool(increaseof32%)
ThisresultreferstoCAFCriterion9(Keyperformanceresults)
Key performance results relate to all that the organisation has determined as essential for the
existence of the organisation itself and for its continuous improvement process, in order to bothsatisfytheneedsandrequestsofthedifferentstakeholders(externalresults),andbeabletomanageand improve the process itself (internal results). The annual monitoring that our Educational
Institutioncarriesouttokeeptrackofthenumberofnewstudentsenrolledprovidesevidenceofameaningfulpositivetrend:32%increaseinthreeyears.ThisfiguredemonstratestheeffectivenessofthepolicycarriedoutbyourInstitutioninordertoprovidethestakeholderswithservicesaimedat
improving the conditions of direct beneficiaries. These key performance results are particularlyimportant because they refer to the effectiveness of the process that is at the heart of anyeducational institution: the teaching/learning process. The results achieved encourage our
EducationalInstitutiontocontinueandexpandthestrategiescarriedoutsofar,tacklinghowevertheresidual issues and areas ofweakness (e.g. school failure anddropout percentages) that havenotbeensufficientlyresolvedyet.
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Number of students attending the scientific seminars organised by the school(increaseof40%)
ThisresultreferstoCAFCriterion6(Citizen/Customer-orientedResults)
Since the recipients or beneficiaries of the services provided by our Education Institution arecitizens/customers, the Institution needs to measure directly the degree of its stakeholders’satisfaction,withregardtotheoverallimageoftheorganisation,theservicesandproductsprovided,
itsopennesstotheterritoryanditsabilitytoinvolvethecitizens/customersthemselves.
Our case points out the organisation of high-level scientific seminars held at our EducationalInstitution,thatischaracterisedbyahighlytechnologicalandscientificnature.Theseseminarshavebeen held in weekday afternoons by University professors and other specialists, and have been
aimednotonly at our studentsbut also at other schools’ students and all interested citizens. Thelevelofthespeakersinvolvedhasensuredthehighqualitycontent.Theaveragenumberofseminarattendees has evidenced an increase of 40% in three years, which can be considered a satisfying
result (as per sub-criteria 6.2 – Performance measurements). As per sub-criteria 6.1 (Perceptionmeasurements), after each seminar, attendees have been interviewed about the relevance andinterestofthethemesproposedfortheirpresentandfuturestudiesandthecommunicativeskillsof
the speakers. This is leading us to expand the number and themes of the seminars, increaseinformationaboutthemandimprovetheirdissemination.
Positive opinions onour students’ skills and competences expressedbyhostingorganisationduringandafterthestudents’workexperience(increaseof20%)
ThisresultreferstoCAFCriterion8(SocietyResults)
Suchcriteriaaimsatacquiringandprocessing theresults theorganisation isachieving insatisfyingthe needs and expectations of the local, national and international community. Such objective
includestheinternalmeasuresnecessarytoverifytheeffectivenessofthecontributionmadebytheInstitution itself to society. Inourcase thenumerousand frequentcontactsandpartnershipswithlocal companies where our students have their work experience, have led us to measure the
perception that the hosting companies have of our students, both in a direct way (personalstudent/company tutor relation) and in an indirect way (company/school relation). The positiveopinionsbythecompanieshaveincreasedof20%inthreeyears,highlightingthusthegoodlevelof
preparation(bothtechnicalandcommunicational)giventhestudentsbyourInstitution.
Moreover, this resultcanalsobeassessedunderCAFCriterion9 (Keyperformanceresults),and inparticular under sub-criteria 9.1 (Outcomes to goals). The increase in the appreciation of theeffectiveness of the institution’s plans and strategies to meet the expectations of the external
stakeholders (i.e.our students’good levelofpreparation for theirworkexperienceasassessedbytheirhostingcompanytutors)isapositiveexternalresultinlinewithourorganisationmission.
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2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
Theimprovementactiondescribedbelowhasbeenadoptedafterself-assessmentwithCAFandhasbeennamed‘Educationandguidanceneeds’.
Contents
Such action has been structured around two different activities, both converging towards therealisation of the objective of answering the education and career guidance needs of ourcustomers/citizens.
The self-assessment has evidenced thepossible difficulties and/or feelings of inadequacy our ex-
studentsmayfaceeitherintheirentryintothelabourmarketorintheirfurtherstudies.Theanalysisofdata, still inprogress,hasprovideduswithabenchmarkingdataset containing indicatorsaboutthe changesand trends in theeconomic sectorsof the territory,useful forbotha revisionandan
updateoftheSchooleducationaloffer.
Anumberofdifferentinitiativeshavebeenundertaken:workexperiencesandinternshipsatsomeofthe best local companies and institutions; pre-university career guidance services in collaboration
withtheUniversityofPisa;and, inparticular,seminarsandworkshopscalledPomeriggiScientifici(ScientificAfternoons)onsubjects related toscientificand technological innovation.Seminarsandworkshops have been addressed mainly to our students but they have also been open to other
schools’studentsandallinterestedcitizens.
Startingpoint
ThechoiceofthisActionhasbeenbasedonacarefulassessmentoftheInstitution’sstrategiesandplanning(Criterion2)thatrequireconstantrevisionandupdateinordertomatchourstakeholders’ever-changingneedsandexpectations.
In this case,ourRAV (RapportodiAutoValutazione, Self-AssessmentReport) refers inparticular to
the4Sub-criteriaofCriterion2toidentifysomewaysofimprovingoureducationalpolicy:
• amorecarefulidentificationofalltherelevantstakeholders;• a closer involvement of stakeholders in the process of deploying strategy and planning by
prioritisingtheirexpectationsandneeds;• thecreationanddevelopmentofanewculture/readinessforinnovation;• themeasureofitsimpactonthecommunity.
ThemainareaofweaknessfoundhasbeentheinsufficientidentificationandcharacterisationofourInstitutionasascientificandtechnologicalcentrewithintheterritory.Theactionundertakenaimsat
tacklingandsolvingthismisinterpretation.
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Mainimplementationphases
Theactionhasconsistedoftwomainsimultaneousimplementationphases,coveringthetime-frame
March2015-June2016.Thetwophaseshavebeenbrokendownintoseveraladvancementsteps.The first phase has been labelled ‘Monitoring Phase’, the second one ‘Education and CareerGuidancePhase’.
On the one side, the ‘Monitoring Phase’ has involved four main actions: 1) revision and
improvement of both the questionnaire to be submitted to former students and its method ofsubmission;2) submissionof thequestionnaire to the respondents;3) comparativeanalysisof thedata collected through the latest version of the questionnaire with previously collected data; 4)
synthesisandpresentationofthedatatotheInstitutefaculty.
On the other side, the ‘Education and Career Guidance Phase’ has been developed through fourmaininitiatives:1)organisationofthird-yearstudents’workexperienceprogrammes;2)organisationof the abovementioned ‘Scientific Afternoons’; 3) organisation of the so-called ‘Giovani al Futuro
Days’ during which our students can meet and get in contact with the CEOs of important localinstitutionsandcompanies;4)participationofourstudentstotheUniversityofPisaOpenDays.
Mainobjectivesofbothphaseshavebeentogather,analyseandreviewrelevantinformationaboutthe present and future needs of our students, so that our Institution can revise and improve its
strategies and policies to meet the ever-changing need of all its stakeholders (students, theirfamilies,ourstaff,andthewholecommunitywelivein).
The two phases, as per the structure of the PDCAmodel, have been accompanied by amonthly
reportonthestatusoftheprojectthathasallowedustoassessitsdevelopment.Monthlymeetingsofthequalityteamhavebeenheld.
TheresultsthatweretargetedatthebeginningoftheAction(e.g.,increaseofthenumberofformerstudents interviewed though questionnaires, increase of the number of students attending the
scientific seminars, increase of positiveopinions on our students’ skills andcompetencesexpressedduringandafter
the students’work experience) have allbeenmet.
Roles and responsibilities of themajoractors
In the implementation phase of the
quality improvement plan, the school leader first selected and officially appointed the personresponsibleofthequality improvementplan.Atthesametime,theschool leadingteamchosethepeopleresponsibleforeachprojectandofficiallyentrustedthem.
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Criticalsuccessfactors
At the end of the self-assessment process, the self-assessment team, together with the School
Leader, has identified some critical success factors (or organisation key elements) upon which tofocusourattention.
Oneofthesekeyelementshasbeen identified inthecitizen/customersatisfaction,a fundamentalobjectiveforanyeducationinstitution.Inparticular,suchcriticalsuccessfactorhasbeenrelatedto:
a. thehighlytechnologicalandscientificnatureofourSchool;b. thedifferenttrendsinthedemandofthelocaljobmarket;c. the professional skills demanded by the various economic sectors at national and European
level.
Mistakes/Weaknesses
As pointed out in the description above, as per the structure of the PDCAModel, the casemajorstepshavebeenaccompaniedbyamonthlyreportonthestatusoftheprojectwhichhasallowedustoassessitsevolutionandprovide,ifnecessary,somereviewsandmodifications.
In our case, as mentioned above, both the
methods through which the questionnaires toformerstudentsareadministeredandthephoneinterview questions themselves have been
reviewed and fine-tuned. Such steps haveimprovedandenrichedtheinformationacquiredoneachspecificaspectoftheSchoolfunctioning
and organisation. All that has allowed us toreview, renew and improve the Schooleducationaloffer.
Caseimpactlines
In order to clarify the case impact lines, it is
useful to refer to the 5 enablers of the CAFModel. These criteria have helped us better
understand the beneficial impact of the actionundertaken, also in relation to other importantareasandvitalpartsoftheorganisation.
The improvement action facilitates the
identification of all the strategic partnersencouraging thus positive relations andcollaborations,andpromotetheinvolvementofthecitizens/customersinordertomeettheirneeds
andexpectations(Criterion4:PartnershipsandResources).
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TheactionstrengthensandreinforcestheroleoftheLeadership(Criterion1:Leadership)inordertoformulate and develop our mission (what our goals are) and vision (where we want to go) and
translatethemintostrategicactioninboththeshortandthelongterm.
The action also promotes and supports the personnel training (Criterion 3: People), especially ininnovativetechnologicalsectors, involvingthemintheplanningofprojectsandcollaborationswithexternal partners in both the public and private sectors (universities, companies, research
institutionsetc.).
At last, the action involves the citizens/customers to improve the services provided by theInstitution,forexamplethroughsurveysabouttheservicequalityitself(Criterion5:Processes).TheactionpresentedrefinesandenrichestheSchooleducationaloffer,improvingthusthequalityofits
fundamentalprocess,theteaching/learningprocess.
3. Description of the prioritisation approach that led to the chosenproject
Our RAV (Rapporto di AutoValutazione, Self-Assessment Report) has revealed numerous areas of
improvement related to theenablers sub-criteria.With regard to the ‘prioritisation’ approach, theCAFModelsuggeststheadoptionoftworelatedtables:
1. anImportance/Valuematrix;2. anactionprioritymatrix(Impact/Resources/Time).
Our quality team has used such approach to identify a number of possible actions. Three actions
haveemergedasfundamentalforourimprovementplan,andthefinalchoicehasbeenbasedonthefollowingconsiderations.
Thefirstaction(Initiativestofightschoolfailureanddropout)aimsatreducingthehighnumberofstudents that, especially in the first two years, have to repeat a school year or choose to leave
school. This first action has been tackled by applying benchmarking practices already adopted bysimilar education institutions. Further initiatives to limit this phenomenon, however, need to beexploredandimplemented.
Theothertwoactions(Educationandguidanceneeds–hereillustrated–andOrganisationofWork
ExperienceProgrammes)bothfollowandrefinestrategiesalreadyundertakeninpreviousyears.
OurEducationInstitutionisperfectlyawarethatitsofferischaracterisedbydisciplineswithahighlyscientific and technological content. Such an educational offer needs to be constantly reviewed,improvedandupdated.Thisisthereasonwhy,overtheyears,wehaveestablishedcloserandcloser
relations with university teachers and experts on the one side, and with the main companiesoperatinginourterritoryontheotherside.Suchrelationsandcollaborationshaveledustoabetterunderstanding of the skills and competences our students are expected to acquire, and have
encouraged us to review and update the knowledge and training we provide. This continuousimprovementofoureducationalofferaimstofullysatisfyourcitizens/customers,enhancingthusthe
imageourInstitutionprojectsontothecommunity.
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Italy
Case:ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia
AutomobileClubd’Italia(ACI)ACITerritorialUnit(UT)Savona
Dr.AntoninaPennacchioResponsiblefordiffusionofCAFprocedureattheDirectionPresidencyandGeneralSecretary,withdelegationforDelegatedServicesTel.:+39.3208592248/+39.06/49982909e-maila.pennacchio@aci.itDr.SabinaSoldiDirectorofDirectionPresidencyandGeneralSecretarywithresponsibilityforDelegatedServicesTel.:+39.06/[email protected]
Sectoroftheorganisation:Transports,Infrastructures,PublicworksandPublicservices
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criteria1:sub-criteria1.1,1.2,1.3and1.4Criteria2:sub-criterion2.1Criteria3:sub-criteria3.1,3.2and3.3Criteria4:sub-criteria4.1and4.4Criteria5:sub-criteria5.1,5.2and5.3
1.Descriptionoftheimprovedresultsoftheorganisation
The increased performance obtained by Territorial Unit ACI ofSavona after the applicationof CAFmodel are: results relative to
customersatisfactionofservicesdeliveredbyUT(fromatargetof40%tocurrent70%);resultsrelatedtosatisfactionandmotivationof UT’s personnel (from a target of 50% to current 90%); results
relative to internalperformance indicatorsaimedatorienting theorganisationtowardsusers’needsandexpectationsfulfilment,likewaiting times at front office (from an average of 20 minutes to
targetof5minutes).
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TheseresultshavebeenmeasuredbetweenApril2014andMay2016usingtoolslike:
• Customer satisfaction (CS)measurements adoptedbySavonaUTona sampleof100citizens-users through a questionnaire structured according the following dimensions: accessibility,reliability,responseability,reassuranceability,empathyandprofessionalism.CSmeasurementswere performed according tomethodological requirements both ex-ante (April 2014) and ex-post(May2016).
• Personnelsatisfaction(PS)surveycarriedoutbytheoffice inSavonaamongtheUT’sstaff (15resources) to measure their service quality perception, based on the following aspects:accessibility,reliability,responseandreassuranceabilities.PSsurveywascarriedout,accordingtoCAFmethodologyrequirements, inApril2014, inMarch2015andoverthefirstsemesterof2016.
• TargetIndicator:WaitingTimeatFrontOffice:Datacollection,accordingtosamplingcriteriaforthemeasurementandassessmentofwaitingtimeat the frontoffice. (Target: fromanaveragewaiting timeof 20minutes to5minutes). In2014:maximumwaiting timewas1hour and15minutes,averageservicemanagementtime(frominitialservicerequesttotimeresolution)was22minutes,numberofcustomersatfrontofficewas3000.In2015:maximumwaitingtimewas53minutes, average servicemanagement time19minutes, andnumberof customers at frontofficewas6000.In2016:thelongestwaitingtimewas41minutes,averageservicemanagementtime12minutes,andnumberofcustomersatfrontofficewasroughly6000(1stsemester2016).Thesignificantdecreaseinwaitingtimehasledtogreaterserviceefficiency.
• UTServiceResponseAnalysis:Usingvarioussamplingmethods,ananalysiswascarriedout tomeasurehowmanycallsand/oremailstheUTreceivedduringtheperiodApril2014-May2015.In the reference time, the requests were recorded in terms of: user type, complex or simpleprocedures,meansofaccessoftherequest.Onasampleof65Customers/Citizens,thehighestpercentage of requests (43/65) were made by professionals (e.g. agencies handling vehicle-relatedtransactions).Professionalsmadecomplexrequestswhileordinarycitizensmadesimplerequests(22/65).
• Service Quality Problem Assessment: From April 2014 to May 2015 we analysed the mainproblems affecting service quality. Problems identified: increased work and fewer staff, andtemporaryITproblems.
Otherimprovementareasasfollows:
• Sub-criterion 6.1 Results regarding the overall image of the organisation and properimplementation of the practice; personnel courtesy and professionalism; flexibility andadaptabilitytousers’requirements;resultsregardingaccessibility.
• Sub-criterion6.2Reputationoftheorganisationanditsservices;numberofhoursoftrainingofpersonnel dedicated to effective management of competence and relationships with usersprocesses; extent of efforts to improve the transparency of information; number and thecomplainthandlingtimes.
• Sub-criterion 7.1 Results relating to personnel satisfaction compared to the overall image;respectoftheapproachoftheorganisationinthefaceofthestrategicfactorinnovation.
• Sub-criterion 7.2 Evidence on the ability to relate with clients and respond to their needs;indicatorsregardingmotivationand involvementofstaff inchangingprocess;thedevelopmentofskillsconcerningtheinternalmobilitybetweenbackofficeandfrontoffice.
• Sub-criterion9.2 theoutputefficiency in termsof costs,evidenceof success in improvingandinnovatingorganisationalstrategies,structuresandprocesses;processperformance.
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2. Implementationof improvementorchangingproject followingtheCAFself-assessmentfromwhichareobtainedresultsmentioned
The project carried out by the UT of Savona - started on April 1
2014andfinishedonJanuary312015-impliedanimprovementofthe front office processes and the setting up of a systemmonitoring the service quality perceived by userswith respect to
complaintsmanagementinparticular.
These improvement actions were taken in response to problemsencounteredby the front-office inmanaging peakworking hours.TheworkloadhadincreasedsincethestaffoftheUTofSavonawas
entrusted to deal with car tax related matters too, after anagreement(2014)betweenLiguriaRegionandtheAutomobileClubd’Italia(ACI).
Inparticular,theabovementionedaugmentedworkload,causedasignificantloweringinqualityof
delivered services at front office, of customer satisfaction and in general the satisfaction ofstakeholders (professionals, lawyers, public administrations, fiscal experts, associations, officialreceiver) and also of the front-office personnel.Moreover, this situation also caused a decline in
qualityofworkingenvironment.
Thedescribedplanofactionwasimplementedinthefollowingsteps:
1. MappingtheprocessesoftheUT.Thisimpliedaprocessanalysis,whichalsotookintoaccountthedistintionbetweencoreprocessesandtheirsub-processes:
• Core processes: managing the Public Register of motor vehicles (Pubblico RegistroAutomobilistico - PRA);managing PRA sub-processes such as: a)management of requestsfromordinary citizens; b)managementof requests fromprivate agenciesdealingwith anykindofcarrelatedtransactions;(c)cartaxmanagement.
• Supportingprocesses:beingpresentinareaswhereprivateagenciesdealingwithanykindofcar related transactions operate; active cycle accounting, i.e.management of cash inflowsand of slip payments; passive cycle accounting i.e. management of cash outflows,reimbursementsandoperationalexpenditures;URP(publicrelationsoffice)i.e.managementofparticularlysensitiveuserrequestsandofrelationshipswithotherpublicadministrations;runningoftheUTsecretariatandofofficeautomationsystems,aswellasmanagementofITprotocolsandofcertifiedmailboxes.
2. Final aim of the project was to reduce waiting times from an average of 20minutes to the
presentaverageof5minutes.
Thiswasachievedthroughsub-phaseslike:
a. Recordingofworkloadsatthefront-offices.b. Assessmentofdifferentcasestreatedatthedesksandmeasurementofresponsetimeonall
customer inquiries, classified in the followingway: simple information; consultations; userrequestsconcerningcarrelatedtransactionsandcartaxpayment.
c. Recordingwaitingtimesofusersatfrontofficedesks.
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3. Installationofthesoftwarerecordingthenumberofcitizens/clientsqueuingup,andthequeuewaitingtimes.
4. Better cooperation between front and back-office staff with a view to further reducingprocedureworkingtimes.Thiswasmadepossiblethroughstandardtrainingcourses forall thestaffdealingwithPRAandTaxmattersandthroughatargetedtrainingmeantforfrontofficestaff.
5. Devoting2outof4total front-officestocar taxmatters,withoutextendingopeninghoursoftheseoffices.
6. Thenewfront-officeprocessesweremademoreefficientbyestablishingasystemtomanagecitizen/client complaints. The following principles must be respected in reference to thecomplaints: accessibility of users in terms of clarity about how and where making claims;transparency and impartiality guaranteeing an equal opportunities treatment; gratuitous andprivacy;customer/citizensorientedapproach;clearidentificationandresponsibilitiesofwhoisincharge inmanaging theclaims; continuous improvementof thecomplaintmanagement systemandoftheservicequalityprovidedbytheSavonaUT.
7. StartingastructuredsystemofCustomerSatisfaction(CS)aspartoftheprocessimprovementphasecarriedout inMarch2015.CustomerSatisfactionaimedatdetermining:accessibilityandreliability; completeness and clarity of information provided to users and stakeholders;reassuranceabilities;empathyandprofessionalismoffrontofficestaff.
8. SettingupastructuredsurveyofPersonnelSatisfaction(PS).ThiswascarriedoutinMarch2015andmeant forUT staff (15 resources)with thepurposeof analysingperceptions about servicequalitydeliveredatthefrontofficeaccordingto:accessibility,reliabilityandreassuranceabilities.
Themainrolesandresponsibilitiesofthekeymanagers
a. TheHeadof theACITerritorialUnitofSavonawas fully responsible for the ‘ImprovementPlan’consistingoftheimprovementactionsdescribedabove.Shealsosupervisedtheactivitiescarriedoutbyalltheotheremployees.
b. A member of staff at ACI Headquarters in Rome played the role of facilitator of the serviceimprovementprocessinlinewiththeQualityStrategyoftheAutomobileClubd’Italia.
Themainsuccessfactorsareasfollows
a. Citizens/Clients Customer Satisfaction. As a result of self-assessment, the value of time wasconsideredakeypriority. Thishelped tobuildan imageof theUTasapublic serviceprovidingconcreteand tangiblebenefits tousers.Before the improvement, theUThad severalproblemsaffectingCitizen/CustomerSatisfaction:overcrowdinginthewaitingroomoftheUTSavonawithdeteriorationoftheACI’sbrandvalue; increaseofwaitingtimeatthefrontoffice;deteriorationoftrustbetweencitizens/clientsandACI.
b. Staffmotivation.Asaresultofself-assessment,staffmotivationprovedtobeakeypriority.Theemployees themselves were actually well aware of their responsibilities and contribution tokeeping a high level in the quality of services delivered at the front office. Before theimprovement theUThadseveralproblemsaffecting staffmotivation.The frontoffice staffwasstresseddue to the increase in thenumberand typeof requests.Thestaff felt tobeunable tocopewithitsjob.TheseproblemscausedafailureoftrustbetweenthestaffandtheheadoftheACIUTofSavona,althoughhewasacknowledgedasanauthoritativeleader.
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Thebiggestmistakewasthatqualityassessment(waitingtime,handlingofdossiers)-perceivedbothinternallyandexternally–wasbasedonasmallsample.Thisaspectwasamendedbyincreasingthe
sample (not 10%, but 100% of users coming to the Office) and considering busy office hours inparticular.
3. Description of the prioritisation process that led to the chosenproject
The defining process used by Territorial Unit of ACI Savona, was implemented according to the
followinglogicalsequence:
A.TopromotegoodpracticesimplementedbytheACITerritorialUnitinaccordancewith:
1. theregulationActNo.15of2009andfollowingLegislativeDecree150/2009;2. thecurrentgeneralapproachadoptedtostreamlinethePublicAdministration(PA)systemand
makeitmoreefficientandeffective;3. ACI’sguidelinesoninternalstrategicpolicy,whichareshapedontheCAFmodel,asatoolaimed
at planning, management, evaluation, correction and continuous improvement of productionprocessesandservicesprovidedtothecommunity.
B.IdentificationofimprovementactionswithrespecttoACI’svisionandmissiononthethemeofmobility,andbytakingintoaccountthefollowingpriorities:
Externalpriorities:
a. Guaranteeingcustomersatisfactionbymeetingtheneedsofcitizens/clientsandstakeholders.b. Partnershipswithdifferentsocial,economic,culturalandinstitutionalactorsoperatinglocallyin
ordertoaddressproblemsrelatedtolocalmobility,thusachievingacommongoalandcreatingvalueforusersandstakeholders.
Internalpriorities:
a. Taking into account organisational, economic andinternal technological skills, and favoring thoseimprovement actions that could be implemented byusing internal resources, both human (number andexpertise) and material (equipment, systems,processes, investment budget), thus respecting thelogicofspendingreview.
b. Timeframe to complete theproject - start and endof the activity according to the TerritorialUnit’simprovementplan,withaviewtoshowing,intheshortterm,theimpactofthemodelonimprovingorganisationalperformance.
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Norway
Case:IncreasedstakeholderinvolvementintheplanningoftheConsumerOmbudsman’sworkandpriorities
ConsumerOmbudsman(CO)Norway
MiriamKarlsenTel.:+4745490029
E-mail:[email protected]
Sectoroftheorganisation:JusticeandLaw
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion2:Strategy,sub-criteria2.1Gatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformation
1.Descriptionoftheimprovedresult(s)oftheorganisation
AfterconductingtheCAF in2015, theConsumerOmbudsmanhas increased itsdirectcontactwithstakeholderswhileplanningtheorganisation’sprioritiesforcomingyear.
The implemented improvements have led to a more systematic approach to obtaining relevantinformationfromstakeholders,andthestakeholdersaredirectlyinvolvedintheplanningprocess.
As the diagram shows, you can see
thatthenumberofcontactmeetingsduring the planning process hasincreasedwithabout200%.
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In addition tomoremeetings, our contact with stakeholders is now based on amore systematicapproach.Thiscanbeillustratedbyournewformofcontactmeetings,seetheillustrationbelow:
Theformhasseveralfunctions.First,whenitisfilledin,itgivesusanoverviewofstakeholdersthat
we should be in regular contact with each year. Secondly, it helps us to spread the meetingsthroughout the year.We do not have capacity to meet with all our relevant stakeholders in theautumnduringtheplanningprocess.Byfocusingoncontactmeetingsthroughouttheyear,weare
able to meet with more stakeholders, and in this way, we are improving the stakeholderinvolvement.
As shown in the right column, we also select aperson responsible for organising each meeting,
which increases the likelihood that we actually willfollowthroughwiththeplanforcontactmeetings.
IntheConsumerOmbudsman’splanofaction,whichstates the priorities of the CO’s work for the
upcoming year, the stakeholder involvement in theplanningprocessishighlightedintheforeword.
Anexamplewherethestakeholderinvolvementhashadaninfluenceonourprioritiesin2016canbeobtained fromour supervisionwith the ICT-market. In thismarkedwe findmisleading use of test
resultsinadvertisementsforinternetandtelephoneservices,thusitisimportantfortheConsumerOmbudsmantotrytostopthismisinformation.
Coverageandspeedareimportantfactorsforconsumers,andareoftenemphasisedinthemarketingof Internet and telephony services. Strong competition between the operators on offering
consumers thebest coverageandspeed,have led toapracticewheredifferentoperators refer totestresultsshowingthattheirproductsgivesconsumersthebestcoverageand/orspeed.
However, determining which operator that can offer best coverage and speed is a difficult task.
Often there can be large local variations, and different tests may show different results. Hence,severaloperatorsallpublishadvertisementsclaimingtohavethebestcoverageandspeed, leavingconsumersconfused.
Photo:pixabay.com
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After inputsfromthestakeholders,weplannedtoparticipateandgive a lecture on code of conduct when using tests results in
advertisement at an annual ICT-conference where all marketplayersusuallyattend.TheconferencewasconductedinMay2015andhadabout250participants.After theconferencean identical
letter was sent to all operators, with information on code ofconduct when using test results in marketing. The ConsumerOmbudsmanalsohasinitiatedproceedingsagainsttwooperators,
whodonotcomplywiththelaw.
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
The Consumer Ombudsman (CO) is an independent administrative body which carries out
supervisionoftheMarketingControlAct.WhendeemednecessaryintheinterestofconsumerstheCO has authority to issue decisions banning unlawful marketing, or unlawful contract terms andconditionsinstandardcontractsinallsectors.Asasmallsupervisoryagencywithonly26employees
anda largeareaof supervision, it is vital toprioritise themost important issuesand find thebestworkingmethods, toachieve thegreatest impact. Inorder toachieve this,wenotonlyneed legalexpertise, but also good trade knowledge on the sectors we superintend, such as the financial
market, the housing market and the market for ICT services. Stakeholder involvement is vital toobtaingoodtradeknowledge.
Before carrying out the CAF assessment we had the impression that we had sufficient points ofcontactwithourstakeholders.TosomeextenttheCAFassessmentdidconfirmourimpression.We
haveasystemallowingconsumersandbusinessestoadviseusonviolationontheMarketingControlActtothedetrimentoftheconsumers.Wealsoattendconferencesthroughouttheyear,andcarryoutcontactmeetingswithtraders, industryorganisations,theConsumerCouncil,othersupervisory
authoritiesetc.However,theassessmentidentifiedsomeweakpointswhenitcametosystemisingthe stakeholder involvement as well as involving stakeholders in the planning of the ConsumerOmbudsman’s plan of action. We discovered that the organisation didn’t have sufficiently clear
proceduresforarrangingcontactmeetingswithstakeholdersduringtheplanningphaseoftheactionplan.Onlyasmallpartoftheorganisationdidactuallyholdsuchmeetingsduringtheplanningphase.
Photo:pixabay.com
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TheCAFassessmentalsomadeusconsiderwhethertherewereothermethods,thanregularcontactmeetings,toinvolvestakeholdersintheplanningofourwork.
AsaresultoftheCAFassessment,themanagementteamissuedclearinstructionstoallsectionsof
theorganisation, toarrangecontactmeetingswith relevant stakeholdersaspartof theprocessofmaking our action plan. The different sections of the organisation were required to identify andarrange meetings with relevant stakeholders, in their respective sectors.We also systemised our
existing practices for contactwith stakeholders. Thiswas considered necessary in order to ensurethattheopportunityforstakeholderinvolvement,inthedifferentsectorsofourorganisation,wasn’tduetochance.
In addition to increasing the number of contact meetings, and developing a more systematicapproach to obtaining relevant information from stakeholders, we arranged an internal seminarwherethreelargeindustryorganisationswhereinvitedtocomeandtalktousabouttheirviewson
theCO’sworkintheirrespectivesectors.Theywerealsoaskedtotalkaboutwhichchallengestheirindustrywerefacing,andgivetheiropiniononwhattheCOshouldfocusoninitssupervisionoftheir
respectivesectorsinthecomingyear.Thethreeindustryorganisationsrepresentedthemajorityofthecompaniesintheirrespectivesectors,whichisthefinancialindustry,therealtorbrokeragesandtheICTindustry.
Itwasagreatsuccessinvitingthemajorindustryorganisationstocomejoinusforhalfaday,while
wewere inthemiddleofplanningourpriorities fortheupcomingyear.The industryorganisationsappreciated the opportunity to give us their view on our performance, and we received usefulinformation on their focus areas for the upcoming year,which confirmed ourmain priorities. The
representatives from the organisations were also invited to stay for lunch, which gave a niceopportunityfornetworkbuildingbetweenourstaffandtherepresentativesfromtheorganisations.
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3. Description of the prioritisation approach that led to the chosenproject
TheCO carriedout theCAF self-assessment in January 2015. The final self-assessment reportwasmadeavailabletothemanagementteambytheendofFebruary. InApril theCAFSelf-AssessmentGroup presented the report, including a description of the process and themajor findings, to the
entirestaff.Theentirestaffthenspentonefulldaydiscussingthemajorfindingsandeveryonewereinvitedtogivetheiropinionsandsuggestionsforimprovements.
Therewerefourmajorfindingsoftheself-assessment.Weidentifiedaneedforincreasedknowledgeontheeffectsofourwork.Thiswewereawareofevenbeforetheself-assessment.Wedomeasure
effects in terms of less misleading marketing, or less unfair contract terms in standard contractsoffered to consumer. However, it is challenging tomeasure effects in terms of decreased conflictlevel, or decreased social costs, as a result of better contracts and more clear information in
marketing.
Photo:pixabay.com
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The second findingwas the potential of increased stakeholder involvement in the planning of theConsumerOmbudsman’splanof action. The thirdmajor findingwas related to criterion7;people
results. We didn’t have regular staff surveys, or other concrete measurements of the staff’sperception of the organisation. The final major finding was related to sub-criterion 4.5; managetechnology. The website of the organisation did not support showings on new devises, such as
mobilephonesorpads,verywell.Inaddition,thewebsitedidnotfulfilrequirementstoensurethatit would be user-friendly to peoplewith a poor vision. However, prior to the self-assessment theorganisationhadalreadystartedonaprojecttorenewthewebsite.Theprojectwasfulfilledinthe
first half of 2016. In addition therewere someother findings regarding the ICT tools used by theorganisation.
Aftergettinginputsfromthestaff,themanagementteamdecidedtofollowuponmostofthemajorfindingsfromtheCAFself-assessment.However,somefindingsdemandedmoretimeandresources
thanothers,suchasfindingawaytomeasureeffects intermsofdecreasedsocialcostsorconflictlevel.Themanagementgrouptherefordecidedtostartwith increasingstakeholder involvement inthe planning of the CO’s plan of action, as this was considered an important issue where the
organisationwithrelativelysimplemeasurescouldmakeimprovementsshortly.
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Portugal
Case:InnovativeHumanResourcesManagementintheLisbonMunicipality
LisbonMunicipalityHumanResourcesMunicipalDirectorate
Portugal
FátimaFonsecaE-mail:[email protected]
Sector:Localadministration
MainFigures:Lisbonas547.000inhabitantsandacommutingpopulationof926.000individuals.LisbonMunicipalityhas8.206workers,fromwhich160areManagersand375workfortheHuman
ResourcesDirectorate.TheInnov(ation)HRteamasaneffectiveof10workers.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):AllCriteria
1.Descriptionoftheimprovedresult(s)oftheorganisation
Our approach to CAF was unconventional at first, back in 2011. We started by using it as an
inspiration for thedevelopmentofmanagementmodels andnot as anevaluation tool. Therefore,ourresultsareverysignificantandcrossrelatedwithallthecriteriaofenablersandalsowiththefourresultscriteria.
Inthescopeofcustomers'sideresultsoftheseveralprojectsthat
wehaveimplementedwithdirectimpactinourcustomers,thecivilservantsworkingforthemunicipalityofLisbon,wefoundresultsintwodimensionsinallthethreekindsofcustomerswehave:
Perception
1. Managers: They state that the creation of the HR Function team ‘was a contribution tostandardise theway activities are done’ they also emphasise that now ‘their teams are bettertrained’.
2. Interlocutors,thecontactpersonsonHRinthecityservices:80%areextremelypleasedwiththeinformationtheyreceiveand78%ensurethatithadapositiveimpactintheirperformance.97%consider that it is important and very important all the initiatives which aim to shareknowledge.
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3. Workers: 68% consider our health programme extremely useful. And our canteens are ratedwith3,85/5byourworkers.
Performance
1. Managers: All city services designated their interlocutors with HR and 83% of themimplemented the HR Function. All services presented their Evaluation and AccountabilityFramework.
2. Interlocutors:Reductionofpayrollmistakesandalsoreductioninthe‘helpdesk’phonecalls.3. Workers:More than 7000 participants in our health programme initiatives.More than 200
workersshowtheir‘talents’inourTalentWorkshops.
TheHRDirectoratealsobenefitsfromtheimpactofourCAFapproachinourpeople,andbeforegoingthroughtheresultsitisimportantto
statesomequotesfromourworkerswhichemphasisethatprogramslike the Participation Day ‘improve workers motivation’, ‘gives theopportunity to meet and mingle with co-workers’, ‘allows the
discussingandworriessharingrelatedtotheongoingprojects’,‘givestheopportunitytoshareideasforcontinuousimprovement’.Fromthiscriteriawecanextractthefollowingresults:
• 240participants(workersfromtheHRDirectorateandalsointerlocutors).• Almost400participants (HRDirectorateworkers, interlocutors,andinlesssignificantnumbers,
managersandworkersfromotherservices)in4editionoftheParticipationDay(DiaP).• In2015thenumberofparticipantsininternaltrainingisalmostthesameasin2012:14.• 28workersevolvedintheconstructionofHREthicalCharter,ourcodeofconduct.• 29internalprojectmanagers.• Workerswhoareself-willingtoparticipateinprojectsmorethandoublefrom2014to2015.• 18newsitemsregardinginternalteamsinournewsletter.
The third criteria fromwhere our organisation harvests results
was social responsibility, where we had 48 new workersreceived through 4 procedures, 869 workers moved within orbetween careers and 199 workers consolidated or changed
careerduetointernalprocedures.Allofthishappenedinatimeofsocialcrisis.Also:
• 8%ofourworkersenjoyspecialpermitstoconciliatepersonallifewithwork(work-lifebalance).• Wereceivedmorethan250interns(nationalandinternational).• Wepromoted22seminarsandconferences.• Wehavesigned45trainingconventions.• 100trainingsessionswheregiventocitizens,withmorethan3000participantseachyear.• Morethan1400workerssawtheirscholarandprofessionalqualificationupgraded.• 7articlesintheMediaregardingourHRModelasagoodpractice.
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Last,butnotleast,theperformanceoftheHRDepartmentwasimprovedwiththisapproach,bothinternandexternal,asprovedbythefollowingresults:
Internal
• 300workersperyearmovewithindifferentcityservices.• 844independentworkersintegratedinthepermanentstaff.• During the2011service restructuration84%of the redeploymentwhere
satisfiedaschosenbytheworker.• Reintegrationinthepermanentstaffoftheworkersfromanextinguished
municipalcompany.• During the administrative reform of 2014, 1200 workers were transferred to the Board of
Parisheskeepingalltheirachievedworkingrights.• CelebrationofPublicEmploymentEntityAgreementswithalltheUnions.• Outturnrates:PersonnelBudget:97,5%|Training:86,3%|Internaltrainersuse:94%.• 126HealthandSafetyaudits.• 181workersrecognised (128asspeakers inStaffEncounterSeminarsand53withRecognition
Letters).• 28workerswithcollaborativenetworkagreements.
External
• Bestpracticesacknowledgementin2013,2014and2015.• ExcellenceinHRawardin2013.• BestInternalCommunicationStrategyAward2014.• Runner-upintheInternalCommunicationAward2015.• MeritAwardasFamilyAwarenessMunicipality(since2012).• HonourMentionintheHealthyWorkplacesAwards2015.• RepresentingPortugalinthe8thQualityConferenceinLuxembourg2015.
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
As stated before our approach covered a vast array of CAF sub-criteria, so we will focus all thecriteriaandsub-criteria.
Criterion1:Leadership
Withtherestructurationoftheservicesin2011newmanagerswhereappointed,andwiththisnewmixofoldmanagersandnewmanagers,theHRdetectedsomelackofexperienceandalignmentamongthem.
Soweacknowledgedtheimportanceofhavingastraightforwardfocusforourworkandthedevelopmentofaself-identityperceptionamong
allthemanagers,whomustseethemselvesasateam.
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Westartedgatheringourstakeholders’opinionsregardingpeople’smanagementstrategytocreatethe conditions for an open discussion about our vision, mission, values and how could we share
knowledge among theorganisation to empowerourmanagers.With that informationwehad thebuildingblockstolaunchamonthlynewsletterwiththemainHRindicators,enforcingthestrategicalignmentandco-accountability.
We have also launched an executive coaching programme to
boost people’s management skills within the manager’s board,alsowe’veheldfocusgroupswiththemtoshapeamanagementmodelthatfitallthemunicipality.
Evaluation is key in all this approach, andwith the inputs from
the latest (2015) we developed the Ethical Charter (verydemandedbyalltheworkers)andwearenowworkingona360ºevaluationtoapplyintheHRDepartment,whichweaimtoapplyalsoinothercitydepartments.
Criterion2:StrategyandPlanning
Inaveryearly stagewewanted toknowtheneedsandwishesofallour stakeholders’andat the
same timegathering relevantmanagement information,andwewanted todo it inaparticipatoryway. From this first approach (2011) a strategic plan set upon three goals emerged: workplaceenvironment,trainingforanewmanagementmodelandcollaborativework.
In2013,theskillscharterwascreatedaimingtobeatoolthatallowedthealignmentbetweencore
organisationalskillsandthepursuedstrategy.
Again, and aswe are sure that evaluation is very important to guide us in the right direction,wedeveloped a model to operationalise the city governmentprogram, so that goals definedbymanagerswithin city services
couldshapethosedefinedbythecityelectedboard.
Also to ensure that everything has a true meaning we setindicators and targets in all activities of our plan deepening ourmanagement system and streamlining the individual goals, for
example for the axle ‘Support board of parishes in HRdevelopment and management in the scope of the city
administrative reform’ one of the indicators we use is ‘Rate of achievement of the HR sectorial
indicators of support to the administrative reform’, other example is on the axle ‘Implementing amanagementsystemfocusedinknowledgesharing,qualityandinnovation’wehaveasanindicatorthe‘rateofcityserviceswithparticipationinitiatives.
Criterion3:People
Hereiswhereourmanagementmodelandourbusinessgetmixedaround,mainlybecauseweuseourselvesasbeta-testersbeforespreading itamongtheotherdepartments.Sothatwecanevolve
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fromatraditionaladministrativeHRmodelweendowedourpeoplewithanewsetofskills,creatingtheHRInnovationTeam.
We’ve made a huge bet in internal communication and in the creation of team spirit, doing
teambuildingactionsandseveralotherleisureactivities.
Nevertheless,oneoftheworkersrecognitionandvaluingflagshipactionshadbeentheParticipationDay(DiaP),whichisatthesametimeatraining,alignmentandparticipationmechanism.Asinourapproachtheborderbetweencriteriaisverytenuous,wewereabletostreamtheneedsandtraining
withtheskillscharterandtheindividualdevelopmentneeds.
Also, we are creating a recognition and valuing programme which, while keeping the traditionalcompany-employeerecognition,willboostthepeer-to-peerrecognition.And inOctober2016we’llnothaveaparticipationday,butafullweek,wherefirstwe’regoingtoaskourcustomerstogiveus
their inputs inourperformanceand thenwe’llget togetherwithourworkers tobuildupon in theresults of our customers’ assessment anddiscuss new improvement goals. The intention is to useCAFasaself-evaluationtool.
Criterion4:PartnershipsandResources
Optimising resources and developing long term partnerships
are key elements in our management model. We’ve beenworking closely with organisations relevant both for ouractivities(universities,othermunicipalities,publicservices,etc.)
andforourworkers(servicescompanies,socialservices,etc.).
Sharing information is anotherkeybet, andweuseamonthlynewsletter,anintranetareaandathematicnewsletterjustfor
managers.We also endorse the shared use of resources, both knowledge and human, every two
yearswepromotean internalseminar,wherethespeakersaretheworkers,aimingtodisseminatebestpractices.
Anothersuccessinitiativethatwasaresponsetotheneedsbothfrommanagersandworkers,was the creation of the collaborative network.Workers from a
differentdepartmentcan(byathree-partsagreement)beallocatedtoaprojectout of their normal scope remediating on the one hand a lack of skill that adepartmentmayhaveandontheotherhandallowingtheworkertogetmore
motivation and learning opportunities, for instance having a lawyer from theLawDepartmentdeliveringshiatsutherapyinourHealthDepartment.
Also,andverypopularamongourworkersareourshealthandsafetyprogramsaswellasourtalentworkshops.
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Criterion5:Processes
Overandabovebeingaparticipatedandstrategicmanagementsystem,oursystemalso ingrainsa
processapproach.
Backin2012andstronglysupportedbytheassessmentmadein2011(Criterion1)westartedtomapour processes. We draw and optimised part of our processes, emphasising requirementsstandardisationanddematerialisation,andofcoursefocusinginalltimemonitoring.
In 2013 we created the Reference Framework for HRM, an annual HR policy document where
managerswill find informationonhowtodealwith themostcommonHRresponsibilities, suchashiring,workschedules,training,andsoon.
One of our main projects that also enforces co-accountability in HR Function is the creation andtraining of teams to support managers fulfilling their legal obligations and also making use of
managementbestpractices.
3. Description of the prioritisation approach that led to the chosenproject
We have pursued our approach, incremental and centered on gradual learning of all the
stakeholders. Since2011wehavemadea significantevolution in thewayweapply themodel, aswellasintheachievedresults,thatwereonlypossibleduetowisechoicesandprioritisation.
Togettothechosenprojects,andasstatedbefore,theHRmanagementteamin2011decidedthatprojects that aimed an innovative and improvedway ofwork culture and that allowed trial space
shouldbeinourtoppriorities.Then,usingCAFasmodel,developingacommonvisionandaprocessof change,with a long learning curve,wedeveloped in the last five years a vast array of projectsalignedwithalltheCAFcriteria.
Weare aware thatprioritisation is a critical success factor
to any project that results from a CAF approach. Wecentered our approach in three main axes that respond
both to our strategy and the identified needs: 1) ProvidemanagerswithHRtools,2)Increaseworkersparticipationinmanagement decisions, 3) Share knowledge and
information to raise awareness andmanage an ambitiouschangeprocess,fromaproceduralHRmanagementsystem
to a strategic peoplemanagement system.Nevertheless, and as it’s very important to note, even
thoughwedidn’twanttouseCAFasaself-assessmenttoolinthebeginning,it,withnodoubts,hasbeenourguide inourmanagementchoicesandour inspirationto internalisetheneedtoevaluateeachprojectwehaveimplemented.
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At this stage,weareworkingonour self-assessmentmethodology touseduring theParticipationWeekinOctober2016.Onceagain,CAFmethodologyisourguideandwewillhave,forthefirsttime,
acomplete formal self-assessmentandanewactionplan to improveourmanagementmodelandourresults.Forthatweareplanningathreestageapproach:1)wewilldeliveranawarenesssessionto HR workers regarding CAF and the goals we aim to achieve, inviting all of them to use an
assessment survey to evaluate our management practices and results. 2) We will consult thecustomersidebypromotingapackoffocusgroupstodiscussontheCAFresultscriteriaandcollecttheir inputs and suggestions on our ongoing and future projects. 3) Finally,wewill gather theHR
workers (in our Participation Day) to discuss on the results from the previous stages and deliverimprovementsuggestions.
Tosumup:webelievethatmanagementmodelsmustfosterexperimentationandprovideroomforerror.Amodelisn´tcarvedinstone,itmustbeasourceforinspirationandmustmakesenseineach
organisation.CAFmodelhasallowedus tosetourownpath for improvementandtoachieveveryinterestingresults.Let´sseeifaformalself-assessmentincreasesourperformanceevenfurther.
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Portugal
Case:QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar
SchoolgroupingFigueiraMarPortugal
PedroMotaCurtoandPaulaParrachoPrincipalofAgrupamentodeEscolasFigueiraMar
SchoolGrouping(6schools)E-mail:[email protected]
Sectoroftheorganisation:EducationandResearch
AgrupamentodeEscolasFigueiraMar isamultilevel institution located inFigueiradaFoz,Portugalconsisting of 6 public schools with 1200 students and all levels of education from pre-school to
regularandvocationalsecondaryeducation.
Refrencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:1.3Motivateandsupportpeopleintheorganisation
Sub-criterion:2.1GatherinformationonthepresentandfutureneedsofstakeholdersaswellasrelevantmanagementinformationSub-criterion:4.3.Managefinances
1.Descriptionoftheimprovedresult(s)oftheorganisation
The sub-criteria that stood out the best practiceswere 1.3, 2.1 and 4.3. Themotto of the Schoolfollows aQuality RouteCreating Passion andCommitment. It is theonly public school in Portugal
recognisedasEffectiveCAFUserand1starCommittedtoExcellenceEFQM.
CAFallowedthereflectionaboutthenewlyformedschoolcluster(2012,June). Starting from the vision of each school, we construct a holisticidentityandculture,mobilisingtheentireschoolcommunityinorderto
make investments in improving student learning environment and toenhancestakeholdersatisfaction.
Theself-assessmentwasconductedin6schoolsfromJanuarytoApril2013andwereobservedgreatpotentialintheinvolvementofemployees(teachers-154;technicalandoperationalassistants-61),
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a well-established partner network and a sustainablefinancial management. These three good practices would
synergy for theachievementofbetter results inCAF leastscored criteria in a dynamic PDCA. Thus, the sub-criterion1.3receivedascoreof79,thesub-criterion2.1receiveda
scoreof80andthesub-criterion4.3.gotascoreof88.5.
Building up an institutional reality, adding peoplewho donot know each other, involves creating emotional andbusiness values. We applied satisfaction surveys which
demonstrates,amongothers,thefollowinglevelsofinvolvementofemployees:
• 76%ofemployeesaresatisfiedwiththeconditions/workingenvironment.
• 84%ofemployeespreferteamwork.
• 88% of employees see their training valued and recognises a school cluster with a project to
change.
• Higherthan84%enhancetheleadership,communicationpeer,thedelegationofpowersandthe
commitmentgiventhenewreality.
• 96%ofstudentsvaluetheworkofthestaffandteachers.
Studentsopinionsabouttheirschools:
• 89%valuetheperformanceoftheschoolcluster.
• 83%recognisetobetreatedwithequalopportunities,
genderandreferraltosuccess.
• 80%feelsupportedbystaff.
• 80%identifiedasaschoolclusterthatrespectsthecitizenandmaintainsdiscipline.
• 80%watchtherewardvalueandexcellenceinperformance.
• 87%recognisethepedagogicalrelationship.
• 80%identifygoodteachingpracticesinadynamicclassandevaluation.
The opening of the school cluster to the community is a success factor as a catalyst for learning,experience, resources and relaunch for future active life/integration into the labour market ofstudents and reveals the concern tomeetpresent and futureneeds.Over thepast four years the
schoolcluster:
• Over50partnershipswithbusinessentitieswereestablished, somewell-grounded in theworld
forinternships/traininginthejobandassignmentofmeritawardstogoodstudents.
• Protocolswithhealthunitswere created for trainingof students - preventionof risk behaviors
andbehaviorsofhealthylife-6protocols.
• IntegrationEPISprogramme-entrepreneursforsocialinclusion.
• Integrationinentrepreneurshipprojectsatnationalandinternationallevel.
• Relationshipwithgovernmentdepartments-Environment(EcoEscolas),TownHall.
• Relationshipwithuniversities-trainingnewteachers,scientifictrainingtostudents.
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2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
CAFallowedreflectionaboutthenewlyformedschoolcluster.Startingfromthevisionofeachschool
weconstructaholisticidentityandculture,mobilisingtheentireschoolcommunityinordertomakeinvestmentsinimprovingstudentlearningenvironmentandtoenhancestakeholdersatisfaction.Wedeveloped strategic documents focused on the identity of the recent school cluster such as
EducationalProject,RegulationandaWelcomeprogrammetonewteachers,students/parents.Weapplied satisfaction surveys to stakeholders (partners, students, parents, staff) which highlightleadership,administrativeorganisation,resourcemanagementandeducationalstrategies.
As a result of self-assessment, improvement opportunities were analysed and we defined the
objectivesandgoalsinthesplitactions:
QualityRoute-Improvingthequalityofschoolorganisation
• Creationofunifyingstrategicdocuments:EducationalProject,InternalRegulation.
• Organisation of Integration Dossiers of teachers, students/guardians that guide the educational
practiceandcommunicationbetweenstakeholders.
Methodology
• Meetingswiththeeducationalguidancesectortoassess,integrateandbuildplansbasedontheneedsandexpectationsofstudents,toselectandconsultdocumentsandtodefinebetterwaystomonitorandevaluate.
• Variouslevelswereinvolvedsuchasmiddlemanagers,studentsandstaff.
• Criticalsuccessfactors:motivationandinvolvementofstakeholders.
• Obstacle:integratealllevelsofeducationandexpectationsofallstakeholdersinthedocumentsthatwereproduced.
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Results/Impactoftheaction
• Useofdocumentsthatguidetheeducationalactivity.
• Integrationdossierswereevaluatedasveryeffective.
• Sharingthespiritofmaintainingandimprovingthedossiersin2015/2016.
• Launch of new additional documents - Statistical Reports, Class Plans; CurriculumDevelopment
PlanandStrategicPlanforthepromotionofeducationalsuccess(2016/2017).
Theartofvoices-strengtheningcommunicationstrategies
• TotalreformulationofthewebpageoftheschoolclusterandcreationofaBusinessCard.
• Institutionalemailscreationforemployeesandstudents(accesstoparentsandguardians).
• Access to administrative tool - GIAE for booking meals and consulting movements and
expenditureatbuffets,cafeterias,printandadministrativeservicesbystudentsandguardians.
• CommunicationPlans-Reinforcementofpublicationofthegoodpracticesandactivitiesinlocal,
regionalanddigitalpress,newspapers,theMEOChannelandblogscreatedbyteachers(exampleSpecialEducationand1stCycle).
Methodology
• Consultationofallstakeholderstoidentifycommunicationdifficultiesandhowtostreamlineandimprovecommonline.
• Developmentactions-Google+anddigitalcommunicationplatforms.
• Creatingsurveysonline.
• ConjunctionwithITteachers.
Results/Impactoftheaction
• Privilegeduseofdigitalinformationacrossthegroup.
• Greatervisibilityforpartnersandeducationalcommunity.
• Increasethenumberofstudentsinregularsecondaryeducation.
• Recognitionofpartnerssincetheytooaretargetedbythisdisclosureandsharing.
• Intensificationofpublicationofthecourses.
• Increasingthenumberofparentsmeetings.
• Increasingthenumberofinstitutionalcontactsforpartnerships.
• Personalisedserviceinadministrativeservices.
• Increaseddemandforpsychologyandguidanceservices;increasebusinessrequesttoschoolsby
parents/EEandentities.
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EducationActionMiles(promotegreatercommunitymobilizationineducationalaction)
• Constructionoforiginalsatisfactionsurveys,adaptedtotargetaudiences.
• Applicationofsurveystostakeholders(partners,students,parents,staff).Treatmentofresults.
• Presentationof the results to representatives of stakeholders andbodies ofmanagement and
administrationoftheSchoolCluster.
Methodology
• SurveybasedontheCAFEducationcriteria.
• Workingmeetingswithrepresentativesofstakeholderstodefinepilotsurveys.
• Implementation.
• Questionnairesonline.
• Treatmentandpresentationmeetings.
Results/Impacttheaction
• SurveyEnhancementtoimprovepractices.
• StimulatecontinuousimprovementinPDCAcycle.
• Developmentofnewsurveyssatisfaction-services.
• Recognitionof the SchoolCluster (highlightingpositive leadership, administrativeorganisation,
resourcemanagementandeducationstrategies).
• Mobilisingpartnersintheallocationofperformancebonusestostudentsofdifferenteducational
levels;increasedinvolvementofpartnersinjointinitiatives.
In conclusion, CAF Education was the motto for an entire work in growing, shared with theparticipation in the38thColloquiumof theQualitypanel (APQ).APQ,asapartnerorganisationof
EFQM-EuropeanFoundationforQualityManagement,isresponsibleinPortugalforthepromotion,trainingandqualificationofprofessionalsintheExcellenceModelandassociatedmethodologies,aswell as the translation and commercialisation of itsmaterials. TheAPQ is also responsible for the
recognitionschememanagementLevelsofExcellence.APQColloquiumisthepremierannualeventoftheAPQandisrecognisednationallyasbeingthemost importanteventaroundthe themesofquality
andorganisationalexcellence.
The First NationalMeeting of CAF in 2014,markedthe award of the Effective CAF User certification,following the External Feedback Process. The
grouping is experiencing a continuous challenge,achieved with the commitment of faculty, staff,students,parentsandpartners.
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ThiscommitmentandpersistencetolaunchthechallengeoftheImprovementPlan,presentedinthispapersynthetically,according to theEFQMassumptions leading to the internalisationof thePDCA
cycle.TheMinistryofEducation,partnersand institutions thatevaluategoodpractice,particularlyDGAEPandAPQ,haverecognisedtheleadership,administrativeorganisation,resourcemanagementandeducational,visiblestrategiesinprizesawarded.TheGroupofSchoolsFigueiraMarreplicatesa
DNAexcellence:School2014PrizeawardedbytheMinistryofEducationandistheonlypublicschoolinstitutioninPortugalrecognisedasEffectiveCAFuserand1starEFQM.
Andfromabove,QualityRoutecreatingpassionandcommitmentisouridentity.
3. Description of the prioritisation approach that led to the chosenproject
Beinganewlyformedschoolclusterin2012/2013,itwasnecessarytoprioritisestrategicgoalsinthe6schoolsregardingasustainablemanagementofhuman,financialresourcesandtime.Thefocusfor
theselectionoftheimprovementswastocreateandconveyabrandimagetoclients,partnersandcommunity
The prioritisation of improvement actions was developed in a workshop, applying the followingprioritisationcriteria:impact,capabilityandsatisfaction.
The results of the self-evaluationwere analysed and grouped into interconnected actions andwe
defined5improvementactions(IA)ofwhich3wereselected.
TheprioritisationmethodwastheratinggivenbytheImprovementTeam.
1. ImpactHigh(5):meanimpactonmorethanonegoalorperformanceindicators.Medium(3):Impactonatleastonegoalorperformanceindicator.
Low(0):Impactunlikelyinobjectivesorperformanceindicators.
2. Capacity
High (5): The action can be implemented in the short term, requires few resources, it can becontrolledbytheorganisation.Average(3):Theactioncanbeimplementedintheshorttermrequiresareasonablenumberof
featurescanbecontrolledbytheorganisation.Low (0): The action is hardly implemented in the short term requires a significant number ofresources,itdependsonfactorsexternaltotheorganisation.
3. Satisfaction(students)
High(5):Theactionhasadirectimpactonimprovingsatisfaction.Average(3):Theactionhasindirectimpactonimprovingsatisfaction.Low(0):Improbableimpactonimprovingsatisfaction.
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The3mostimportantagreedimprovementprojectswere:
Project1
RotadaQualidadeQualityRoute
(Improvingthequalityofschoolorganisation)
Project2
AsVozesdaArte
Theartofvoices(Strengtheningcommunicationstrategies)
Project3
MilhasnaAçãoEducativa
EducationActionMiles(Promotegreatercommunitymobilisationineducationalaction)
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Poland
Case:TheBankofIdeasintheCustomsChamberofBialystok
CustomsChamberBialystok,Poland
JanKaliszTel.:+48857458702E-mail:[email protected]:Customs,TaxesandFinances
About 1200 officers and employees performing their tasks in units and sections specified in theorganisational structure are employed in the Customs Chamber in Białystok. The organisational
structure consists of: (1) three customsoffices,which include customsborder branches andotherorganisationalunitsand(2)theCustomsChamber,superioroverthecustomsoffices,whichincludesspecificorganisationalunits.CustomsChamber isanorganisationofhierarchical type inwhich the
principleistomaintainofficialchannelsoftheinformationflow.
Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):Criterion3:People,sub-criterion:3.3Involveemployeesbydevelopingopendialogueandempowerment,supportingtheirwell-being
1.Descriptionoftheimprovedresult(s)oftheorganisation
TheFunctioningoftheBankofIdeashasanindirectimpactonimprovingtheprocessescarriedoutby the Customs Service. It contributes to the process of increasing the quality of services and
expandingthecatalogueofferedtocustomerswithnewandinventiveservices.Itcontributestotheimprovementofkeybusinessperformance,customerrelationshipsand,asaresult,theimprovementoftheorganisationimage.
Here are some examples of better functioning of the organisation, resulting from theimplementation of some ideas proposed in the Bank of Ideas. This part focusses on the obtainedresults.Thepracticesthemselvesareexplainedinpart2.
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TheCustomsServicehasimplementedaninnovativeservicefortravellerscrossingPolishborder.Thefreeapp‘Granica’(border),whichenablestravellerswithmobiledevicesaccesstoinformationabout
the current situation at the Polish border crossings in such areas as the queue length, averagewaiting time for clearance, the estimated change in waiting time in the coming hours, messagesrelatingtobordercrossingsandotherrelevant informatione.g.camerasview.Theservice isuseful
forcustomersandisevaluatedpositively.
Theapplicationhasbeendownloadedby15.735ofourcustomersfromdifferentcountries:Belarus,Poland,Russia,Ukraineandother.AsofApril2016theapplicationattractedmostusersfromBelarus–numberoftakenapps–4189, fromUkraine-4069, fromRussia -3959, fromPoland–2112and
from other countries – 1407. The users made 433 applications ratings exposing the averageassessmentof4to5pointscale.
The implementation of the service resulted in the improvement of one of the key performanceresultsconcerningtheserviceofcargo/passengertraffic.In2014,beforetheimplementationofthe
service, thenumberofshiftswith lineofvehicleswaiting(export, import)atroadbordercrossingsreachedthelevelof60.75%attheCustomsChamberinBialystokand17.58%inthewholecustomsservice.In2015,aftertheimplementationoftheservice,thenumberofshiftsdecreasedtothelevel
of46.16%atthecustomsChamberinBialystokand12.82%inthewholecustomsservice.
The improvement of the customer service and the electronic handling of customs declarations isillustrated by the increase in the rate of electronic handled customs declarations to the level of98.98%.Itwasachieved,amongtheothers,bytheimplementationofstandardisedemailaddresses,
intended for the collection of customs declarations in the customs service. Before theimplementationoftheidea,theratestoodatapprox.92%.
Streamliningtheprocessandreducingthecostsofpenal–fiscalproceedingsasaresultoflaunchingelectronic communication, involving the exchange of pleadings in cases concerning tax offenses,
fiscaloffenses,otheroffensesanddatarelatingtosuchcases,whichareregisteredinITsystemsofdistrict courtsand in theRegisterofPenal – FiscalCases (ESKS)of theCustomsService. Electronicexchangeoflettersbetweentheauthoritiescarryingonproceedingsarosefromtheneedtooptimise
thepenalfiscalproceedings.Theimplementedmeasuresresultedinthereductionoftimespentoninvestigationsconductedandthereductionofcostsgeneratedbysendinglettersbypost.Nowadays,
approx.25%ofallcasessentmonthlyistransmittedelectronically(59outof230casespermonth).Thisprojectisunderdevelopment.
EmployeesatisfactionsurveysconductedintheCustomsChamberinBialystokdrawapositivetrendofchanges.TheBankof Ideasbecomesapermanentpartof theorganisationculture.Therewasa
slight increase in theassessmentofsuperior’sattitudetothe innovative ideas from67.5%positiveratingsin2011to71.79%in2013,improvedby5.5%assessmentofrelationshipswithsuperiorsfrom74.3%positiveratingin2011to78.43%positiveratingsin2013.22.73%increaseinrateofchangeof
officers/employeessatisfactionbecauseoftakingpartinandtheimpactonachievingtheobjectivesoftheorganisation.
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The functioning of the Bank of Ideas improved the assessment of sub-criterion 3.3. CAF from 23pointsinthefirstassessmentto28pointsinthefinal.Intheassessmentweapplythescaleof0to
100,basedontheDemingcircle(scoringofpotentialarea)andtheevaluationofachievementoftheobjectivestakingintoaccountthetrendofsubsequentmeasurements(scoringofresultsarea).
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
TheBankof Ideas createdasa resultof the implementationof the recoveryprogrammeafter theevaluation of the CAF, improves the process of internal communication both vertically andhorizontally.BankofIdeas,developedasawebapplication,allowstoforwardremarksconcerning
all aspects of activities and to remain anonymous. Managers at all levels of the organisationalstructurereceivetheupdatedmessageconcerningdifferentaspectsthatshouldbeimprovedandareimportantforemployees.Someentriesareusedbytheheadsoftheorganisationalunitstoimprove
thecurrentmanagementwithinexisting resourcesat the lowestpossiblecost.Non-interference inthe content of the message posted by the sender improves the effectiveness of internalcommunication. The recipients of the message at different levels of management (head of the
organisational unit,head of customs office, the director of Customs Chamber) receivemessage inaccordancewiththecontentsintendedbythesender.
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Implementation of the ideas andsuggestions for the improvement
affectstheefficiency.BankofIdeasalso confronts management withthe voice of criticism. After their
evaluation for suitability andpossibilityofexecutingthem,someentries initiate innovative activities
throughout the Customs Service.During the functioning of the Bankof Ideas 560 entries have been
posted,12ofthem(2%)havebeenused to implement innovations intheCustomsService inPoland.The
essenceoftheBankofIdeasisaproperattitudetothedialogueinordertoimprovetheinternalflowof vertical and horizontal information, streamlining the management. The implementation of theBankof Ideas increasedopennessofmanagementtodiscussionsanysubjectwithemployees.Each
entry is evaluated by the team in terms of suitability for the organisation and the possibility ofrealisation.Mostentriesrelatetomattersrelevantandimportanttotheemployeesintheirpositionandaresettledonregularbasis.
ToillustratetheimpactoftheBankofIdeas,3majorimprovementactivities,suggestedthroughthe
Bankofideasarepresentedhere.
Mobileapplication‘Granica’
PolisheasternborderisalsotheexternalborderoftheEuropeanUnion.
Passengerandcargotraffichavebeengrowingyearbyyearandcausingthe necessity to provide accurate information about conditions beforeandatthebordercrossingspoints.Suchknowledgeallowsthedriversto
selectthemostconvenientbordercrossinginbothcargoandpassengertraffic.
Mobileapplication‘Granica’providesthecustomerwithfullinformationaboutthewaitingtimeatthePolishbordercrossingswithRussia,Belarus
andUkraine.
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There is a possibility to switch between these sections, as well as thepossibility to change the type of vehicle (passenger/truck) and the
direction of travel (arrival/departure). The driver planning to cross theborderhasthepossibilitytocalculateanindividualtimelefttoentertheborder crossing in both directions. The application also detects the
directionofmovementoftheuserandonthisbasisdisplaysentryorexitdataaccordingtopositionsrelativetothePolishborder.
The new application of theCustoms Service also shows
predicted waiting time for theupcoming week, based onhistorical data that has been
collected on this websitewww.granica.gov.pl. Thanks tothe Synchronisation there is
also the possibility to sendnotifications and messages tothe user in several languages,
available to choose. Messagescan be general or relate tospecificbordercrossings.
An additional functions of ‘Granica’ available after its downloading isinterface of ‘widget’ type for Android and ‘the tile’ for Windows Phone.
Itshowsthetravellerthecurrentwaitingtimeatselectedbordercrossingsintheabridgedform,andallowsforquicklylaunchingoffullapplication.
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Application ‘Granica’ providestravellers, truck drivers as well
as entrepreneurs involved ininternational trade withPersonalised information on
how long it takes to cross theborder. They are also providedwithcurrentinformationonthe
situationbeforeandatselectedborder crossing. Implementedservice alsomakes it easier for
drivers to plan a trip by usingthe waiting time forecastsmodulefortheupcomingweekandhelpstochoosethemostconvenientplacetocrosstheborder.
Synchronisation with service provides the user thepossibility to send notifications and announcementsin selectable languages.Messages canbe general or
concern specific border crossings - e.g. difficulties ingetting to a particular border crossing, which isespeciallyhelpfulfortruckdrivers.
Information about the number of trucks
waiting in line for the ‘departure fromPoland’ are updated every 12 hours andare currently available on the website
www.granica.gov.pl. Waiting timeforecasts are updated once a day. The
application was implemented by usingCustomsServiceownresources.
The application is working correctly andaccordingtotheassumptions.However,it
should be noted that the correctapplication performance is also affected by factors not always dependent of the Customs Service,suchase.g.GPSsignalstrengthandaccesstotheInternetinaparticularlocation.
Thefreeapp‘Granica’isavailableonmobiledeviceswiththemostpopularoperatingsystems(iOS,
Android,WindowsPhone) instoresofparticularsystems (AppStore,GooglePlay,WindowsPhoneStore)in6languages:Polish,English,Russian,Ukrainian,BelarusianandGerman.
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Unificationoftheemailaddressesstructureforreceivingcustomsdeclarations
UnificationoftransferringXMLfilestothecustomssystemsinallcustomsbranchesinthecountry-
has provided customers with the opportunity to send their declarations in case of partial systemfailuresandtheinabilitytosendapplicationsviadedicatedpaths.Beforetheimplementationofthisidea, existing instructions did not provide detailed, unifiedmode of transmitting XML files to the
customsbranch-itcouldbedoneviae-mail,floppydiskorothermediastorage.
UsinganelectronicsignatureCELINAandECSsystemprovidesthepossibilitytosubmitdeclarationatanycustomsbranchwithouthavingtoappear inpersonat theheadquarters (also inanothercity).It requiredhowevertostandardisethemethodofdeliveringelectronicdeclarations inallbranches
foranydeclarants,inparticularforcustomsagencies.Theproposalwasbasedontheideathateachcustomsbranchhastocreateaseparatee-mailaccountwiththeaddressconsistentwiththenumberoftheunit.
Electronicmailbox isexclusively forsubmittingcustomsdeclarations, soyoucaneasily identify the
orderoftheirsubmission.Eachagencyknowstheaddressforsendingcustomsdeclarationsineachcustomsbranch,thereisnoneedtodetermineeachtimeamethodfortransferringaXMLfileincaseof any failure. Suchunification required toadd theappropriateentries ineach instructionmanual
ECS/ICSandCELINAandspreadtheinformationamongthosemakingcustomsdeclarations.Theideadidnotgenerateanycostsandisconsistentwiththefacilitatingcustomsformalities.
CustomsDepartmentoftheMinistryofFinance,afteranalysingtheproposalsandconsultationswith
thecoordinatorsofITsystemshasdecidedtoimplementthissolution.Aswearelivingintheeraofautomation and virtualisation of customs clearance, simple and clear rules of communicationbetween traders and customs branch are extremely important. Especially that there is often a
separateplaceof submitting thegoods fromtheofficeof lodgingcustomsdeclaration.Oneof thefundamental aspects of this simple communication is standardised and thus easily identifiablestructureofemailaddressesofcustomsbranches.
Electroniccommunicationwiththedistrictcourts
The idea of electronic communication involves the exchange of pleadings in such cases like taxoffenses,fiscaloffenses,otheroffensesanddatarelatingtosuchmatters,whicharerecordedinthecomputersystemsofdistrictcourtsand in theRegisterofPenal fiscalCases (ESKS)of theCustoms
Service.
Pilot-phaseinvolves
1. CustomsOfficeinBialystok2. ThecourtsoftheDistrictCourtinBialystok
• DistrictCourtinBialystok
• DistrictCourtinSokolka
• DistrictCourtinBielskPodlaski
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Typeofpapersanddatatransmittedinelectronicform
1. HeadoftheCustomsOfficeinBialystoktransfers:
• indictments
• dataonthecaseinXMLformat,generatedfromESKSsystem
• otherdocumentsresultingfromthecourseofthecourtproceedings
2. ThepresidentofthecourtsoftheDistrictCourtinBialystoktransfers:
• judicialdecisions,includingnotlegallybinding
• dataonthecaseinXMLformat,generatedfromESKSsystem
• otherdocumentsresultingfromthecourseofthecourtproceedings
Pleadings are sent through inbox electronic mail fixed on the Digital Office of GovernmentAdministrationPlatformofPodlaskieVoivodeshiphttp://e-podlaskie.eu/.
A prerequisite for the commencement of pilot
electronic communication was the tripartiteagreement between the President of the DistrictCourtinBialystok,DirectoroftheCustomsChamber
in Bialystok, and the Governor of Podlaske on theelectronic exchange of pleadings signed on 28August2014.
Digital Office of Government Administration Platform of Podlaskie Voivodeship launched another
internalemail service, throughwhich theCustomsOffice inBialystok sendsand receivespleadingsfrom the district courts of Bialystok. This pioneering solution accelerates the settlement of courtcases. In the agreement the Voivode of Podlaske is a guarantee of the safety of technical data
exchangebetweenthecustomsofficeandthecourts.
3. Description of the prioritisation approach that led to the chosenproject
AfterCAFassessment, carriedoutby the teamconsistedofemployeesandexecutivesofCustomsChamberinBialystok,areasthatneededtobeimprovedwereidentified.Theself-assessmentteam,as a result of ‘brainstorming’, has identified the criteria for selecting the project. Hierarchy was
determinedafter identifyingthecriteriabyvoting.Theareawhich first requiredthe improvement,was the area included in Criterion 3: People. It was recognised that it is necessary to create theproject, which will apply to wide range of employees, and at the same time will be clear and
understandabletoall.
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Itwasagreedthatitshouldnotgenerateadditionalcostsandshouldbeimplementedonthebasisofown resources. In addition, the project must keep versatility and cover all areas of activity, be
adequatetotheneeds,easytoimplementandnottooengagingtheorganisation'sresourcesduringtheactivity.
Itwasagreedthattheimplementedprojectshouldbeeffectivelymonitored,bringrealbenefits,newquality to the functioning of the organisation and at the same time bring real benefits to the
organisation, customers. The intention was to implement the project that allows to achieve theobjectivesandtoimprovethefunctioningoftheorganisationinallareas.
Topmanagement approved the selected criteria. It approved the choice of recovery actions thatwould contribute to the sustainable development of the organisation. A project team, appointed
among the staff, commenced actions to implement the project. The whole project has beenimplementedsuccessfully.
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Poland
Case:TheinternalrecruitmentprocedureformanagerialpositionsintheTaxChamberofWroclaw
TaxChamberWroclaw
Poland
ElżbietaBryckaCAFCoordinator
UL.Powstańcówśląskich24:2653-333wroclawTel.:+48713652567
E-mail:[email protected]
Sectoroftheorganisation:Customs,TaxesandFinances
Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):Sub-criterion:3.1Plan,manageandimprovehumanresourcestransparentlywithregardto
strategyandplanning
1.Descriptionoftheimprovedresult(s)oftheorganisation
The self-assessment process in theWroclaw Tax Chamber is regulated by the Instructions I/017/2‘The self-assessment according to the CAF model in the process of organisation improvement’(SamoocenawedługmodeluCAFwprocesiedoskonaleniaorganizacji).
The internal recruitment procedure formanagerial positions, implemented as a result of CAF self-assessmentintheTaxChamber,hasimprovedsatisfactionandmotivationoftheemployeesatwork.
It has opened the possibility and perspective for career promotion. It has been confirmed in thesatisfaction and motivation survey, that has been conducted among the employees, in the TaxChambercyclically,onceperyear,since2008.
Thequestionnaire:‘AnalysisofthesatisfactionandexpectationsoftheTaxChamberemployees’wasdeveloped for the Criterion 3: People and sub-criterion 3.1 Plan, manage and improve human
resources transparently with regard to strategy and planning, within the framework of the CAF
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methodology.Theobjectiveofthesurvey istoacquireanobjective informationonthesatisfactionlevelandexpectationsoftheheadsofunits,headsoforganisationalunitsandemployeesasregards
the working conditions in the Tax Chamber. The questionnaire, separate for employees andmanagers,wasplacedinthesystem‘Qasystent’,i.e.:theknowledgebaseavailableforeachmemberoftheorganisation.
The survey of the employees’ satisfaction and expectations, that drew the attention of the TaxChamber authorities to possible areas for improvement, was conducted in the Tax Chamber in
Wroclaw in 2012. Below there is a detailed description of motivation and satisfaction surveyconductedinOctober2012.
Thesurveywasplannedandconductedasaquestionnairestudyonthebasisandinaccordancewiththeregulationsincludedinthededicatedinstructionstitled‘Theinvestigationofthesatisfactionandexpectations of the employees’. The form was distributed among the persons via the Qasystent
application. Participation in the survey, directed to all employees of the Tax Chamber inWroclaw(exceptoftheDirectorandVice-DirectorsoftheTaxChamber),wasvoluntaryandfullyanonymous.Thedesirablequestionnairereturnratewasnotestablished.
Thedataincludedinthequestionnairefilled-inelectronically,wasdownloadedfromQasystentwithuse of the reports including: the number of the surveyed employees, the number of the
questionnairesreturned,thenumberoftheanswersforparticularquestionsetc.andthelistsoftheanswersforsocalled‘openquestions’.Onthebasisofthecollecteddata,theaveragevalueswerecalculated,comprisingintherangefrom0upto100(where0meansthelowestscoreand100-the
highest score).Next, fromtheaveragevaluesofallquestions, threearithmeticalaverages (for thewholeofthepersonsunderinvestigation,forthemanagersandfortheemployees)werecalculated,expressedas%values,thatmaybeconsideredasthegeneralindicatorsforthecategoriespresentin
thequestionnaire.
In 2012 the satisfaction level of the employees in the survey was 67.58%; within the employeesgroup the satisfaction level amounted to 65.3%. It was lower by 12.96 percentage points whencompared to that achieved in the group of managers (78.33%). In comparison to the previous
investigation,thesatisfactionlevelofallemployeesincreasedby0.98percentagepoint.Respondents(thewholeoftheemployees)evaluatedbestthefollowing:
• Their own competences (85.96%, an increase by 1.33 percentage point in comparison topreviousinvestigation).
• Goodprofessionalrelationswiththeco-workers(85.70%,adecreaseby0.56percentagepointsincomparisontopreviousinvestigation).
• The employment stability (80.72%, an increase by 1.62 percentage point in comparison to
previousinvestigation).
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Respondentsevaluatedworst:
• A possibility of the professional promotion (42.43%, an increase by 0.66 percentage point in
comparisontopreviousinvestigation).
• ThehousingconditionsoftheOffice,theworksafetyandhealthconditions(50.83%,adecrease
by0.4percentagepointincomparisontopreviousinvestigation).
• TheperceptionoftheOfficebythecustomers(47.76%,anincreaseby1.99percentagepointin
comparisontopreviousinvestigation). As regards the motivation – in 2012 respondents assessed their own commitment to work
performance and organisation on the level of 86.67%. The employee group assessed their owncommitment on the level of 85.42%,with a slight decrease in the ratings compared to 2012. Themanagergroupassessedtheirowncommitmentonthelevelof92.81%,withaslightincreaseinthe
ratingscomparedto2012.In the survey 24-28.09.2012, 172 people filled in the forms, that constituted 61% of the whole
personnel(presentatworkduringthestudy).
Theresultsof thequestionnaire,conducted in2012, indicatedoneof the lowestvalueswithin thepossibilitiesoftheprofessionalpromotion.Therefore,theproposalofdesigningandimplementingof
internal recruitment procedure, developed after the self-assessment,was indicated as a proposedimprovingaction.The teamforCAF indicated thisactionas second themost importantone in theranking. During themeeting of the Tax Chamber topmanagement, after presentation of the self-
assessmentresultsandtheproposalsofimprovementactions,theTaxChamberDirectoraccepted3out of 5 proposed actions for realisation. One of them was ‘Internal recruitment procedure formanagerialpositions’asexplainedinpart2.
In 2016 another survey referring to the employees’ satisfaction and motivation was conducted.
Althoughcontentofthesomequestionsandmethodologyofthestudyhasbeenchanged,accordingtotheachievedresultofthesurvey,employeesatisfactionindicatorwasimprovedandamountedto76%(anincreaseby8.42percentagepointincomparisonto2013).
These results allow assuming that the direction of changes are correct and implemented
improvementsasinternalrecruitmentprocedureformanagerialpositionsbringsthedesiredeffect.
It is important tonotice that theseprocedures are still in force although significantorganisationalchangesfacedbythetaxadministrationinPolandinthemid-2015.Afterconsolidationofthefiscalservices, by a decision of the Director of Tax Chamber, the instruction concerning the CAF self-
assessmentwasrepealed.ThenextCAFself-assessmentoftheorganisationisplannedafterthejoinofthefiscalandcustomservices,plannedbythePolishgovernmentin2016.
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2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
The main reason for designing and implementing of the internal recruitment procedures for
management positionwas information obtained in 2013 from the analysis of the satisfaction andexpectationsof the TaxChamber employees in termsof theprofessional promotion – employees’perceptionofprofessionalpromotionpossibilitiesintheTCHwasoneofthelowestvalue.
Designingoftheinternalrecruitmentprocedurestookplacein3stages:
1. January/February 2014 – analysis of the internal law provisions in order to introduce theprovisionsontheprinciplesandcriteriaof internalrecruitmentformanagerialpositions intheTCHinWroclaw.
2. February2014–designingoftheinternalrecruitmentrulesformanagerialpositionstitled:‘Theprinciples of internal recruitment for the positions that involve leading a team in the TaxChamber in Wroclaw’ and submitting them for the acceptance to the Director of the Tax
Chamber.Thejustificationforintroducingtheprocedureswastoachieve:1)transparentrulesoftheinternalrecruitmentand2)improvedemployee’motivation.
3. 24 February 2014 – acceptance of the internal recruitment rules and their publication in theapplicationQasystentandIntranet.The informationwasalsodistributedamongallemployeesbye-mail.
The current provisions concerning the internal recruitment rules were updated and apply to the
entireLowerSilesiataxadministrationreportingtotheDirectoroftheTaxChamberofWroclaw,i.e.3.515people,equivalentto3.497,31full-timeposts.
Therulesofinternalrecruitmentforthepositions,whichinvolveleadingateamintheTaxChamberinWroclawandtaxofficesofLowerSilesia
'Manager' isunderstoodasthepersoninchargeorsupervisingtheworkoftheorganisationalunit,
which is a separate part of the Chamber or the tax office (e.g. unit, department, division, anindependent division, an independent section, section, multi-person position) established toimplementthetasksdefinedintheorganisationalrulesoftheChamberororganisationalregulations
oftaxoffices.
• In order to fill the vacancy for the position ofmanager, the Director of the Tax Chamber ofWroclawmayannounceaninternalrecruitmentforthevacantpost.Thepersonsupervisingthegivenpositionputforwardthemotiontoconductaninternalrecruitment,viatheHRunit.
• AnemployeeoftheHRunitpreparestheannouncementforthevacancy.Thisincludes,amongothers, the necessary and additional requirements resulting from the job description, theconditionsofsubmissionofanapplicationforamanagerialposition,thedutiesandrightsofthemanagerandthedeadlineforsubmissionofapplications.TheemployeesubmitsitforapprovaltotheDirectoroftheTaxChamberinWroclaw.
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• The announcement of the vacancy is transmitted to the employees of the Tax Chamber inWroclawandthetaxofficesprovinceLowerSilesiaby:- An internal information system, i.e. applications Qasystent, the internet webpage of the
organisation towhich all the employeeshave an access andeven anobligation tobrowsemessages.
- E-mailboxesofallemployees.• Theeffectivenessofthecommunicationisatthehighestlevel.Allemployeescaneasilyfindout
about the internal recruitment, there is no danger that some of themwill not be familiarisedwiththeannouncement.
• Candidatessubmittheiroffer,includingthedescriptionoftheirqualificationsandmotivationtotakeup the job, in themanner specified in theannouncement. Theemployeesof theHRunitregistertheoffers,receivedinresponsetotheannouncementofaninternalrecruitmentforthemanagerposition.
• The director of the Tax Chamber ofWroclaw decides on the composition of the recruitmentcommittee,whichincludesminimum3persons.
• Theemployeesof theHRunit verify if submittedoffersmeet the formal requirements.Offersthatdonotmeettherequirementsarerejected.
• Uniform rules are applicable to all participants of the process. In the course of the internalrecruitment process for themanagerial position, particular attention is put to the principle ofequaltreatment,theprincipleofprofessionalism,theprincipleofindependenceandimpartiality.
• Applicants are invited for an interview. The Commission assesses the candidates, using toolsadapted to the requirements associated with the workplace. The Commission documents itswork. Depending on the number of applications submitted, the commission (composed of atleast3people)providesthedirectoroftheTaxChamberwiththelistof5candidates,arrangedfrom the highest to the lowest number of points that the candidates have received in theprocess.
• The results of the committee's work are presented for approval to the Director of the TaxChamber,viatheHRunit,intheformoftheprotocolfromtheconductedrecruitment.
• The director of the Tax Chamber of Wroclaw makes the final decision on the selection ofacandidate for the managerial position. As a rule, the director should choose the personselectedbythecommittee.
• EmployeesoftheTaxChamberinWroclawareinformedoftheoutcomeofrecruitmentprocessinanystandardform(bye.g.:Qasystentapplications,IntranetIS,e-mail).
Thanks to thedevelopedand implemented improvement, informationon the internal recruitmentprocess for a managerial position is commonly known to all employees and transparent. Whenrecruitingforamanagerialposition,theunitresponsibleforthehumanresourcemanagementintheTaxChambersendstheinformationconcerningtherecruitmentforthemanagerialpositionstothepersonalboxes. Examplesofinternalrecruitmentprocesses,conductedinaccordancewiththeimplementedsolutionare:• SeniorSpecialistManagingIIIMulti-personITposition.• SeniorSpecialistManagingMulti-personCommunicationposition.• SeniorSpecialistManagingIIMulti-personBudgetAccountancyposition.• SeniorSpecialistManagingIIIMulti-personBudgetAccountancyposition.• ManagerIoftheIndependentUnitofGeneralAffairstheTaxChamberinWroclaw.• ManagingoftheMulti-personInternalAuditposition.
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The implemented rules, titled Internal recruitment procedure for managerial positions, were thesubject of verification 6 months after coming into force. The CAF coordinator, responsible for
monitoringthewayhoweachimprovementactionisfunctioning,checkedtheoperatingruleswithinthe framework of conducted supervision. The CAF coordinator verified the number of managersrecruitedaftercomingintoforcetheproceduresandthentheconformityoftheprocesseswiththe
procedure (ifeveryonewasproperly informedabout the recruitmentprocess, thewayofverifyingtheapplication,whoconductedinterviews).
3. Description of the prioritisation approach that led to the chosenproject
The approach that led to the chosen project is based on general rules related to the CAF self-
assessment and implementation of the improving action plan binding in the Tax Chamber inWroclaw.Itisexplainedindetailunderpart1.
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Slovakia
Case:Theuseof6Ϭ(Lean–SixSigma)forstreamliningprocesses in the Implementation Agency of SlovakMinistryofEmployment,SocialAffairsandFamily
TheImplementationAgencyofSlovakMinistryofEmployment,SocialAffairsandFamily(IAMPSVRSR)Slovakia
PavelVečeřaQualitymanagerE-mail:[email protected]
Sectoroftheorganisation:Socialservices&socialsecurity
Referencenumberofthesub-criterionoftheCAFenablersrelatedtothegoodpractice(s):
Criterion:5Processes,sub-criteria:5.1Identify,design,manageandinnovateprocessesonanon-goingbasis,involvingthestakeholders
1.Descriptionoftheimprovedresult(s)oftheorganisation
The Implementation Agency of the Slovak Ministry of Employment, Social Affairs and Family (IAMPSVRSR)isimplementingCAFinitsmanagementsystemsince2015,butinfactIAMPSVRSRjustfollowedactivitiesofitspredecessor,theSocialImplementationAgency,anEffectiveCAFUsersince
2013.
Theactual ImprovementPlanwasdesigned inJune,2015and itsconsequencesarevisible inmanyareas.Thedevelopmentoftheprocessapproachintheorganisationisrepresentedintwoapproved
activities.Herearesomeexamplesfromtheareaofprocessapproach(Criterion5):
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Results 2015* 2016*
%ofemployeeswithaccesstosoftwaresupportforprocessmanagement 2% 100%
Nr.ofvisitedorganisationswiththepurposeofbenchlearning(incl.areaofprocessapproach)inthehomecountry
0 2
Nr.ofvisitedorganisationswiththepurposeofbenchlearning(incl.areaofprocessapproach)abroad
0 3
Nr.ofpartnerorganisationsforbenchlearning(incl.areaofprocessapproach)abroad 0 2
Nr.ofemployeestrainedinspecificTQMmethods:toolsusedinprocessmanagement 1** 5**
Nr.ofprocessdesignersinorganisation 2** 4**
*meantbythebeginningoftheyear
**total:250employeesby2015/01/01and198employeesby2016/01/01
Results 2015* 2016*
Nr.ofemployeestrained/certifiedinPRINCE2®Foundationlev.themethodologyusedfordesignofprocessesinNationalProjectsimplementation
2/2** 70/68**
Nr.ofemployeestrained/certifiedinPRINCE2®Practitionerlev.themethodologyusedfordesignofprocessesinNationalProjectsimplementation
1/1** 11/7**
%ofNationalProjectsmanagedbyprocesseswithPRINCE2®methodologyintegrated
0% 20%
TheeffectivenessofthemeasurementsystemusedinprocessmanagementintheareaofDemand-DrivenProjectsimplementation(1worst–10best)
2–randomaudit
6-measurewithouthumaninfluence
Nr.ofactivitiesintheareaofthesocialresponsibilityplannedfortheyear(througheasiercreationandmanagementofad-hocteams)
5 12
*meantbythebeginningoftheyear
**total:250employeesby2015/01/01and198employeesby2016/01/01
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Although the realised actions from the improvement plan were sometimes not popular, theemployee satisfaction showed growth. Next graph indicates main changes in satisfaction of
employeesinvariousareas(differencebetweenApril2015andNovember2015).
ComparisonoftheemployeesatisfactionsurveyspercentagedifferencebetweenAprilandNovember,2015
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
Theyear2015representstheyearofactivitiesrelatedtoendingtheprogrammingperiod2007-2013of the European Commission. The realised self-assessment helped by evaluating, defining and
prioritisingtheproblemsthatneedtobesolvedinthenextfundingprogrammingperiod2014-2020.
ThecustomersatisfactionsurveymadeonApril2015showedthatthereweresomeproblemsintheprocesseswithvarious importance.Customerorientedresultswastheworstevaluatedcriterionatall (right after the social responsibility results). That´s why the importance of the priority index
(describedinthepart3)wassohighbysuggestionsfor improvement intheareaofkeyprocesses,
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preferably with the positive synergy in social responsibility. Because, if you want to have moresatisfiedcustomers,youmustchangeyourkeyprocesses.
The mission was clear: we have to set up a key process to be able to satisfy our customer and
respond to the regulatory requirements. The system should allow fast access to data for allemployees,clarifyalltherelationsintheaudittrail,whereallemployeescanfindtheircompetencestotheirprocesses,subprocesses,activitiesandtypeofresponsibilitylikee.g.‘performs’,‘deputises’,
‘approves’, ‘signs’, ‘cooperates’, ‘is informed’etc.togetherwiththepossibilityofthe integrationofthePRINCE2®methodologyintorelevantprocesses.Secondarythesystemshouldbeabletosupportthe creation of ad-hoc teams andwork as a basic platform for benchlearning/benchmarkingwith
otherpartnersathomeandabroad.Sixsigma(lean6Ϭ)wasselectedasabasic tool tostreamlinekey processes with its data-driven improvement cycle DMAIC. The single steps of the cycle aredescribedindetailbelow.
D–Definephase
If you want to improve (lean) some of your processes, just be sure, that your process is clearlydescribed. In fact, this canhelp youdefine all components needed inother tools later (like SIPOCDiagramorQualityfunctiondeployment(QFD)).
Thestartingpointforoureffortsintheprocessimprovementwasthefactthatourorganisationhas
prepareddetailedflowchartsbasedongraphicswimlanediagramsforallofthekeyprocesses.Thisisthefirstonesimplystep,whichcanbedoneineveryorganisationinashorttime.Therearemany
variousfreesoftwaretoolsthatcanhelpandmaketheworkwithdiagramsmuchmoreeffective.
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Keyprocess:‘Administrationofpaymentrequest’–e.g.hereinswimlanes(situationbeforeimprovement)
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TheelaborationoftheProjectcharterinthisstepwasnoteasybecauseofthevarietyofcustomers’needs.Whenwewantedtosettheprimarymetric(datathatwewillimprove),theQualityfunction
deployment (QFD) method helped us to transform customer needs (VOC) into engineeringcharacteristicsfortheofferedservice.
QFDI:withweightofcustomers’requirementstransformedintoKPIs
BasedonQFD,thelead-timeoftheadministrationandthenumberofrequestsofcompletionofthedocumentationwere set up as theprimarymetrics. Secondarymetric (thatwewill not change) isrepresentedbythenumberofemployees,wagecostsandthenumberofprojectsadministratedby
oneemployee.
M–Measurephase
It´sallabouthowcanyoutrusttothedatayouaremeasuring.OurMeasuresystemanalysis(MSA)
basically shows e.g. the disability of project manager–newcomer for defect identification in theadministrationprocess.That´swhywedon´tneedtocancelthefour-eyesprinciplecontrol,whenthecontrolprocessadministeredbyprojectmanager isrevisedbysupervisor.Enhancedtrainingswere
automaticallyaddedtotheadaptationprocess.
A–Analysephase
Usuallyyouhavetousemanyvarioustoolstofindandanalyseproblemsinyourprocess.Youcannotonlyseeyourcurrentsituationindetailbutyouhavealsotoexaminethedevelopmentintime.Theanalysisevaluatesalltheprevioussolutions.
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Firstwewant to knowhow the variables or data thatweworkwith are in relationshipwith eachother.Forthisanalyseweusecorrelationdiagrams.Thenweneedtoknow,howdataarechanging
intime.
IndividualControlChart:e.g.fordevelopmentofadministrationofapplicationsforpayment(AfP)correspondingtocallsforproposal2012-2013(administeredJanuary2015-September2015)withhistogram
Ifallthedataareavailableandreliable,itispossibletomakeadetailedanalysisore.g.thedesignof
experiments(DoE).Thankstothis,weknowthattheageofprojectmanagerhasthegreatestimpactonhisperformanceandstabilityinthisprocess.Greaterthane.g.thesalaryorpraxis.
But sometimes data are missing or lost. When the process is clearly described, there is still thepossibilitytomakeFailuremodeandeffectsanalysis(FMEA).Ithelpsorientimprovementactivities
toareasofprocessstepswithhigherpriorityandimpact.
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FMEAforthekeyprocess:‘AdministrationofApplicationforpayment(AfP)’
Redboxesbasicallyindicateallprocessstepsandconcretesituations,wheretheRiskPriorityNumber(RPN) is high (in our organisation 200 andmore from1000potential). Proposals for improvementactionssubsequentlyreduceRPNbelowtherequiredlimit.
I–Improvephase
Itisourpractice,thatallsuggestedactivitiesareintegratedintoCAFImprovementplanasanupdate.
C–Controlphase
Our implemented management information system helps us now to manage and standardise allimprovementsinprocesses.
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Leanedkeyprocess:‘AdministrationofAfP’inmanagementinformationsystem
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Leanedkeyprocess:‘AdministrationofAfP’inmanagementinformationsystem–detail
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3. Description of the prioritisation approach that led to the chosenproject
Ourprioritisationprocessisdeterminedbyafewpremises:
1. People (excepting CAF teammembers and some representatives of top management) don´t
read the complete self-assessment report even when we implement all activities from thecommunication plan for the self-assessment phase andwe inform them all shortly about themain results (strengths and areas for improvement) after the end of the self-assessment
process. That´s why we offer to all employees the opportunity to send any proposal forimprovement(evenanonymously).Experiencehasshownus,thatinthiswaywewillgetmoreproposalsasintheprocessofconsiderationoftheself-assessmentreport.
2. Scoring in the self-assessment report basically shows the importance of the proposedimprovement actions regarding the 9 criteria of the CAF model, but not regarding thefulfilmentofthe8principlesofexcellence.That´swhyaftercollectingofallthesuggestionsfor
improvement, we usually arrange ameeting of the topmanagement with the CAF team. Allparticipantsgetasummaryoftheproposalsdividedinto:a. CAFcriteria(CC)
b. CAFprinciplesofexcellence(PoE)
Thismeetingstartsthenwiththeanalysisofthefulfilmentofprinciplesofexcellence,basedonthequestionnaireusedintheCAFExternalFeedbackprocedure(3rdpillar).TheanalysisismadeinsmallgroupsanditsresultcreatesthebasisforthePoEindex.
Finallywecansetuptwodifferentindexes:
1. Index depending on the CAF evaluation criteria (ICC) that basically shows urgency for
individual suggestion for improvementbasedon self-assessment (0points for criterion inself-assessmentmeansICC=1or100%urgency).
2. Index depending on 8 principles of excellence (IPoE): if we analyse that we are in thematuritylevelingeneralprincipleofexcellence,thenIPoE=0or0%andconversely.
3. The consensual scoring used in the self-assessment report is more accurate than the
consensualratingofprinciplesofexcellencebasedonCAFExternalFeedbackprocedure. It isbecausethescoringscaleinthecaseofself-assessmentisbetween0-100andtheprocessoftheself-assessment is more complex. We always evaluate every sub-criteria, every example
separately–thatiswhytheconsensusmeetingtakeusuallytwodays(atleast).Thescaleinthecase of rating the principles of excellence is based only on 4 levels (0, Initiation, Realisation,Maturity–wemodifytheminto0-100scale)andwemakeevaluationusuallyonaworkshopin
smallseparategroups.
That´swhyweusevariousscalesforthefinalpriorityindex(Ip):Ip=0,6*ICC+0,4*IPoE
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Slovenia
Case:TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje
AdministrativeUnitCeljeSlovenia
Damjan Vrečko Head of AU Celje Tel.: +38634265300 E-mail: [email protected]
Saša Košenina Tel.:+38634265428 E-mail: [email protected] http://www.uis.si
Sector of the organisation: Regional and local administration
Reference number of the sub-criteria of the CAF enablers related to the good practice(s): Sub-criteria 4.1 and 4.4
1.Descriptionoftheimprovedresult(s)oftheorganisation
The implementationof theAdministrativeand InformationServiceSystemCelje (hereinafter:AISS)primarilyrepresentstheimprovementofadministrativeservicesandtheconsequentincreaseofthe
administrative standard. It makes it possible for users of our services to find answers to generalquestions in relationtomanyadministrativematters inoneplacewhile theydonotneedtoknowwhichadministrativeauthorityhasjurisdictioninthematter.Togaininformation,clientsdonothave
togotothepremisesoftheauthoritiesbecausetheyareabletoobtainalltheinformationontheirpersonalcomputer.ThroughAISS,164requestedpiecesofinformationwereprovidedtoourclientsin2010,154in2011,165in2012,227in2013,213in2014,and162in2015.AISShasbeenoperating
forsixyearsand,inthistime,ithasbeenvisitedby47.500peopleoraveragelyby8000visitorsperyear.Eachvisitorchecks2.89pagesofonlineserviceonaverage(sub-criterion6.1.CAF).
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Access toupdated information is availablenotonly to clients from theCelje area, but also clients
from other parts of Slovenia and to inhabitants of other countries who are managing theiradministrative affairs in the Republic of Slovenia. Itwas discovered throughGoogle Analytics thatmostAISSvisitorsarefromLjubljana(40.57%),Celje(22.80%),Maribor(9.66%),NovoMesto(2.46%),
Velenje (2.28%) and Koper (2.11%). Themajority of AISS visitors are from Slovenia (95%) and theother5%arefromtheUSA,Croatia,Serbia,Germany,BosniaandHerzegovina,Austria,Russia,andSwitzerland.
Since 2003, the Celje Administrative Unit (Celje AU) has been interviewing clients about their
satisfactionwiththeworkofCeljeAU.Eachyear,thelevelofourclients'satisfactionhasbeenhigh.Interviews in 2012 and 2014, which were done after the implementation of AISS, showed thatsatisfactionincreasedevenmore.ThequalityofCeljeAUserviceswasgivenascoreof4.67in2012
and4.79in2014(sub-criterion9.1.CAF).
Table1:ClientsatisfactionscoreswithregardtotheworkofCeljeAU
Year Client satisfactionscore
2009 4.63 BeforeimplementationofAISS
2010 4.62
2012 4.67 AfterimplementationofAISS
2014 4.79
InterviewsofCeljeAUclientsarealsousedtomeasureourclients'satisfactionwithaccessibilityand
understandability of the information they need. Firstly, users score their expectations (E) uponcomingtoCeljeAUandthentheyscoretheperceptionoractualcondition(P).TheactualconditionorperceptionofallintervieweesishigherthantheirexpectationsbeforetheycametoCeljeAU.The
difference between perception and expectation has been increasing each year. It has beendiscovered that, after the implementation of AISS, the accessibility and understandability ofinformationhaveimprovedandtheyhavebeenexceedingexpectationsofourclients(Table2)(sub-
criterion6.2.CAF).
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Table2:Comparisonofclients'perception(P)andexpectations(E)relatingtotheaccessibilityandunderstandabilityofinformationneeded
Year Expectations(E)
Perception oractual
condition(P)
Differencebetween
expectationsandperception
2009 3.79 4.51 0.72 BeforetheimplementationofAISS
2010 3.92 4.55 0.63
2012 3.76 4.54 0.78 AftertheimplementationofAISS
2014 3.79 4.69 0.9
SinceAISShasbeen implementedatCeljeAU, the shareof clientswhoobtain informationon themanagement of their affairs online has been increasing and it is higher than the average in the
RepublicofSlovenia.Therewere12.20%ofsuchclientsin2009,13.78%in2010,15.48%in2012,and15.87%in2014.
AISSwasmadeand isnowdevelopingasacommonprojectwithotherstateauthorities, localself-government authorities, and other public sector organisations in the area of Celje (hereinafter:
authorities). Celje AUmonitors and evaluates how results of different partnerships are achieved.Amongotherthings,theauthoritiesinvolvedareinterviewedabouttheirsatisfactionwithCeljeAU'swork. It has been discovered that, after the implementation of AISS, cooperation between the
authoritiesinourareahasadditionallyimprovedandthatsatisfactionofotherauthoritieswithCeljeAU'sworkhas considerably increased (sub-criterion8.2.CAF).CeljeAUhadbeenmeasuringotherauthorities'satisfactionwith itsworkevenbeforethe implementationofAISS in2006,2007,2008,
and 2009. The satisfaction was scored highly each year (average score: 3.93 - 4.26). The firstinterviews after the implementation took place in 2012. After the implementation of AISS, thesatisfactionwithCeljeAU’sworkincreasedsignificantly(averagescore:4,88).Authoritiesinthearea
ofCeljewillbeinterviewedagainattheendof2016,inaccordancewithouractionplan.
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Table3:ScoresofthesatisfactionofCeljeareaauthoritieswiththeworkofCeljeUE
year Score of authorities' satisfaction
2006 3.93 Before the implementation of AISS
2007 4.26
2008 4.14 After the implementation of AISS
2009 4.10
2012 4.88
The information obtained through AISS enable our clients to file complete claims to different authorities and local government offices with all necessary attachments. This is why authorities are able to resolve such claims more effectively and within legal time limits (30-60 days). Celje AU constantly monitors the number of matters resolved after the expiry of the legal time limit. After the implementation of AISS, there was an immediate (as early as 2010) decrease in the number of matters resolved after the expiry of the legal time limit. In 2013, 2014, and 2015, Celje AU resolved all matters before the expiry of legal time limits and was operating with no delays.
Table4:Numberofcasesresolvedaftertheexpiryofthelegaltimelimitinthe2008-2015period
Year Number of cases resolved after the expiry of the legal time limit
2008 31 Before the implementation of AISS
2009 15
2010 7 After the implementation of AISS
2011 7
2012 3
2013 0
2014 0
2015 0
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The added value of AISS with regard to the improvement of the quality of our services was also recognised by the Regional Chamber of Commerce in Celje, which gave Celje AU a bronze award for innovation in 2011 (sub-criterion 9.2.)
Figure 1: Regional Chamber of Commerce Celje Award Ceremony,where the bronze awardwasreceivedinJune2011
2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
Celje AU has been answering our clients’ questions relating to administrative matters in different media for a few years now. It has been discovered that the Celje AU is not competent to answer many of these questions, but this is in the jurisdiction of other authorities. Clients have been asking questions regarding taxes, inspectional procedures, health and retirement insurance, employment, social services and much more that is not in the jurisdiction of Celje AU. Several times, questions were received, for which only partial answers were possible because, according to jurisdiction, more authorities would be needed to provide complete information.
Considering that the Republic of Slovenia does not have administrative districts and regions, authorities work independently on the territorial level in the area of their jurisdiction. According to dispersed activities of the authorities, good cooperation is that much more important to provide effective administrative services.
Therefore, a decision was reached to offer our clients online, interactive, publicly accessible service where clients will obtain answers to general questions about administrative matters in one place. To gain information, clients will not have to go to the premises of the authorities, because they will be able to obtain all information online on their personal computer. Furthermore, they will not have to know exactly in jurisdiction of which authority the matter of their question is (sub-criterion 4.4 CAF).
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The Head of Celje AU, Damjan Vrečko, has presented the idea about AISS online service to the heads of authorities operating together within the Coordination Advisory Committee of the Head of the Celje Administrative Unit. Heads of all mentioned authorities have supported the idea and have joined the common project of introducing AISS to practice (sub-criterion 4.1. CAF).
In February 2010, Celje AU signed the agreement on the establishment of AISS with all of the authorities who committed to participate in accordance with standards agreed upon in advance. An agreement was reached that the executive editor of the online service (online administrator) will be employed by Celje AU. Each of the authorities agreed to appoint a sectoral editor within their authority who will be responsible for preparing answers in the area of their jurisdiction. In the agreement, all of the authorities undertook to answer the questions in the shortest time possible, preferably in three days after receiving the question in the notification system.
That is how the Administrative Information Service System was invented. AISS has been active on the website www.uis.si since 31th of March 2010.
Figure2:AISSHomepage,www.uis.si
22 authorities provide answers to our clients within AISS. There are Celje AU, four municipalities, police and authorities that are working in the fields of environment, spatial planning, agriculture, surveying and mapping, finances, health, retirement and disability insurance, veterinary, food safety, employment, social work, protection against natural and other disasters...
AISS works by allowing clients to ask questions through an online form. If they want to receive the answer by e-mail, they can provide their e-mail address. Each question asked on our web site is processed by the executive editor of AISS, who works at the Celje AU. He examines the question, publishes it online and forwards it (tickets it in the system) to the sectoral editor of the authority which has jurisdiction over the topic of the question. The system sends a notification about the question and a link to the question in the online service by e-mail to the sectoral editor. The sectoral editor logs into the AISS with a user name and a password and prepares an answer to the question, The executive editor (online administrator) publishes the answer and marks it as ‘finished’. At this point, the system
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sends an e-mail with the answer to the asked question to the client's e-mail address in case the client provided it in the online form upon asking the question.
Clients that do not list their e-mail address upon asking the question can see the answer on the web page www.uis.si.
Furthermore, clients can track the status of their question. All newly received questions which were published and assigned by executive editor to the sectoral editor from the authority which has jurisdiction over the matter of the question have the status ‘new.’ The status ‘pending’ means that the sectoral editor is preparing the answer. The status ‘finished’ is for all already answered questions. When the executive editor (online administrator) assigns the status 'finished' to the question, the e-mail is sent to the client who asked the question and also provided their e-mail address.
All questions and answers are published online. They form a database, so clients who do not ask questions themselves can find answers as well. Questions and answers can be found by areas, authorities, statuses and by means of a search engine. The operation and use of AISS are easy and user-friendly.
All of the authorities who are cooperating within AISS try to answer the questions in the shortest time possible. The reaction time needed for answering the questions is constantly monitored and measures are immediately taken when the preparation of an answer takes too long. Most of the questions in AISS are answered the same or the next day, and the average time for the preparation of the answer is from four to six days. This time is successfully becoming shorter. Our goal is to answer all questions in fewer than three days.
Heads of the authorities that are cooperating in the AISS in addition to Celje AU introduced the launch of AISS at the press conference in April 2010. AISS was also introduced at the Days of Slovenian Public Administration in Portorož in September 2010.
Figure3:TheHeadoftheCeljeAdministrativeUnitintroducingAISSattheDaysofSlovenianPublicAdministrationinPortorožinSeptember2010
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AISS is the result of the development of a common partnership with other authorities in the public sector in the area of Celje (sub-criterion 5.3. CAF).
By implementing the AISS, we improved the satisfaction of our clients (sub-criterion 6.1. CAF). We improved and enabled access to updated information not only to clients from the area of Celje, but also to clients from other parts of Slovenia and from other countries (sub-criterion 6.2. CAF).
Clients who file claims at Celje AU and at other authorities that are cooperating within the AISS can gain information even before filing their claim. This helps authorities resolve the claims even before the expiry of legal time limits. At Celje AU, the number of cases resolved after the expiry of a legal time limit decreased and, in last three years, all cases have been resolved before the expiry of the legal time limit, which means that the Celje AU has been operating without any administrative delays.
Regular meetings of the Coordination Advisory Committee of the Head of the Celje Administrative Unit with the other authorities are held in order to monitor the operation of the AISS, what the reactive times are, and new solutions for improving the AISS are sought.
3. Description of the prioritisation approach that led to the chosenproject
After the self-assessment with the CAF model was performed at Celje AU in 2006, the action plan with measures was adopted, in which Criterion 4: Partnership and Resources, included the measure ‘Proactive informing of clients through the Celje AU web page and the media', which should be performed as a permanent task. We assigned second stage priority to this measure.
Celje AU continues to effectively inform clients in various ways about its services and it looks for new ways of doing this. Our web site includes information on new and changed legislation that influences administrative proceedings. For a number of consecutive years, Celje UA has been answering its clients' questions about administrative matters in different media. It has presented its work at different trade conventions and other events.
AISS is the result of the strategical decision reached by the Celje AU management. Damjan Vrečko, the winner of the Golden Swallow Award for the best manager in Public Administration in 2007 and the Head of the Celje Administrative Unit, prepared a plan to provide information in the fastest, most effective, and client-friendly way possible, regardless of which authority is responsible for such information. He believes that clients primarily do not need to know the delimitation of working areas between different authorities.
There are 22 independent authorities cooperating in the AISS. Celje AU is not superior to these authorities, but it acts as their coordinator. Celje AU is putting a lot of positive energy into this cooperation, which is always excellent and high-quality.
The vision of Celje AU is performing administrative services in a legal, effective, innovative and client-friendly way. What is more, it wishes to develop a high level of trust from its clients with regard to the performance of our procedures and the satisfaction of its employees.
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Spain
Case:WalkinghandinhandwithtaxpayerstowardsExcellenceintheBenidormTreasuryDepartment
BenidormTreasuryDepartmentSpain
AntonioCholbiE-mail:[email protected]
IsabelFuster
E-mail:[email protected]:Regionalandlocaladministration
The treasurydepartmentof theCityCouncilofBenidorm is amanagement centre incorporated inthe economic area of the Finance Department. Its mission is to issue tax assessments and other
publicrevenuesthatemergefrompublicservicesprovidedbytheCityCouncilandtomanageothereconomic processes such as payments to suppliers or the refund of bank guarantees, etc. Thetreasurycountsonastaffof14people.Thetreasurydepartmenthasitsheadquarterslocatedonthe
ground floor in themain building of the City Hall, 14 deconcentratedmanagement centres and 5externaladministrativeoffices(outsidethemainbuilding)inthevariousneighbourhoodsofthecity.
Referencenumberofthesub-criteriaoftheCAFenablersrelatedtothegoodpractice(s):Criterion1:Leadership,sub-criterion1.3Criterion2:Strategyandplanning,sub-criteria2.1,2.2
Criterion3:People,sub-criteria3.1,3.2,3.3Criterion4:PartnershipsandResources,sub-criteria4.1,4.2,4.4,4.5Criterion5:Processes,sub-criteria5.1,5.2,5.3
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1.Descriptionoftheimprovedresult(s)oftheorganisation
Criterion6:Citizen/Customer-oriented
Increasingsatisfactionofcitizens.Surveys:generalaveragescoreof8.30points in2013to8.92 in2015.
Resultsinadaptationtonewtechnologies,increaseduseeveryyear(implementedin2014):
Electronic Work Volume 2014 2015
Aimed at citizens processes Number of processes initiated online 429 694
Total number of administrative steps 11.333 20.795
Internal work processes Number of processes initiated online 45 46
Total number of administrative steps 1.018 1.120
Processes regarding administrative task Number of processes 1.495 1.175
Total number of administrative steps 21.574 17.405 Resultsinuseofcorporatecashdispensers,installedtofacilitatethetaskofpayinginsitu:
Corporate Cash Dispenser (number of monthly operations)
Jan. Feb. Mar. Apr. May Jun. Jul. Aug. Sep. Oct. Nov. Dec.
2013 495 456 448 387 366 448 600 280 484 306 295 282
2014 453 453 391 382 395 874 514 227 492 325 305 342
2015 373 388 365 330 303 760 506 255 405 335 462 228
Satisfaction and demand survey
7,437,82
8 ,30
0 ,00
7,92 8 ,05 8 ,27 7,969 ,30 9 ,27 8 ,42
8 ,92
0,00
2,50
5,00
7,50
10,00
General Satisfaction w ithpayment systems
Satisfaction w ithadaptation to new
technologies
Satisfaction w ithService Charter
20132014
2015
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Resultsinusingnewtoolstofacilitatethetaskofpayingandbookingactivities:
PaymentGatewayinwebsite Deporwin1:Requestandbookingoflocalfacilitiesandcourses
Numberoftransactions Income Numberofoperations Income
2013 1.132124.693,85
€ 0 0€
2014 1.457130.536,85
€ 6.763 69.362,95€
2015 1.360126.048,10
€ 3.972(Somebookingstransferredtoconcessionaire) 61.758,37€
TotalofSUMA2CallCenterreceivedcalls:in2013:9.993,in2014:11.818.andin2015:6.283(othersstillappearinpersonoruseinternet).Resultsinsavingsasaresultoftheimplementationofnewtechnologies:
SAVINGS 2013 2013 2014 2014 2015 2015
Estimatedper
operation3Operations Estimated Operations Estimated Operations Estimated
Startofelectronicfile 75€ - - 429 32.175,00€ 807 60.525,00€
PDAspromptnotificationdiscount(reductionoftimefrom26%to50%) 60€ 20.559 1.233.540,00€ 16.840 1.010.400,00€ 16.202 972.120,00€
Deporwinimmediateconclusion 200€ - - 3.627 725.400,00€ 3.969 793.800,00€
Deporwinpromptresponse(reductionoftimefrom26%to50%) 60€ - - 3.084 185.040,00€ - -
TOTAL 1.233.540,00€ 1.953.015,00€ 1.826.445,00€
Whatweinferfromallthedataprovidedinthesegraphsisthattheimplementationofnewtoolshasmadepeoplefeelmoresatisfiedwithalltheservicesprovided,evenifsomenewtoolsarenotusedmoreoftenthanthepreviousyear. Insomeitemsthescore in2014was lowerasnewinnovationsemployedtooksometimetobeinstalled.
1Softwaretobookculturalandsportfacilitiesandactivities.2SUMAisthedelegatedtaxmanagementbodyinmattersoffeesandtaxes.3SavingscalculatedaccordingtotheHandbookofadministrativesimplificationandreductioninadministrative
burdensforGeneralAdministrationeditedbytheMinistryofFinanceandPublicAdministrationin2014.
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Criterion7:People
Increasingsatisfactionofemployees.Surveys:generalaveragescoreof7.71pointsin2013to8.18in2015 and very high satisfaction increasing in many items, so this means that everything done ismakingemployeesfeelbetter.
Criterion8:SocialResponsibility
Socialresponsibilityactivitiesby: 2014 2015
Hidraqua4 8activities 8Activities
Caixabank5 6activities 8Activities
SUMAGestiónTributaria 1activity 4Activities
Total 15activities 20Activities
4HidraquaisthewatersupplierinBenidorm(privatecompany).5CaixabankisthebankthatactsasonlymanagerofallbankactivitieswhichhavetodowithBenidormTownCouncil,sothatistheonetocontactotherbanksandunifyalltherevenueanduseoftelematics.
Staff surveys
8,18
7,177,71
7,00
8,00
9,00
10,00
2013 2014 2015
Evolution of very satisfied employees' perception
36,445,554,5
7,114,3 18,2
63,6
21,4
100
64,3
50,0
62,5
42,9
0
20
40
60
80
100
2013 2014 2015
Monitoring of agreed goals
Work-life balance
Participation in decision-making regardingw orkplace and w ork environment
Ways to pass along complaints, suggestionsand needs to the manager team
Working atmosphere
Satisfaction w ith training plan
Satisfaction w itn empow erment
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OneoftheactivitiescarriedoutbySUMA: 2013 2014 2015
Helptofilltaxreturnsforpeoplewhocan’taffordpayingaconsultancy 456 445 461Socialresponsibilityisakeyconcerninperiodsofeconomiccrisisastheonewearegoingthrough,andactivitiesarenotonly focusedonculturalandsportactivities forchildren,butalsoonhelpingpeopleto,forexample,fulfiltheireconomicduties.
Criterion9:KeyPerformance
TaxsettlementscollectedbyTreasuryDepartment n.º2013 Amount2013 n.º2014 Amount2014 n.º2015 Amount2015
Directtaxcollection(LandValueAppreciation) 5.380 5.121.860,47€ 4.743 5.574.865,74€ 4.237 5.663.262,54€
Indirecttaxation(Taxonconstruction,installationsandbuildingworks) 923 328.470,22€ 1.139 373.230,76€ 1.270 1.196.141,71€
Feesandotherincome 19.941 10.216.424,34€ 20.115 10.891.447,19€ 16.908 8.921.470,65€
TaxsettlementscollectedbySUMA:IndependentTaxAdministrationBody
n.º2013 Amount2013 n.º2014 Amount2014 n.º2015 Amount2015
Directtaxcollection(Property,road,business) 133.423 41.923.324,18€ 133.372 42.148.535,61€ 133.410 42.721.648,18€
Indirecttaxation - - - - - -
Feesandotherincome(Solidurbanwastetax,...) 93.173 14.728.050,28€ 89.612 13.428.265,05€ 88.678 13.102.498,52€
Self-assessmentspaid(thecitizensettlesthepaymenthimselfaccordingtocityordinances) - - 8.748 117.256,67€ 5.706 112.068.07€
Theprevious tables showhow theglobal amountof revenue varies according to the years, thesedata cannot be much influenced unless the City Council changes the ordinances (increasing ordecreasingpercentages)ortherealestatemarketbeginstobuildagain(asitishappeningfrom2014withTaxesonconstruction).
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Percentageoftaxsettlements'collection 2012 2013 2014 2015
Duringthevoluntaryperiod(treasury) 90,78 91,11 92,00 89,41
Duringthevoluntaryperiod(SUMA) 91,21 90,06 90,04 90,63
Duringtheenforcementperiod(SUMA) 92,52 91,46 87,51 32,426
Self-assessments - - 100,00 100,00
Sanctioningsystem 2013 2014 2015
PercentageimposedbyPDA 80,31% 76,54% 78,46%
Amountcollected 2.590.640,00€ 2.313.620,00€ 2.267.811,00€
Thepreviousdatashowhowtheglobalsystemisadoptingnewtools,wecanseethatduringthefirstyearthereisaboomtousenewelementsandthenitissettleddown.
Otherrelevanteconomicdata
EconomicTransparency(TransparencyInternationalIndexformunicipalities-ITA)
Itwas14,3in2012anditachieved81,8in2014
Complaintsfiled Decreasingfrom88.930in2013to17.242in2015
Paymentaverageperiod Decreasingfrom69daysin2012to33in2015
Indebtednesslevel Decreasingfrom102,1%in2012to75,6%in2015
Localdebtamount Decreasingfrom130.604.414,22€in2012to87.530.683,09€in2015
Thistablegathersthemainresults,aftersomeeffortsdoneonparticularitems:forexample,ahugeeffort was done to enhance the information published on the webpage and so ITA score hasincreased, or also for example, the fact of usingmore electronic devices which reduces the time
takentopayinvoices.
6Stillcollectionforanotheryear
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2.TheimplementedimprovementorchangeprojectaftertheCAFself-assessment,leadingtotheresultsmentioned
The treasury department was an old-fashioned department whichhad not been the subject ofmany changes formany years. It hasbeen only since 2006when the new Treasurer arrived that a new
system began to be implemented based on managerial andorganisational techniques. A first strategic plan was implementedfrom2010to2012andmanychangestookplaceanditwasin2013
when the management team realised that the organisation wasmatureenoughtotakeastepfurther.Aself-assessmentwascarriedoutandasecondstrategicplanwasdeveloped,soinsomewayalltheimprovementshavetodowithCriterion2.
AffectingCriteria1,2,3and4
Inordertoachievebetterresults insurveys(satisfactionandworkclimate)anda lowernumberofcomplaints,aninformationexchangesystemwasestablishedthatincluded:
• thesystemofsurveysitself,tocollectrelevantdata;
• regular group meetings and two professional social communities to collect concerns, get
feedback and communicate activities with: employees, politicians, other departments,partners,suppliersofsoftwareandcolleaguesworkingforotherpublicadministrations;
• anewsystemofcomplaintsandsuggestionstocollectcitizens’concerns.
Theestablishmentofregularsurveysandmeetingshasbeenacornerstoneforalmostallouractivities:fortheinnovationfieldwith improvement teams (software,paymentmethods,
SUMA,andothers),forinterchanginginformationwithallthestakeholdersmentionedandithasalsobeenthebestwaytocollect new suggestions and listening to the different needs
andcomplaints.Wealsodecidedtogatherbetterinformationaboutdifferentitemsofourinterestbymeansofcreatingtwosocialcommunitiesrelatedtoqualitymanagementtogetintouchwithothercolleaguesandshareexperienceswiththem.
To implementbothsystems(surveysandmeetings), themanagementteamestablishedacalendar
andpresentedittolocalauthoritieswhoratifiedtheagreementsinofficialdocuments.Inthecaseofsurveys, the technical specifications were fixed, budgets were requested and contracts were
awarded,surveyswerecarriedoutandconclusionsweremet,
andsoisdoneeveryyearsince2013.Inthecaseofmeetings,there isadifferentfrequencydependingonthestakeholders.Forexample,meetingswithemployeesindividuallytakeplace
onceayearandingroupsseveraltimesayear,whilemeetingswithpoliticiansareheldonceaweek.Suppliersofsoftwareare
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invitedmore frequently when implementing new tools and less frequently during the rest of the
year.Regardingthesocialcommunities,itisadvisabletopublishatleastonesubjectamonth.Forallthesethreeitems,oneofthemanagersisresponsibleforarrangingmeetings,preparecontractsandpublishthethreads.
Theobstaclesfacedwere:1.Noneofthepersonsintheself-assessmentteamhaddonesomething
similarbeforeandtheyfeltstrangejudgingthefacilitiesandtheworkdone.Soitwasnecessarytoexplainhowthiswasgoingtohelp intheevolutionofthedepartment,2.Nobodywasusedtothesystemofregularmeetingsandsometimes itwasdifficult toestablishadate forameeting. Itwas
throughinsistencethatmeetingswereheld,3.Customersdidnotwanttocollaboratewithsurveysduringthefirstyear(astheywerereluctanttogivethatkindofopinions).Moreexplanationthantheoneweoffertodaywasneededbeforefillingthesurveys.4.Employeesdonotuseveryfrequently
thesocialcommunities,buttheydoreadeverythingthatisposted.Inthisfield,wecannottalkaboutmistakes.WhatwehavedoneistoworkwiththePDCAcycleand,forexample,wehaveaddednewquestionsorchangedthetextinthesurveyscarriedoutbothwithcitizensandemployeestogather
informationthatismoreaccurate.
AffectingCriteria2and3
Inordertoachievebetterresults,specificallyinstaffsurveys,atrainingplanwasalsodefinedasbig
concern in the strategicplanabovementionedandanEmployeeHandbookwasdesigned, asbothaspectshadbeenneglectedduringmanyyearsbypreviousmanagers.
A calendar for general training was notnecessary in this case, as the application
period corresponds to the HumanResourcesDepartment. The field toworkhere was to focus on developing
individual skills, so the managersassessed individually which were theabilities to enhance in each case. Apart
from that, there was a specific trainingprogramme for theDepartment and the self-assessment teamonqualitymatters and introducingCAF 2013 thatwas agreedwith AEVAL (the National Agency for supporting and evaluating public
policiesandprogrammes).Acalendarwasestablishedso thateverybodycouldattend the trainingwithout interfering in theday-to-dayworkandMr.Cuellar (thenationalCAFcorrespondentat thetime inSpain)providedthetraining.Oneof themanagerswas inchargeof theconversationswith
AEVALandpreparingtheEmployeeHandbook.Theothermanagerscoordinatedtherest.
Thefactorsofsuccessareprobablyandmainlythegradualempowermentandthespecialisationincertainprocessesof someemployees. Theobstacle insteadwasalways foundwhenan innovation
wasgoingtobeimplementedandsomeoftheemployeesresistedtochange,astheyneverreceivedafinancialreward.Butsoontheysawhowthemeasurestakenimprovedtheperformanceandhow
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their colleagues were progressing. Another very relevant obstacle is that the training policy is
ultimately depending on the Human Resources Department, so even if the management teamadvisesandrecommends,notalltheemployeesareselectedtobereceivetrainingeveryyear.
AffectingCriteria2and5
Therearetwopointstomention:
1. Toimprovetheserviceofferedtocitizens,itwasthoughtasabasicitemtodevelopaServicesChartertoenabletodefinecustomers’rightsandexplainhowtheircomplaintswillbehandled.
2. Onthe technologicalaspect,anadvancedmanagementandpaymentsystemwas theunique
scopeforseveralstrategicgoals:
• Newpaymentsystemswithonlineservicesavailableforthecitizenthatwouldfacilitatethe
taskofpayingtaxes,other feesandself-assessments. Inthecorporatecashdispensers,aninnovation has been implemented. It is now possible to pay taxes and fees with directconnection with the bank, transferring all the files to the treasury department directly
incorporated into the management and payment registration software without theinterventionof anyperson.Paymentgateway andanappwith catches are theother twonewsystems.
• Simplifiedprocesses.
• Accessibilitybyelectronicmeanstoallprocessesonthewebsite.
For the Services Charter: bench learning and
brainstorming prepared the charter and one of themanagersconductedalltheprocessuntilpublicationin2013. The revision is scheduled for 2016 and the
Treasurywillapplyforcertification.
The rest of activities have been coordinated throughimprovement teams were seven suppliers oftechnologyhavebeeninvolved:fromsoftwaretoapply
foracoursetosoftwaretoposttherevenueandrangingfromfilemanagers.
It has been a hard task to coordinate all the suppliers and bring them together to produce anintegrated systemwhich unites different steps: application and processing of administrative files,issueofself-assessmentandacquittance(documentthatpermitspayment),booking,paying,transfer
tothebank,standardisationoftypeofincome,transfertotheTreasurydepartment,registrationinthetaxmanagementsoftwaretoolandpostoftherevenue.Inacertainway,thefactofworkingsoclosehasbroughtaboutgreatercohesionamongallthestakeholders.
Thistimeallthemanagerswereinvolvedintheimprovementteamsscheduling,preparingfilesand
lookingfornewsolutionstoprogressintheproject.Asthetimegoesby,newinnovationshavebeen
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incorporated along the process improving
indifferentwaysthepaymentsystems,thesimplification of processes and differentpossibilitiesforaccessibility.Inthesecases,
a meeting of the improvement team isarranged and new decisions areincorporated to the strategic plan in the
shortterm.
Sometimes theproblemwas technologicalandithascauseddelaysinexecution,butintheend,weareallmanagingverywell,astheproductsareavailableforcitizensandtheyincludenewadvantageseverytimeanewgoalisreached.
AffectingCriterion4
Awaytoenhanceourrelationwithpartnersandstakeholdersandofferabetterservicewasthroughpublic-private agreements after the initial service contracts that had been signed with SUMA,CaixabankandHidraqua.
With the passing of years several partnership agreements have been added, such as the transfer
contractswithSUMA(thecessionofPDAs7 forsanctioningregimeandcessionofacorporatecashdispenser), Caixabank (advanced telematic payment systems) and Hidraqua (agreements toincorporatepaymentthroughcorporatecashdispensers).
The beginning was the usual relationship between
PublicAdministrationandtheserviceprovider.Nowwecall them partners or allies. In all cases, the startingpoint was the public bidding and working in the
improvementteammeetingscreatedalliancesinorderto enrich each other experiences. The implementedinnovationscannowbetransferredandused inother
public administrations as it’s already happening inotherTownCouncilsthatareadoptingoursystemsinamodularway,asforexampleinTorrePacheco,SanJavier,Sabadell,AzuquecadeHenares,SantJoan
d’Alacant,Cieza,SanVicentdelRaspeig,ElVendrell,PuertodeSantaMaríaoElda.Atthemoment,otheradministrationsandpublic-privatebodiesarealsointerestedinourprojects.
7PDAsarePersonalDigitalAssistantsusedbypoliceofficerstoimposefines.
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3. Description of the prioritisation approach that led to the chosenproject
Once the first self-assessment was carried out,suggestions were made which would affect all theenablers’ criteria. It was then the time for the
management team to analyse all the proposals andtake the appropriate decisions for qualityimprovement. On the one hand, they took into
consideration inwhich fields theywouldstrategicallyobtainbetterresultsaccordingtotheirvision.Ontheotherhand,theyconsideredthefeasibilityofrequired
actionsandtheyalsoweighedtheadvantagesanddisadvantagesofthedifferenttoolsavailable.
Thentheydeliveredtheirplantolocalauthoritiesandthestrategic document was ratified. Improvement teamsstarted working. Themanagement team and twomore
employees formed the team for the Services Charter.Another improvement team coordinated actions withSUMAwithperiodicmeetingsalmosteveryweek.Athird
team coordinated all the payment systems wheredifferent software companies usually gather with themanagementteamandalsobytheirowntocompletethe
actionsdiscussedonthesessionagendas.
From thatmoment on, every year the sameprocesswas followed gathering information not onlyfrom the second self-assessment, but also from individual and group meetings, surveys and the
resultsinthebalancedscoreboard.
Theorganisation focuseson results.Results areachieved thatpleaseall of theorganisation’s stakeholders
(authorities,citizens/customer,partnersandpeopleworkingintheorganisations)withrespecttothetargetsthathavebeenset.
Principle2:Citizen/Customerfocus(CCF)
The organisation focuses on the needs of both present aswell as potential citizens/customers. It involves
theminthedevelopmentofproductsandservicesandtheimprovementofitsperformance.
Principle3:Leadershipandconstancyofpurpose(LCP)
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PART
2:Th
eprioritisation
metho
dologies
170
171
PrioritisationmethodologyTheEIPAapproach.1
Introduction
For a successful implementation of the Common Assessment Framework, many public sectororganisations follow the 10-step process as defined in the CAF 2013 brochure, that covers the 3
majorphasesoftheimplementation:thestartoftheCAFjourney,theself-assessmentprocessandtheimprovementplanningandimplementation.
Based on the CAF model, the TQM diagnosis of the organisation is made and besides this, alsovarious areas of improvement are discovered across the 28 Sub-criteria of the model. Concrete
proposals for actions to tackle these areas of improvements (some call them weaknesses) are
1TheEIPAapproachedisbasedontheBelgianprioritisationmethodology,developedbyJean-MarcDochotandPatrickStaes.AnumberofadditionalfeatureshavebeenelaboratedbyPatrickStaesandNickThijsfromtheEuropeanCAFResourceCentre.
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formulated. Some self-assessment reports contain more the 100 proposals for actions. But at acertainmomentchoiceshavetobemadeinarationalway,optionshavetobetakenforthefuture.It
would be a signal of bad management to try to go for everything. Unfortunately, this reflectionremainsoftena relicof theoldWeberianbureaucratic administrationswereeverythinghad tobeperfectbutat theendmany thingsdidnotwork.Makingnochoiceswouldbevery inefficientbut
making choices is not easy. In one of the previous CAF studies, CAF users indicated that theystruggledalotwiththisdecisionmakingprocessbecausetheywerelackingasoundandoperationalmethodology. Nevertheless, in step 7 the moment comes to draft conclusions and to launch an
actionplan.Duringstep5indicationshavealreadybeengiveninwhatdirectionsolutionsshouldgobutthefinalchoiceneedsspecialattentioninthebeginningofstep7.
Objectiveofthemethodologicalapproach.Thewaytothefinaldecisionsshouldbesystematicbutsimple at the time. Management and members of the Self-Assessment Groups(s) are involved in
differentstagesandcreateacommonplatformforchangeinthisway.
Definitionoftherelevantareasofimprovementforeachsub-criterionoftheCAFby the Self-AssessmentGroup (SAG)during the self-assessmentprocess and theformulationofproposalsforimprovementactions
During the self-assessment consensus meetings, the SAG agrees for each sub-criterion on thestrengths,areasofimprovementandproposalsforimprovementactions.Somestrengthsmightneed
tobefurtherimprovedbutthatshouldbementionedasaspecificareaofimprovement.IntheEIPAapproach,theSAGisinvitedtobringonthetabletheirexpertisetoproposeadequateimprovementactions for the most relevant improvement areas. Managers welcome self-assessment reports
indicating what should be improved but they appreciate even more concrete suggestions forsolutions.
Sub-criterion
1.0
Strengths Areasofimprovement
1. 2. 3. 4.
1. 2. 3. 4.
Score ProposedImprovementActions:
1. Action1:Linkedtoareaof improvement2becausethisareawasconsideredtobeoneofthemostimportanttobeimproved.
2. Action2:Linkedtoareaof improvement3becausethisareawasconsideredtobeoneofthemostimportanttobeimproved.
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MembersoftheSAGareinvitedtoformulateimprovementactionsforwhattheyconsidertobethemost relevant improvement areas in relation to the achievement of themission and vision of the
organisation. This means that a first selection of critical areas for improvement is done by themembersoftheSAGwhohaveanin-depthknowledgeofthestateoftheartofthesub-criterionastheypreparedtheanalysisindividuallyanddiscusseditduringtheconsensusmeetingingroup.This
isnotveryeasy tobedone,especiallynot for the first time,asanalysingmanagerialpracticesandformulating improvement actions is not exactly a required core competence for the normal civilservant.
Nevertheless,clearwordingatthisstageisveryimportantfortherestoftheselectionprocess.Very
oftenithappensasillustratedbelow:
ImprovementactionsshouldbeformulatedinaSMARTway:
• Specific:inlinewiththemostrelevantareasofimprovement.
• Measurable:itmustbepossibletomeasuretheprogressintheexecutionoftheaction.
• Acceptable:allstakeholders,especiallymanagersandstaff,supporttheaction.
• Relevant:astheyarelinkedtothemostrelevantareaofimprovement,theactionswillhave
thepotentialdirectorindirectimpactontheorganisationalperformance.
• Time(bounded)
In this stage, the actions proposals should not be formulated toomuch into detail as later in the
process,theyshallbecollected,sometimesintegratedwitheachotherand/orrewritten.
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1. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Thestandardapproach
By preference,managers and allmembers of the SAGmeet during a one- or two-day seminar toselectthemostappropriateimprovementactionsforthecoming2years.
Priorisationmethodology
1.Preparatorywork:screeningandcleaningoftheactionlist
All the proposed actions, linked to themost relevant areas of improvement of the different sub-
criteriaofCAF,arelisted.TheCAFprojectleaderortheSAGchairreceivesthemandatefromtheSAGto make this list coherent and consistent: actions related to similar areas of improvement areintegrated,eventuallythroughreformulation,tocomplexactionsaresimplifiedorsplitintodifferent
actionsetc.Allthis isdoneinrespectwiththeoriginalproposalssothatnovaluableideasarelost.TrustisaconditionsinequanonforeverychangeprocessandforCAFinparticular.ConfidentialityandrespectfortheinputofthemembersoftheSAGarecrucial.
2.SelectionoftheQuickWins
In the first part of the seminar, the project leader creates mixed groups of managers and the
membersoftheSAG(s).Bypreference,staffwillnotbeinthesamegroupastheirdirectsuperiorsto
assureopendiscussions.Thesegroupsgothroughtheactionslistandselectactionstheyconsiderto
beQuickWins.QuickWinsareactionsthatcanberealisedeasilyandquickly (withinafewweeks)
and encourage staff to implement actions that are strategically more important but also more
difficult.Intheplenarysession,theresultsoftheworkinggroupsarecomparedandaconsensuson
the Quick Wins is build up. The Quick Wins will not be taken further in the prioritisation
methodology, they do not need to beweighed on their strategic importance or feasibility as it is
decided to execute them in a short delay. It is very important that this selectionofQuickWins is
done in a serious way as management and staff engage themselves to implement them. It is
absolutelytobeavoidthatproposals forcomplexand indepthactionswithgreat impactcomeon
theQuickWinlist.
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3.DefinetheStrategicWeightoftheactions(SW)
OnceallQuickWinsaretakenoutoftheactionlist,theremainingactionswillbefirstevaluatedontheir strategic importance. As mentioned before, during the self-assessment, a first selection ofactions per sub-criterion has already been done as only actions in relation to themost important
areasofimprovementaremaintainedforfurtherdiscussions.
Intheactualphase,managersandmembersorrepresentativesoftheSAG,deepenoutthestrategicimportanceoftheprosedactionsbasedon4criteriatheyhavetoscore:theimpactoftheactiononthe citizen/customer, on the staff, on the internal results and on the social responsibility. By
preference,theyevaluatetheimpactinmixedworkinggroupsandfindconsensusontheresultsoftheworkinggroupsintheplenarysession.Theimpactoncitizen/customer,staffandinternalresultshavethesameimportance,theyhavethesameweight.Theimpactonthesocialresponsibilityhasa
lowerweight.
The impact on citizen/customers (IMCC) has to be scored from 1 (=minor impact) to 4 (=majorpact).Toscore,differentaspectscanbetakenintoconsiderationsuchustheimpactonthequalityofoutput and outcome, on the satisfaction of the citizen/customer, on the visibility of the
organisations'performanceetc.OrganisationsarefreetoinvolvetheaspectstheyconsidertobeofthehighestimportanceregardingtheIMCC.
Theimpactonthestaff(IMST)followsthesamescoringlogic:from1(=minorimpact)to4(=majorpact).Aspectstobetakenintoconsiderationcanbe:theimpactoftheactionontheperformanceof
staff, their motivation and satisfaction etc. Organisations are free to involve the aspects theyconsidertobeofthehighestimportanceregardingtheIMST.
The impact on the internal results (IMIR) also follows the same scoring logic: from 1 (= minorimpact)to4(=majorpact).Whataretheconsequencesofthisactionregardingthemanagementof
theresources,thepartnershipsandtheprocessesetc.OrganisationsarefreetoinvolvetheaspectstheyconsidertobeofthehighestimportanceregardingtheIMST.
Regarding the impact on the social responsibility of the organisation (IMSR). Here it is onlyimportant toknowwhetever there is a (positive) impactornot: score0no, score1 yes.Does the
actionhasapositiveimpactonsustainabledevelopment,onsocio-economicissuesbeyonditscorebusiness,onethicalbehavioretc.
The StrategicWeight of the action is defined by adding the 4 scores: from 3, very little strategicimportanceto13,hugestrategicimportance.
ThescoringoftheImpactofanimprovementactiononthecitizen/customer(IMCC),thestaff(IMST)
andtheinternalresults(IMIR)hastobedonefromabroadholisticperspectiveandnotbasedonasimple one to one cause/effect relation.Actions directly linked to citizens/customers can e.g. also
haveagreatimpactonstaffandviceversaorevenontheinternalresults.
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Table1:AnexampleofevaluatingtheStrategicWeightoftheproposedactions
N° Sub-crit.
Proposedimprovementactions CAFScore
StrategicweightSW
IMCC IMST IMIR IMSR SW
1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin6months
30 2 3 3 0 8
2 3.1 Developacompetenceidentificationand
measurementsystem
30 1 4 2 0 7
3 3.3 Dobenchlearningoninternal
communicationanddialoguesanddecidewhatactiontoundertake
35 1 4 4 0 9
4 3.3 Implementthe360°evaluationsystemon
thetopandmiddlemanagement
35 1 2 3 0 6
5 9.1 Developasystemtobettermonitoroutputandoutcomeindicators
31 4 2 3 1 10
6 9.1 Createacoordinationcouncilwithpartnersonstrengtheningcooperation
31 2 2 3 1 8
7 9.2 Analyseandimprovethefinancialplanning
system,includingriskmanagement
20 1 1 4 0 6
8 9.2 Developprojectmanagementinthe
differentactivitiesoftheorganisation
20 3 4 4 0 11
4.DefinetheEaseofImplementationofthemostimportantactions(EIM)
In the next step, we continue examining the proposed improvement actions with the higheststrategicweight.Everyorganisationcandefineforitsowntheminimumscorethatisneededforan
actiontobefurthertakenintoconsiderationbutingeneralonlyactionswithastrategicweightof8andhighershouldbefurtherdiscussed.Beforeanydecisioncanbetakenonwhichactionoutofthemostimportantwillbechosentobeimplemented,itisimportanttohaveanideaofthefeasibilityof
theaction.
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As in the previous phase,managers and staff will discuss in working groups the feasibility of theactionsbasedon3criteria:thelevelofdifficultyoftheaction,theresourcesneededandthespeed
ofrealisation.Theywillfindconsensusontheresultsoftheworkinggroupsintheplenarysession.
The Level of Difficulty (LD) has to be scored from 1 (= very difficult) to 4 (= very easy). Differentaspectscanbetakenintoconsiderationsuchasthelevelofcomplexity,thelevelofinterdisciplinary,thescopeoftheimplementationoftheaction(itconcernstheentireorganisationorjustapartofit)
or theprocessof implementation (firstviaapilotprojector immediatelydeployedthroughout thewholeorganisation).
The Resources Needed (RN) have to be scored from 1 (= many) to 4 (= very few). This can beresources of a different nature e.g. internal resources of the organisation, with or without extra
training, support fromhorizontal or logistics services from the public sector, support fromprivateconsultants,financialortechnicalresourcesetc.
TheSpeedofRealisation (SR)has tobe seen in addition to the level of difficulty and theneededresourcesbutat thesametimeasakindofan integratorofbothaspects.This criterionhas tobe
scored from1 (very slow) to 4 (= very fast). A guiding example could be: score 1 Long term (= 2years),score2Mediumterm(=1year),score3shortterm(=6months)andscore4veryshortterm(=3months).
TheEaseofImplementationoftheactionisdefinedbyaddingthe3scores:from3,verydifficultto
realiseto12:veryeasytorealise.
Table2:AnexampleofevaluatingtheEaseofimplementation
N° Sub-Crit.
Proposedimprovementaction CAFScore
Easeofimplementation
LD RN SR EIM
1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin6months
30 3 2 3 8
2 3.3 Dobenchlearningoninternalcommunicationanddialoguesanddecidewhatactiontoundertake
measurementsystem
35 4 3 4 11
3 9.1 Developasystemtobettermonitoroutputandoutcomeindicators
31 2 2 1 2
4 9.2 Developprojectmanagementinthedifferentactivitiesof
theorganisation
20 2 2 2 6
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5.Definethepriorityofimplementation(PIM)
Now that the strategic weight and the feasibility of the most important actions are known, thepriority of implementation has to be defined. It gives an indication of the extent to which the
proposedactionhastobetakenintoconsiderationforthefinalchoice.Ascorefrom1(lowpriorityforimplementation)to4(highpriorityforimplementation).HowtodefinethePIM?
Step1:MakethetotaloftheStrategicWeightandtheEaseof implementationoftheactionswiththehighestSWasdefinedbefore.Themaximumscoreis25(13+12).
Step2:Alltheactionswithatotalscorehigherthe20,areveryimportantactionsthatcaneasilybe
implemented.Theyarecalledstarters.TheyautomaticallyreceivethehighestPIMscore4andwillbeseriouslytakenintoconsiderationforthefinalchoice.
Step 3: It is obvious that most of the actions will not score higher than 20, meaning being veryimportantandatthesametimeeasytobeimplemented.Thatwouldbeveryunrealistic.Somecan
beveryeasytobeimplementedbutnotofthehighestimportance.Othercanbeveryimportantbutdemandalotofeffortstoberealised.
Howtoselecttheotheractionsthatshouldthatshouldbeseriouslytakenintoconsiderationforthefinal choice and give thema high PIM score of 3 and 4? First identify amongst the actionswith a
scorelowerthen20,theactionswiththehighestStrategicWeight.Someofthemmighthavealowscore on the Ease of Implementation, which means that they might be difficult to be realised.Nevertheless, this should not be an argument not to give them a high PIM score. An important
indicatorforthePIMscoreistheCAFscorefortherelatedsub-criterion.AlowCAFscoremightbeanargument for a highPIM score, despite thehighdifficulty rate as it indicates that there is a greatneedforimprovement.ButalsootheraspectsmayhaveanimpactonthedefinitionofthePIMe.g.
theprioritiesofthegovernmentalprogrammeonPublicAdministrationReform,thelinkwithrollingimprovementprograms in theministry etc.Defining thePIM is not just a calculation.Mangementandstaffareinvitedtoreflect,discussandmakestrategicchoices.Withtheavailableinformationon
the Strategic Weight of the action, the Ease of Implementation, the CAF score and otherstakeholder’sneeds,theyarewellarmedtodosoinarationalway.
Asinthepreviousphase,managersandstaffwilldiscussinworkinggroupsthePIMoftheactionandfind consensus on the results of theworking groups in the plenary session, creating a list of PIM
scoresforalltheproposalsforimprovementactions.
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Table3:AnexampleofdefiningthePIM
N° Sub-
Crit.
Proposedimprovementaction CAF
Score
SW EIM TOT PIM
1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin6months
30 8 8 16 3
2 3.3 Dobenchlearningoninternalcommunicationanddialoguesanddecidewhatactiontoundertake
measurementsystem
35 9 11 20
starter
4
3 9.1 Developasystemtobettermonitoroutputandoutcomeindicators
31 10 5 15 4
4 9.2 Developprojectmanagementinthedifferentactivitiesoftheorganisation
20 11 6 16 3
6.Makethefinalchoiceoftheimprovementactionsthatwillbeimplemented
ThefinalchoiceofthekeyimprovementactionswillbedoneamongsttheimprovementactionswithaPIMscoreof3and4.Itisstronglyrecommendednottogoformorethe10improvementactionsto
beimplementedinthecoming2yearsbutitisuptoeveryorganisationtoestimateitsowncapacityforchange.
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Table4:Anexampleofthefinaltable
N° Sub-
Crit.
Proposedimprovementaction CAF
Score
SW EIM TOT PIM Chosenaction
1 3.1 Builduparecruitmentsystemforinternalandexternalexpertswithin
6months
30 8 8 16 3
2 3.3 Dobenchlearningoninternal
communicationanddialoguesanddecidewhatactiontoundertake
measurementsystem
35 9 11 20
starter
4 x
3 9.1 Developasystemtobettermonitoroutputandoutcomeindicators
31 10 5 15 4 x
4 9.2 Developprojectmanagementinthedifferentactivitiesofthe
organisation
20 11 6 16 3
Inannex1,anintegratedprioritisationtableispresented.
2. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Theconcentratedapproach
The standard approach presented under chapter 1 is themore rich and deepened approach and
forcesmanagementandmembersor representativesof theSAGtoreflectonthedifferentcriteriaforthestrategicweightandtheeaseofimplementationandtoscorethem.Incasetherearemany
proposalsforimprovementactionstobediscussed,thismightdemandaconsiderableinvestmentintimeandanalysis.
The concentrated approach presented in this chapter allows to go faster without neglecting thedifferentaspectsof thedecisionmakingbutnotanalysingandscoring themonebyone.After theselection of the QuickWins,only one scorewill be given for the StrategicWeight from 1 (= an
action with low strategic importance) to 10 (= an action with very high strategic importance),globally reflecting on the impact on citizens/customers, staff, internal results and socialresponsibility. Inthisapproach,onlyactionswithaweightof7andhigherwillbetakenfurtherfor
theanalysisof theirEaseof Implementation.AlsofortheEaseof Implementation,onlyonescore
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willbegivenfrom1(=anactionthatisverydifficulttobeimplemented)to10(=anactionthatisveryeasytobeimplemented)globallyreflectingonthelevelofdifficulty,theresourcesneededand
thespeedofrealisation.AddingSWandEIMgivesamaximumof20.Actionswithmorethan14areconsideredtobestarters
andreceiveautomaticallythePIM4.DefiningthePIMfortheotheractionsisdoneinthesamewayasinthestandardapproach,aswellasthefinaldecisionmakingonthechosenimprovementactions.
Table5:Theprioritisationtableisofcoursemuchsimplifiedthisapproach
N° Sub-
Crit.
Proposedimprovementaction CAF
Score
SW
1-10
EIM
1-10
TOT
20
PIM
1-4
Chosenaction
1 3.3 Dobenchlearningoninternal
communicationanddialoguesanddecidewhatactiontoundertake
measurementsystem
35 7 9 16 4 x
2 9.1 Developasystemtobettermonitor
outputandoutcomeindicators
31 9 4 13 4 x
3. The prioritisation fase: a selection of the QuickWins and Key improvementActionsbythemanagementandthemembersorrepresentativesoftheSAG.Theconcentrated approach including policy decisions by the political decisionmakers.
Inthestandardapproach,thepolicydecisionsonpublicmanagementoradministrativereformsaretakenintoconsiderationwhenrelevantatthemomentthePIMhastobedefined(seepoint5step3). Some organisations want to include the evaluation of the link between the proposed
improvementactionandthepolicydecisionsmoreexplicitlyinthestrategicweighingoftheaction.Tosatisfy theirneed,anextracolumncanbeenaddedto theconcentratedapproach, splitting thestrategicweighinginto2parts:50%ofthescorewillbegiventothelevelofconnectionoftheaction
with the policy decisions (to what extend joins the proposed actions the policy of the politicaldecision makers) and 50% for the impact on citizen/customer, staff, internal results and socialresponsibility.
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Table6:Inthisapproach,thetablewilllookasfollows
N° Sub-
Crit.
Proposed improvementaction
CAF
Score
Linkpolicy
decisions
1-10x50%
SW
1-10 x50%
EIM
1-10
TOT
20
PIM
1-4
Chosenaction
1 3.3 Dobenchlearningon
internalcommuni-cationanddialogues
anddecidewhatactiontoundertake
measurementsystem
35 4x50%=2 7x50%=
3.5
9 14,
5
3
2 9.1 Developasystemtobettermonitoroutput
andoutcomeindicators
31 9x50%=4,5
9x50%=4,5
4 13 4 x
Theprioritisationseminar
The prioritisation of the proposed improvement actions are first of all the responsibility of the
managementoftheorganisation.Theyreceivetheself-assessmentreportfromtheSelf-AssessmentGroupthatexplains themajor findingsonstrengthsandareasof improvementof theorganisationandwhattheSAGconsiderstobevaluablesuggestionsforimprovementactions.
Sometimes part of the management is involved in the self-assessment process and shares the
outcome with the other managers. But often the discussion on the self-assessment report is themomentwhenmanagementjoinstheCAFprocessagainafterthelaunchingoftheprocessmonthsago.Astheyhavenotalwaysgainedthesameinsight inthedifferentaspectsofthefunctioningof
their organisation as the members of the Self-Assessment Group who really analysed theorganisation into depth, itmight be difficult for them to understand the underlying reasons for anumberofproposedimprovementactions.
This is way the EIPA methodology is very much in favour of bringing together top- and middle
managers in a one- or two-day seminar to discuss the outcome of the self-assessment in mixedgroupsandplenarysessions.Experiencelearnedthatthismeetingishighlyappreciatedbythestaffas it is often the first opportunity they have to discuss with their management openly on
organisationalissuesandstrategicoptionstobetakenforthefuture.Butalsoforthemanagers,thiskindof a seminar is often anmomentof corporatediscussions on the improvementof thewholeorganisation and not only the part of the organisation they are responsible for. This silo breaking
exerciseopensnewperspectivesforstaffaswellasfortheleadershipoftheorganisation.Bothwillberesponsibleanywayforthesuccessfulimplementationoftheimprovementplantheydecidedon.
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Discussions between staff and management are very enriching but at the end, the managementcommitteeortheboardofdirectorswillhavetotakethefinaldecisions.Theseminarcanbeseenas
the lastpreparatorystage.Theactivesupportandengagementof the topmanager in theseminarandthefinaldecisionmakingcanthereforenotbeunderestimated.
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Annex1:PrioritisationTable
Application file: prioritise improvements actions
ORGANISATION XXXXXXXX
N° Sub-
Crit.
Proposed Action Score
CAF
Strategic weight (SW) Ease of implementation (EIM)
TOTAL SW+
EIM
PIM Chosen actions
IMCC IMST IMIR IMS SW LD RN SR EIM
1.1 Update the vision and mission with participation of all the employees
34-40
1.2 Introduction and application of the CAF model.
30-35
1.3 Motivate and reward employees for good individual or team work
25-30
1.4 Etc. 40-45
2.1 Etc. 31-35
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PrioritisationmethodologyTheItalianapproach1
Thefirststepintheprocessofdraftinganimprovementplanistorationalizetheresultsdescribedin
the Self-Assessment Report (SAR), in order to better understand how tomake use of them. As amatteroffact,agoodSARcanhighlightnumerousstrengthsandweaknesseswithrespecttothe28sub-criteria of the CAF model, from strategic issues to the operational ones. In most cases, the
available resources are not sufficient to implement all the improvement actions. Focusing theattentiononthecrucialimprovements(theso-calledvitalfew)allowtoadequatelytargetthefactorswiththegreatestimpactontheorganisation'sperformanceandonitsabilitytoachievethestrategic
objectives. By consequence, it is fundamental to define the importance of the potentialimprovementsidentifiedduringtheself-assessmentphase(definepriorities)andtouseastructuredmethodtoselecttheprioritiesforaction.
HowtoidentifyprioritiesbasedontheSelf-AssessmentReport(SAR)?
Thischapterillustratesthemethodofselectionofpriorityareasforimprovement.ThismethodnotonlymakesdirectreferencetothefundamentalcomponentsoftheCAFmodel,butalsointroduces
severalinnovativeassessmenttools.IthasbeendisseminatedintheformofguidelinesandappliedinalargenumberofschoolsandinotherpublicadministrationsinItaly.
Themethodincludesfivephases:
• Phase1:Analysisandaggregationoftheresultsoftheself-assessmenttoselectstrengthsand
weaknessesoftheorganisation.
• Phase2:Useofthe‘Relevance-Value’matrixinordertographicallyshowtheresultsoftheself-
assessment,underliningthesignificanceofeachsinglesub-criterionanditsscore.
• Phase3:Identificationofpossibleimprovementinitiativesonpriorityareasdetectedthrough
phases1and2.
• Phase4:Identificationofahypothesisofprioritiesofinterventionbasedontheconceptsof
relevanceandfeasibilityoftheactions.
• Phase5:Decisiononprioritiesofintervention.
1TheItalianNationalCorrespondent.
186
Activities identified in the first twophases are completely in chargeof the Self-AssessmentGroup
(SAG)which, in phases 3 and 4, can be integratedwith representatives of the sectors potentiallyinvolvedinimprovementactivities,ifthemanagerconsidersitappropriate.ThemanagercancloselymonitorallthedifferentphasesoftheprocessordelegatetheirimplementationtotheSAG,ensuring
his support and availability to meet the group. He must participate to the definition of CriticalSuccessFactors(CSF),totheassessmentcarriedoutwiththe‘Relevance-Value’Matrix(Phase2),andapprove the resultsofall theseactivities.Thedecisiononprioritiesof intervention (Phase5) is an
exclusive competence of the manager because of its overall knowledge of the organisation, itsresponsibilitiesinmanagingtheorganisationanddefiningstrategicplansandobjectives.
Phase1
What:Analysisandaggregationoftheself-evaluationresults
Who:SAG
ThestartingpointistheSAR,articulatedaccordingtotheCAFmodelcriteria,andcontainingforeach
sub-criteria:
• Strengths
• Weaknesses
• Areasforimprovement
• Ideasforimprovement
• Scoreandevaluation
TheSAGreviewsstrengthsandweaknessesforeachsub-criterionandimplementsacross-sectional
analysisof thedifferentcriteriaof themodel,searching forconnections (forexamplebetweentheenabler3relatedtohumanresourcesandtheresult7)andcausesoftheidentifiedweaknesses.Forinstance, the analysis can classify weaknesses related to each sub-criterion according to three
characteristics:
1. Recurrence:when aweakness appears in several sub-criteria. It is appropriate to indicate thesub-criteriainwhichtherecurrenceappears.
2. Strategic importance: when a weakness is important because it has a potential impact onpoliciesandstrategiesoftheorganisation
3. Operational importance: when a weakness is connected to a particular process of the
organisationand/orhaslimitedimpacttothatprocess.
Theoutputofthisphaseisafirstsynthesisoftheweakpoints.Itisnotascoredlistbutjustalistof
theweakpointsclassifiedaccording to their recurrence,strategicandoperational importance.Themostrelevantweakpointsinthiscasearetherecurrentandstrategicones.Thiswillbeusefullaterwhentherewillbetheclassificationofcriteriaaccordingtotherelevancevaluematrix.
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Table1:Anexampleofthelistofweakpoints
Sub-criterion1
WeakPoints2 Score3 Recurrent4 Strategic5 Operational6
1.1 Lackofcommunication 38,75 x x
1.2 68,50 x
1.3 56,25 x
1.4 60 x
2.1 66,25 x
2.2 67,5 x
2.3 67,5 x
2.4 70
3.1 Lackofcommunication 42,5 x x
3.2 65
3.3 62,5
4.1 70
4.2 57,50
4.3
4.4 65
4.5 60
4.6 65
5.1 70
5.2 70
5.3 63,75
1Inthiscolumnthereisthelistofallthecriteria2Inthiscolumnthereisthelistoftheweakpointsrelatedtoeachcriterion3Inthiscolumntherearethescoresgivenduringtheconsensusmeetingtoeachcriterion4Theweakpointisclassifiedaccordingitsrecurrence:whenaweaknessappearsinseveralsub-criteria5 Theweakpoint is classified according its strategicweight:whenaweakness is importantbecause it has apotentialimpactonpoliciesandstrategiesoftheorganisation
6Theweakpointisclassifiedaccordingtooperationality:whenaweaknessisconnectedtoaparticularprocessoftheorganisationand/orhaslimitedimpacttothatprocess.
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6.1 55
6.2 60
7.1 Lackofcommunication 10 x x
7.2 35
8.1 35
8.2 35
9.1 75
9.2 65
Phase2
What:Useofthe‘Relevance-Value’matrix
Who:SAGandManager
Through this phase it is possible to link the score attributed to each sub-criterion (Value) to theimportance that it has for the organisation (Relevance). In order to define the relevance, the first
step is to identify the Critical Success Factors (CSFs), namely the essential conditions which, ifimplemented,wouldallowthesuccessofthestrategiesoftheorganisationandtheachievementofthemostrelevantresults.TheManagermustcollaboratetotheidentificationoftheCSFs.
The inspiration for defining the CSF are the mission, vision and strategic objectives of theorganisation.
Here are some examples of CSFs (indicatively they have to be between 4 and 6). Others can beidentified,buttheyhavealwaystobeconnectedtothemission,visionandstrategicobjectivesthekeyfactorsoftheorganisation:
a.Customer/citizensatisfactionb.Efficiencyofthestructure(orcostreductionorproductivitygrowth)
c.Motivationandemployeesatisfaction(orcompetences)d.Diversificationoftheservices(orintroductionofnewservices)e.Addedvaluetothesocialenvironment
g....AsasupporttoidentifytheCSF,theSAGandtheManagercanusethetablebelow:
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Table1
Strategicobjectivesoftheorganisation Enablersfortheachievementofeachobjective
Example:X%Increaseinstudents’scoresintheevaluationtest/intestsadministeredbytheschoolat
theendoftheschoolyear
a. Sharingoftheeducationalprogramme
b. Improvement/reformulationofthetrainingplanforteachers
c. Introductionofnewtechnologies
…
Subsequently,theSAGandtheManagerassesstheimportance(intermsofcontribution)thateachsub-criterionhasfortheachievementoftheCSFsidentified,consideringthescalebelow:
Table2
Criteriaforassessingthesignificance/contributionofthesub-criteriatoCSFs
Highrelevance Mediumrelevance Lowrelevance
3POINTS 2POINTS 1POINTS
Thesub-criterionprovidesan
importantcontributiontotheCriticalSuccessFactor
Thesub-criterionprovidessome
contribution,however,clearlyperceptibletotheCriticalSuccess
Factor
Thesub-criterionprovideslittle
ornocontributiontotheCriticalSuccessFactor
Thisassessmentoftheimportanceofeachsub-criterionfortheachievementoftheCSFisdoneafterthe self-assessment. In our experience the results of the SA have never had an impact on theassessmentoftheirimportancefortheCSF.Improvementisthemainaimofself-assessmentandif
theorganisationpursuesthisaimduringtheassessment,theriskthattheresultsoftheSAmayhaveanimpactontheassessmentoftheimportanceoftheCSFwillnotoccur.
Thegivenvalueisnotedinthetableattheintersectionoffactor(1,2,...,n)andsub-criterion.
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Table3
Definitionofthedegreeofrelevanceofeachsub-criterion
Relevance
(1:low;2:medium;3:high)
Sub-criterion Total
CriticalSuccessFactors S1.1 S1.2 S1.3 S1.4 S2.1 S2.2 …… ……
Factor1
Factor2
Factor3
…………
Totalscores(addition)
Normalisedscores
(transformingintobase10thehighestvalueofthesub-
criteria)
Therow ‘Totalscore’ indicatestheoverall impactofthesub-criteriononalltheCFS,andtherefore
the impact on the elements that determine the success of the strategies and the achievement ofresults.
Therow‘NormalisedScores’indicatesTotalScoresbase10inordertomakethemcomparablewiththescoreof thesub-criteria in theRelevance -ValueMatrix. It isasimplemathematicaloperationthatisobtainedbyplacingthehighestvalueoftheTotalscorerowequalto10,andchangingallthe
otherscoresaccordingly.
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Figure1
Example:intherowTotalScoresofthetable,12forsub-criterion1.1,25forsub-criterion1.2,18for
sub-criterion1.3,16forsub-criterion1.4,15forsub-criterion2.1,11forsub-criterion2.2,17forsub-criterion2.3,etc.Thehighestvalue(25)hastobe10(bymultiplyingitby10/25);alltheothervaluesmust bemultiplied by 10/25 to obtain the normalised value to 10. The normalised valueswill be
respectively:4.8(12*10/25),10(25*10/25),7.2(18*10/25),6.4(16*10/25),6(15*10/25),4.4(11*10/25),6.8(17*10/25)etc.
Alongwith scores assigned to different sub-criteria of the SAR, total scores for each sub-criterionallowtovisualisetheprioritiesasintheexample.Inthegraph,thehorizontalaxisshowsthescores
attributedtothesub-criteriaoftheSAR,theverticalaxisthescores(intermsofrelevance)assignedtothesub-criteriainachievingCFSsandinthequarterseachsub-criterion.
Forthesakeofclarity,itisbesttoreporttheNormalisedScoresontheverticalaxis.
Thematrixallowsfortheanalysisofsub-criteriaaccordingtofourpriorityclasses:
Quarter1(topleft):Sub-criteriawithlowValue(score)andhighRelevance(priority1).Thethemesaddressedby the sub-criteria thatappear in thisquarterare thosewith thehighestprioritygiven
that theyarestrategically important issueswithhighpotentialandwhichhad lowscores fromtheself-assessment.
Quarter2(bottomleft):Sub-criteriawithlowValueandlowRelevance(priority2):sub-criteriathatmaybesubjectedtoalaterimprovement.
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Quarter3(topright):Sub-criteriawithhighValueandhighRelevance(priority3):sub-criteriawithhigh scores that have to be maintained at this level or that have to be the subject of further
improvementfortheircrucialcontributiontotheachievementofstrategicobjectives.
Quarter4(lowerright):Sub-criteriawithhighValueandlowRelevance(priority4):sub-criteriawithhighscoresbutlittlestrategicimportanceandmustthereforebemonitoredandmaintainedatthislevel of efficiency, or possibly even reduced if the use of resources for this maintenance is high.
Conclusion:Firstly,theanalysismustfocusonthesub-criteriaofthequarter1andthenonthoseonesofthequarter2.
Despite being a very effective tool to identify themain areas (sub-criteria) onwhich to focus, thematrix is not sufficient for the selectionofpriority areas for action, and thus, it is fundamental to
focustheanalysisonthesegmenteddataofthesub-criterialocatedinquarters1and2.
ThemanageralongwiththeSAG,afterhavingselectedthesub-criteriatobeexamined,analysestheweaknesses,withparticularattentiontothoseoneswhicharerecurringandstrategicallyimportant:theresultofthisanalysisisapreliminarylistofweaknesses(generallybetween8and15).
Note:intheexample,thefourquartersaredeterminedbytheverticallineonthe50%ofthescores
andbythehorizontal lineonthe levelof importance5. Intherealcase, itwillbeappropriatethatthese linesaredrawnsoasto leavethehalfofsub-criteriatothe left,halftotheright,halfbelowandhalfabove.Thesub-criteriaaredistributedlikethattodetectthesub-criteriawithlowscoreand
highrelevancethatistosaythesub-criteriawhereitisnecessarytoimprove.Itisalwayspossibleifyouputtheverticalaxisandthehorizontalaxisatacertainstageaccordingtotheglobalvalueofthescores.
Phase3
What:Identificationoffeasibleimprovementinitiatives
Who:SAG
Foreachweaknessthathasbeenchosen,theSAGdefinesthepossibleimprovementinitiatives(i.e.:theweakness ‘Theadministrationdoesnothaveavailabledataon theclients/citizens’ satisfaction’
can be translated into the following initiative ‘Development and implementation of a customersatisfactionsurvey’;or,theweakness‘Thecompetenciesofemployeesdoesnotappearsuitabletothe use of ICT’ can be translated into the initiative ‘Creation of a classification of ICT skills of
employees’and‘Preparationofaspecificformationplantodecreasethegapbetweenavailableskillsandneededskills’).
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Asawhole, the improvement initiatives thatcanbeachievedvary from10to18,accordingtothedimensionandthecomplexityoftheadministration.Someof identified initiatives,whichdealwith
similarorcorrelatedsubjects,couldbeprobablygathered(inthesecondexampleabovementionedthetwoinitiative,relatedeachother,couldgetinvolvedinthesameimprovementproject),andsofrom10-18startinginitiativesyoucouldarriveto6-12initiatives.
Phase4
What: Identification of a priority intervention hypothesis based on Value andFeasibilityconcepts
Who:SAG
Foreachofimprovementinitiativeaformisfilledoutwiththefollowinginformation:
• Shortdescriptionoftheinitiative.• Potentialcontribution,stated inconcisequalitativeterms,thatthe initiativecouldoffertothe
administration’spoliciesandstrategies,throughcriticalsuccessfactors(i.e.specifyingonwhichofthesecriticalsuccessfactorsithasanimpactandthelevelofthatimpact).
• Estimate of resources needed to realise the initiative in terms of people commitment(months/man)andneededskills,bothintermsofcostsandinvestmentstoevaluatethetangiblerealisationpossibilityandthepotentialcriticaspects.
• Estimateoftimeneededintermsofmonthstocompletetheproject.
Onthebasisofthesedata,theSAGcompletesthefollowingtableabouttheprioritylevels:
Table4
A B C D
ImprovementinitiativesImpact
(1–5)
Feasibility
(1-5)
Prioritylevel
(B*C)
Realisationtiming
(months)
Initiative1-……………….
(Sub-criterion..)
Initiative2-……………….
(Sub-criterion..)
Initiative3-……………….
(Sub-criterion..)
…………………………………
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1. Listof all the improvement initiatives taken into consideration in the columnA) Indicating thedenominationandthesub-criterion(orsub-criteria)whichtheyarerelatedto.
2. With regards to the column B) Impact represents the assessment of the importance of theinitiativeonthecriticalsuccessfactorsoftheorganisationthathavebeenpreviously identifiedandbearing inmindthepreviouslyanalysisabout therelevanceof thesub-criterionwhich theinitiativeisreferredto.Onthisbasis,theSAGassignsascoreofrelevancefrom1to5basedonthefollowingtable.
Table5
3. ‘Feasibility’ is considered as the ability of the administration to implement the improvementinitiativethatcanhaveascorefrom1to5accordingthefollowingchart,andthedata is filledoutinthecolumnCofthecharttopriorityassignment.
Table6
Evaluationcriterionoftheparameter‘Feasibility’
Highfeasibility Mediumfeasibility Lowfeasibility
SCORE5 SCORE3 SCORE1
• implementationwithmoderateresources
• implementationonlywithadministration’sresources
• autonomousimplementationbytheadministration
• implementationwithreasonableresources
• implementationonlywithadministration’sresources
• implementationdependspartiallyonexternalconstraints
• implementationwithconsiderableresources
• implementationdependsonexternalfactorsthatarenotunderthecompletecontroloftheadministration
• implementationdependscompletelyonexternalconstraints
Evaluationcriterionoftheparameter‘Impact’
Highimpact Mediumimpact Lowimpact
SCORE5 SCORE3 SCORE1
Theinitiativecouldoffera
relevantcontributiontotheCriticalSuccessFactors
Theinitiativecouldoffersome
contribution,clearlyperceptibletotheCriticalSuccessFactors
Theinitiativecouldofferalow
contributiontotheCriticalSuccessFactors
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4. It is important to notice that the term ‘Feasibility’ refers to the autonomy degree of theadministration and to the availability of the entire amount of the resources that theadministrationhas touse to get theexamined initiativedone, amongwhichhuman resources(numberandskill)andmaterialresources(tools,ICT,processes,investmentbudgeting,..).
5. Thepriorityofevery improvement initiative isdeterminedbythemultiplicationof thevalue inthecolumnBandCandnotingdowntheresultingvalueinthecolumnD.
6. The improvement initiativesare listed inadecreasingorderofpriority. Foreach initiative, theestimatedtimefortherealisationisnoteddown.
Theresultsofthisevaluationprovideinformationabouttheprioritiesthathastobesubmittedtothe
management for the final decision and the choice of actions to implement, taking also intoconsiderationtheimplementationtiming.
Phase5
What:FinaldecisionoftheManageronthepriorityoftheintervention
Who:TheManager
Thefinaldecisiononthepriorities isuptotheDirectorwhocannotdelegateit,sincethechoiceoftheareaonwhichfocusingtheimprovementisakeydecisionforthesuccessoftheorganisation.
TheSAGpresents to the topmanagement the resultsof theassessmentof thepossible initiatives
andontheassessmentoftheconnectedpriorities.
TheinitiativesandtheprioritiesarediscussedandthefinalresultisascaleofprioritythatissharedwiththeDirectorwhodecideshowmany initiativeshavetobe launched,consideringtheir impact,thecapabilityoftheadministrationandthetimeneededtogetthemdone.
Indicatively thenumberof the initiatives chosenasprioritary couldvary from3 to5, according to
theircomplexity,theavailabilityofresourcesandotherprioritiesoftheorganisation.
Someactionscansupporttheinitiatives,becausetheydonotrequiretheelaborationofastructuredprojectplanandcanberealisedattheendoftheself-assessment.Theyaresimpleinitiatives,QuickWins, whose implementation allows to give an immediate visibility to the results of the self-
assessmentprocess, strengthening theperceptionof theirusefulnessamong the stakeholders. Forexample, thepresentationofa synthesisof theSAR in thehall, itspublicationon thewebsite, thearrangementofaformattoreportthemeetings,thedecisionofsendingthemeetingmemorandum
foremailarequickwinactions.
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PrioritisationmethodologyThePortugueseapproach1
Portugalpresents itsprioritisationmethodology inthecontextof its ‘ImprovementPlanTemplate’,availableontheirwebsite,whichisaguidetodevelopimprovementplansandcontainsinformationontheprioritisationmethodology.Thissupportmaterial isusedontrainingsessions.Organisations
arefreetoadaptthecontentoftheseguidelinestotheirownneeds.
IMPROVEMENTPLAN
[Identifytheorganisation’sname]
[Insertdate]
Model–adaptandaddwhatevermaybenecessary]
ExecutivesummaryThe executive summary includes the objective and structure of the Improvement Plan and a
summaryofImprovementActions(IA)tobeimplemented.
FrameworkExplains themethodology fordraftingan improvementplan,without forgettingtorefer that these
actionshaveresultedfromaself-assessmentprocedurebasedontheCAFmodel.
1ThePortugueseNationalCorrespondent.
197
Self-assessmentresultsIn thispointa listof improvement suggestions identifiedduring thediagnosis is shown,and theseonesmustbeaggregatedbytopics.
Table1:Listofimprovementsuggestionsaggregatedbytopics
Topics/Self-assessmentteam’simprovementsuggestions
TopicsStakeholders’suggestions
(source:satisfactionsurveys)
Leadership
Planningand
strategy
People
Partnerships
Resources
Processes
Clients
Communication
Improvementactionswide-rangingscopeandrelevanceTable1hascontributedtocreatingwide-rangingactionsandTable2shallservetoknowwhethertheIAsarerelevanttakingintoaccounttheorganisationalobjectives.
Table2:Relevanceofactionsfortheobjectives
Organisationalobjectives Improvementactions
(Addthenecessaryrows)
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Wide-rangingpriorityimprovementactions
PrioritisationcriteriaOrganisations have to describe their prioritisation criteria for improvement actions. The following
criteria can be used to enable the ordering of the improvement actions, according to a priorityrankingbuttheyarenotcompulsorytoallorganisations.
C1:Impactonorganisationalperformance
C2:Capacityofimplementationintermsoftime,resourcesandautonomy
C3:(Impacton)clients’satisfaction
Prioritisationcriteria
Prioritisationcriteria
Points Description
C1
Impact
5TheIAshallhaveasignificantimpactontwoormoreorganisationalobjectivesorperformanceindicators
3TheIAshallhavesomeimpacton,atleast,oneorganisationalobjectiveorperformanceindicator
1Itisunlikelythathasimpactonanyorganisationalobjectiveorperformanceindicator.
C2
Capacity
5
Itmaybeimplementedintheshortterm.
Itrequiresfewmaterialorhumanresourcestobeattained
Itmaybecontrolledbytheorganisation
3
Itispossibletoimplementinthemediumterm
Itrequiresareasonablenumberofresourcestobeattained
Itmaybecontrolledbytheorganisation.
1
Unlikelytobeimplementedintheshortterm
Itrequestsasignificantnumberofresourcestobeattained
Itdependsonthedecisionorexternalfactorstotheorganisation
C3
Clients
5TheIAhasdirectimpactontheimprovementofthecitizen/clientsatisfactionorservice/client.
3TheIAhasindirectimpactontheimprovementofthecitizen/clientsatisfactionorservice/client
1 Unlikelyimpactonthecitizen/clientsatisfactionorservice/client
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Tablewithimprovementactionsranking
Presentationofimprovementactionsbypriorityorder,accordingtothescoringobtained.
ImprovementactionsImpact
(a)
Capacity
(b)
Clients
(c)
Scoring
(axbxc)Ranking
(Addthenecessaryrows)
Justificationofimprovementactions
Justification-improvementaction___________________________
Criterion Scoring Justificationofthescoring
Impact
Capacity
Clients
[Fillinatableforeachpriorityimprovementaction]
Improvementstobequicklyimplemented(QuickWins)
Identify theaction list forquick implementation, referred toasQuickwin. This typeofactionsareextracted directly from the Table 1 and are not subject to the subsequent prioritisation process,giventhat:maybeimplementedwithinthedeadlineofonemonth;needforaminimuminvestment
on human and financial resources; have effectiveness and quick visibility at collaborators andmanagers.
PlanningofimprovementactionsDraftasummary-frameworkofimprovementactionstobeimplemented(Table4)enablingtoobtain
a general and synchronised vision of improvements underway and shall serve to monitor theirimplementation.
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Table4:Improvementplanexecutionschedule
Improvementactions
ResponsibleforIA
Completiondate Key-activities Executionschedule State*
M1
M2
M3
M4
M5
M6
M7
1
2
3
Quickwin
Quickwin
Quickwin
*•red•yellow•green
(Addthelinesandcolumnsthatarenecessary)
DetailedplanningofIAFor each priority improvement plan a planning form must be created where the responsibilities,
schedule,resourcesneeded,interaliaaredefined.
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ImprovementActionform1
DesignationoftheImprovementAction
(NameoftheIA)
Managerincharge Coordinatoroftheaction Operationalteam
DominancecriterionofCAF Stakeholders
(Whoisinvolvedintheimplementationoftheactionandwhomayhaveinterestintheactionresults)
Descriptionoftheimprovementplan
(Whatdoestheactionconsistof?Briefpresentationoftheaction)
Objective(s)oftheimprovementaction
(Whatisthepurposeoftheaction?)
Activitiestobecarriedout
(Whattheorganisationhastodo–stepbystep–inorderthattheactionmaybeimplemented;wherethe
action shall be implemented –what are the organic units covered;who contributes to implementing theaction)
Resultstobeachieved
(What isexpected toattainwith theaction?Whatare thequick results?Measurablegoalsmustbeset toassesstheresultsachieved)
Criticalsuccessfactors Dateofstart
(Whatisessentialtoguaranteethesuccessoftheaction,
thematerialization of results expected (e.g. partnershipwithotherservices;collaboratorsinvolvement)
(Start-up of the implementation phase thatcoincidewiththefirstactivitytobecarriedout)
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Constraints Dateofcompletion
(Thecircumstancesthatexistor thatmayariseandthat
canhinder theaction, suchas, the resistance to changebycollaborators)
(Date in which the action implementation is
completed, that coincides with the last activitytobecarriedoutprogrammed)
Humanresourcesinvolved(numberofpersons/day) Cost
(This information serves to assess the cost with humanresourcesneededtoimplementtheaction)
(Costwithgoodsandservices)
Reviewmechanisms/actionanddatesassessment
(The review serves to monitor the action implementation; the assessment serves to check whether the
results achieved correspond to those expected. In any case, a number of corrections may arise to beintroducedinrelationtowhatisplanned)
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PrioritisationmethodologyThePolishapproaches1
WhenconsideringPolishcases,therearethreemethodsofimprovements’selection.
1.PrioritisationbasedonconcretecriteriaagreedinadvancebytheSelf-AssessmentGroup.Thosecriteriaallowtoidentifypossibleimprovementsthatweresuggestedtobeimplemented.Thefinaldecision to implement the given improvement actionswasmadeafter taking into consideration
the results of areas’ assessment. Actions in areas assessed as themost requiring improvementwerefirstimplemented.Belowthedescriptionfrom2introducedcases:
Theprojectwaschosenaccordingtotheadoptedapproachthattheproposalsoftheimprovementswereassessedagainst12criteriaagreedbytheSAG.Thesecriteriawere:
1. Betransparentandunderstandable
2. Encompassthehighestpossiblenumberofclients3. Beuniversal,multi-area4. Becost-free
5. Beeasytoimplementandexecute6. Givesatisfactiontolargenumberofemployees7. Improvetheimageoftheorganisation
8. Befitforpurpose9. Bringtangiblebenefits10. Bemonitorable
11. Bringnewquality12. Beusefulforreachinggoalsoftheorganisation
Additionally thegeneralprinciplewasadoptedthat the first improvementsaredeveloped in thoseareasthatscoredtheleastduringtheself-assessment.Inotherwordsthedeficiencyareasarefirstto
beimproved.
2.Prioritisationbasedonconcretecriteriadeterminedbythetopmanagement,after taking intoconsiderationtothemajorgoalsoftheorganisation.Belowthedescriptionfrom2othercases:
Based on self-assessment worksheet listing improvement actions. Prioritisation criteria aredeterminedbythetopmanagement,withregardtotheprimarygoalsoftheorganisation:providing
1ThePolishNationalCorrespondent.
204
revenue for the statebudget from taxes, to facilitating legitimatebusiness, removingbureaucraticbarriersandimprovingcooperation.
3.Prioritisationbasedonthedecisionofthetop-managementaftertakingintoconsiderationthe
result of the CAF self-assessment and familiarisation with the suggestions/opinions of theemployees.BelowthedescriptionfromtheTaxChamberinWroclaw.
The approach that led to the chosen project is based on general rules related to the CAF self-assessment and implementation of the improving action plan binding in the Tax Chamber in
Wroclaw.Accordingtotheseprinciples:
1. After the self-assessment, the CAF coordinator prepares the meeting aiming to select theimprovingactions,byfillingintheform‘Planningtheimprovingactionsonthebasisoftheself-assessmentoftheofficefunctioning’–partI,column:‘theareasforimprovement’–andonthe
basisofthemanagementstrategicchoices,partII.2. The CAF coordinator, in consultation with the head of office, calls the meeting in order to
developthedraftimprovementactionplan.Inthemeeting,allmembersoftheCAFteamand,if
necessary,theothermanagersorofficeemployeesaretoparticipate.3. Participants of the meeting reformulate all areas to be improved into the improving actions
proposal inaccordancewiththeform: ‘Planningthe improvingactionsonthebasisof theself-
assessmentoftheofficeoperationfunctioning’.4. Next,theparticipantsofthemeetingattributetoeachimprovingactiontwoscoresinthescale
from 1 up to 10, i.e. they assess the possible effect of the action on the execution of the
priorities, established by the management and the office capacity to implement the action.Prioritisationcriteriaaredeterminedbythetopmanagement,withregardtotheprimarygoalsoftheorganisation:providingrevenueforthestatebudgetfromtaxes,tofacilitatinglegitimate
business, removing bureaucratic barriers and improving cooperation. The product of the twoevaluationsgivesthetotalassessmentoftheaction.
5. Aftercompletionoftheassessmentofalltheimprovingactionsproposed,theyareorganisedin
decreasingorderaccordingtothenumberofpointsobtained.6. Thelistofatleast5proposalsofimprovingactions,thatgainedthehighestscore,ispresentedto
theofficemanagement.
7. The head of office approves at least 3 improving actions from the list for realisation in thecurrentyear.
8. The information about the improving actions assumed for realisation in the given year is
disseminatedamongtheemployees,inthemodeacceptedintheoffice.
Thekeyresults inrelationswithemployeesweredecisive intheselectionof improvementactions,proposed by the CAF team. The assessment of the evidence in this regards, with the use of theDemingcycle,indicatedthelowestvalues.Hencethechoiceofthisactionandthedesiretoimprove
relationshipsintheworkplace.
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PrioritisationmethodologyTheAustrianapproach1
The Austrian CAF Centre does not offer a common systematic and documented guideline for thepriorisationofimprovementactions.Neverthelessthefollowing‘milestones’canbeobservedinthemajorityoftheCAFimplementationsandarerecommendedbytheCAFCenter.
ConsensusWorkshop
1. TheSAGcollectsimprovementactionsduringtheconsensusworkshop(strengths,improvementareasandimprovementactions).
2. After the consensus workshop the facilitator/moderator compiles the list of improvementactions.Thislist(average80improvementactions)isthebasisforthe‘actionplanworkshop’.
ActionPlanWorkshop
Participants: in most cases half of the SAG, in some cases full SAG takes part in the Action PlanWorkshop.Theparticipationoftheleadershipisbasedonagreementduringprojectstart.WhenhighmanagementdoesnotparticipateintheSAGit isoftenagreedthattheyareinvolvedintheActionPlanWorkshop.
Moderation/Facilitation: The moderator of SAG is preparing and moderating the Action PlanWorkshopandcompilingtheresults.
1. QuickWins:ThelistofimprovementactionisscreenedforQuick Wins (easy to implement, no or very low costs,realised in onemonth). Themoderator suggests and thelistwhichwillbediscussed,changedandacceptedbytheworkshopteam.(1,5hours).
2. Therestof the improvement listwillbeprioritisedbasedon a points query selecting the most important actions.Further distinctions between effects, importance andurgency are not done. Each participant gets 5-8 points(1hour).
3. The 10-20 highest prioritised improvement actions areselectedforbeingfurtherspecified.Duringthepriorisationprocesssimilarimprovementactionsarecombinedorclustered.
1TheAustrianNationalCorrespondent.
206
GroupWork:Theparticipantswillbesplitin2-3groups(each2-5persons)withanotebooktodevelopdraftprojectdescriptionsfor10-20actionswhichshouldbeimplementedinthenext2years.Thetemplatecoversahalfpagewithtitle,milestones,responsibilitiesandtimeschedule.
1. Each group compiles 2-3 actions andpresents it totheplenum(duration2hours).
2. Asecondroundofgroupworkisforeseen(2hours).
3. Asresult10-20draftprojectplansarecompiled.4. The low prioritised actions are documented in a
topic-storageandwillbedealtwithaftertheimplementationoftheprojectplans.
AsresultalistofQuickWins,10-20draftprojectplansandatopicstorageisforeseen.
The 10-20 project plans are categorised to 3-6 actionswith 10-20 subactions. The 3-6 actions arebroadlycommunicatedasTHECAF-result.
Thomas Prorok, CAF Centre Austria
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PrioritisationmethodologyTheFinishapproach1
InStateTreasurywehavebeenusingaprioritisingmodelfocusingonbenefitandamountofworkinselectingdevelopmentplanmeasuresafter theCAFself-assessment.Thesametoolhasbeenused
also in prioritising other development challenges in public sector organisations. Themodel canbeused in differentways starting from a thorough analysis of proposed development directions andtheir impactandendinguptoaquicklookofimpactsdifferentproposalswouldmeanineveryday
work.Prioritisingofproposalsisdoneontwo-folddimensions:
1. Anticipatedusefulnessorbenefitofthedevelopmentaction.2. Theamountofworkneededtotakethatparticularaction.
All the development proposals are assessed according their nature and placed on the model inrelationtothesedimensions.Afterthattheproposalsformgroupsofdifferentkindofpotentiality.Forexample:
Highusefulness Smallamountofwork Mostpromising
Highusefulness Mediumamountofwork Verygoodpotential
Highusefulness Lotsofwork Futurepotential
Mediumusefulness Smallamountofwork Quickbenefit
Mediumusefulness Mediumamountofwork Potential
Mediumusefulness Lotsofwork Possiblypotential
Someusefulness Smallamountofwork Potential
Someusefulness Mediumamountofwork Possiblypotential
Someusefulness Lotsofwork Leastpromising
1TheFinishNationalCorrespondent.
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Themodelworksbestwhenusedinvisualform:
Aftergroupingtheproposalsonthetable it iseasytostart implementingthedevelopmentactionsfromtheupperleftcorner,wherethemostpromisingandquicklybeneficialactionsarefound.Withthese ‘Quick Wins’ the development actions can be started straight away and that sets the
developmentworkgoing.Theseareusuallymattersofwillandeffortoftheorganisationitself.
Furthermore it is important to examine the potential or future potential proposals and makedecisions how to proceed with them. These are typically actions that require more preparation,planning work and assigning human as well financial resources and building partnerships. At this
stage it isuseful toreflect theproposalsonthestrategicprioritiesandfinancialpossibilitiesof theorganisation. Some proposals might need remarkable financial and human input, inquiring newfinancesordevelopingnewpartnerships/networks.Theymightnotbeimplementedquicklyoreasily,
buttheycanstill(orjustbecauseofthat)bevitallyimportantforthefutureoftheorganisation.Itisimportanttopickadecentnumberofthiskindofmorechallengingandlonger termactionstothedevelopmentplanandstartwithfirstactionsleadingtofuturegoalsstraightaway.
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Incasethereareseveralproposalsrequiringremarkableeffortandresources,theremightbeaneedforadditionalcriteriainprioritisingthem.Oftenusefulcriteriaatthisstageare
• effectonproductivenessandsavings
• effectoncustomer/citizenbenefitandlongtermeffectiveness
• critical/beneficialtimeforaction
• importantenablingorriskminimisingaction
Thecriteriaabovecouldalsobegivenweightsaccordingtothestrategicprioritiesoftheorganisation
and the situationathand. Insteadof givingeach criteria theweightof 25%outof 100%, someofthem can bemore and some less important in the given situation and getting a prioritised orderaccordingtothat.
One advantage if this prioritisationmodel is that it is visual and therefore can be easily used for
participatory prioritisationwith a larger group. The picture below illustrates the use of themodelafterCAFself-evaluationofonedepartment.Aftertheself-evaluationgrouphadfinaliseditsworkbyformulatingthemainproposalsforadevelopmentplan,thewholedepartmentwasgatheredinone
roomtohearabouttheresultsandgothroughtheproposalsandprioritisethem.Eachproposalwaswrittenonapost-itpaperandaftercommondiscussionplacedontheboard,wherethedimensionsof usefulness and amount of work where drawn. After that the discussion continued to actions
needed for the implementation to start and the responsible persons/groups for each actionwerewritten down on the same post-it papers. After a two-hour meeting the whole department wasaware of the results of the CAF evaluation, had personally participated in prioritising and had a
sharedviewofthecontentsoftheimplementationplan.
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PrioritisationmethodologyTheSlovakapproach1andtheapproachoftheSlovakcase
1.Prioritisingforimprovementandbreakthrough
Self-assessmenttotheEuropeanCAFmodelquitereliablyidentifiesimprovementopportunities.Thiswillcreateaverylonglistofthingstodo.Sothenextstepistheprioritisation,firstofallthedivisionofprocessesintotwomaingroups.Thefirstgroupcompromisesthoseprocesses,thataremanaged
prettywell.Wecansubjectthemtoacontinuousimprovementregimeandsetpriorities.Thesecondgroup consists of those processes which we identify as being poorly carried out or even badlymanaged.Wemaysubjectthemtoacompletere-visioningandre-design.Ithinkthat'swhatfriends
arefor.InthiscaseourfriendisBPR(BusinessProcessRe-engineering).
Sowhatwearedoingatthisstageisprioritisingforimprovementorbreakthrough.Attheendofthiseffort,wecanhaveatoolkitforimprovementidentificationandprioritisation.Perhapsitcouldbeacompilationandmodificationofsometoolsthathavebeenaroundforalongtimethataremeantto
be used together in making better informed decisions about processes and their continuousimprovementorredesignandre-engineering.
Wearealsohavingaveryintensediscussiononthe3functionalanalysismethodologies,designedas
aself-assessmenttoolforuse incivilserviceandotherpublicsectororganisations.Thetoolcanbeusedinteraliaforprioritisationthatisgovernedbymerit-basedprinciplesofstabile,professionalandpolitically neutral civil service. By understanding the level of merit principles application, we can
begintodecidehowto improveanorganisationthroughredesign(byBPR).Thoseprinciplesareasfollows:
1. Recruit,selectandadvanceonmerit.2. Treatfairlyandequitably.
3. Provideequalpayforequalwork.Rewardexcellentperformance.4. Maintainintegrity,conductandconcernforpublicinterest.5. Manageefficientlyandeffectively.
6. Retainonthebasisofperformance.7. Educateandtrainforbetterperformance.8. Protectfrompoliticalinfluence.
9. Protectwhistlebloweragainstreprisal.
1TheSlovakNationalCorrespondent.
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2.PrioritisationintheSlovakcaseisdeterminedbyafewpremises:
1. People(exceptingCAFteammembersandsomerepresentativesoftopmanagement)don´treadthe complete self-assessment report even when we implement all activities from thecommunication plan for the self-assessment phase and we inform them all shortly about the
mainresults(strengthsandareasforimprovement)aftertheendoftheself-assessmentprocess.That´s whywe offer to all employees the opportunity to send any proposal for improvement(evenanonymously).Experiencehasshownus,thatinthiswaywewillgetmoreproposalsasin
theprocessofconsiderationoftheself-assessmentreport.2. Scoring in the self-assessment report basically shows the importance of the proposed
improvement actions regarding the 9 criteria of the CAF model, but not regarding the
fulfilmentofthe8principlesofexcellence.That´swhyaftercollectingofallthesuggestionsforimprovement, we usually arrange a meeting of the top management with the CAF team. Allparticipantsgetasummaryoftheproposalsdividedinto:
a. CAFcriteria(CC)b. CAFprinciplesofexcellence(PoE)
Thismeetingstartsthenwiththeanalysisofthefulfilmentofprinciplesofexcellence,basedonthequestionnaireusedintheCAFExternalFeedbackprocedure(3rdpillar).Theanalysisismade
insmallgroupsanditsresultcreatesthebasisforthePoEindex.
Finallywecansetuptwodifferentindexes:
1. Index depending on the CAF evaluation criteria (ICC) that basically shows urgency forindividualsuggestionfor improvementbasedonself-assessment(0pointsforcriterion
inself-assessmentmeansICC=1or100%urgency).2. Index depending on 8 principles of excellence (IPoE): if we analyse that we are in the
maturitylevelingeneralprincipleofexcellence,thenIPoE=0or0%andconversely.
3. The consensual scoring used in the self-assessment report is more accurate than theconsensual ratingofprinciplesofexcellencebasedonCAFExternalFeedbackprocedure. It isbecausethescoringscaleinthecaseofself-assessmentisbetween0-100andtheprocessofthe
self-assessment is more complex. We always evaluate every sub-criteria, every exampleseparately–thatiswhytheconsensusmeetingtakeusuallytwodays(atleast).Thescaleinthecase of rating the principles of excellence is based only on 4 levels (0, Initiation, Realisation,
Maturity–wemodifytheminto0-100scale)andwemakeevaluationusuallyonaworkshopinsmallseparategroups.
That´swhyweusevariousscalesforthefinalpriorityindex(Ip):Ip=0,6*ICC+0,4*IPoE
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Conclusion
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Conclusions
Sustainabilityisoneoftheconditionsforsuccessinpublicsectorreforms.Ittakestimetochangethedirectionofthelargetankerthepublicsectorcanbeconsidered.Aconsensusbetweenthedifferent
stakeholdersonalongtimevisionthatguidesthereformestablishesthesolidbasisforasustainablechange. Constant feedback has tomaintain the strength of the vision and the engagement of allstakeholders in its fulfilment. This counts also for the instruments developed to implement the
vision. European Union Member States created in 2000 the Common Assessment Framework tointroduceandimplementTotalQualityManagementinthePublicsectoranditsorganisations.Theywereconvincedthat thisholisticapproachoforganisationaldevelopmentwould leadpublic sector
organisations systematically to the levelof excellence inperformanceand results achievement forthe different stakeholders, in particular for the citizens/customers. The revised versions of 2002,2006 and 2013 maintained the consensus on the importance of TQM for the Public sector and
guaranteedthesustainabilityofthiseffort.ThelaststudyundertakenbytheEuropeanCAFResourceCentre (CAFRC)ondemandof the Italianpresidency in2014wasanadditionalmomentofcriticalreflexiononthevalidityoftheCAF.Thisstudyfocusedontheimpactoftheuseofthemodelonthe
results achieved by the CAF Users, in particular in the sector of Education. As mentioned in theintroduction,oneof themost remarkableconclusionsof the studywas that the scoresofalleightCAFresultssub-criteriaincreasedaftereachCAFimplementation.
Whatarethelessonstobelearnedfromtheselected20goodpracticesintroducedby13countries?
Thisnewstudybuildsfurtheronthesefinding,broadeningthescopetoorganisationsofthewholepublicsector.Apparently,therewasaneedformoreconcreteexamplesillustratingtheinnerlogicof
theCAFmodelandthewayforward.Thecallforcasedescriptionsputtheemphasisontheobtainedresults in performance by implementing improvement activities chosen after the self-assessmentwithCAF.43CAFUsersfromoverallEuroperespondedonavoluntarybasis. 'After16year,CAFis
stillaliveandkicking',couldbeasideconclusionofthishighresponserate.
ItwasadifficulttaskfortheCAFRCandtheSlovakpresidencytoselect20casesthatwereinvitedtodeepen-out their case description and present their case at the 7th European CAFUsers Event inBratislava on 30 November 2016. The study itself presents them in-depth per country. These
conclusions however present some clusters of similar good practices that public organisationsprioritised and implemented. It helps organisations to find inspiration in other organisationsachievements. It isdifficult to findgeneral tendencies inorganisational improvementstrategies,as
thecontextofeachorganisationineachcountryisspecific.Buttheclustersgiveanideaofthemajordomainsofpublicmanagementtheimprovementactivitiesdealtwith.
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In most case descriptions, clear data illustrated the link between the better results of theorganisation and the undertaken improvement actions. This proves once more that a sound
diagnosis isneededforaneffectivedecisionmakingprocessonimprovementactivitiesthatmatterandmakethedifference.AnumberofcasesshowtheuseofCAFasalong-termsteeringmechanismforbuildingupanexcellentorganisation.
Cluster1:Theeffectivenessofstakeholderinvolvement
The education and guidance needs of the Italian Secondary Education Institute Galilei-Artiglio,Viareggio,Italy
Gathering information on the present and future needs of stakeholders as well as relevantmanagementinformationisthebasisofsuccessforthiseducationinstitute.20%increaseofthenewentrees,40% increaseof theattendances to seminarsof indepthstudyand20% increaseofgood
reportsbycompanieswherestudentshavedonetheirinternship.Thisshowsthatthemainstrategicinitiativestakenweresuccessful.Mostimportantwerethesurveysaboutthefutureemploymentofthe graduates from this school in the employment market their choices at university, the
organisationofseminarsandscientificpost-graduatecourses.
Increased stakeholder involvement in the planning of the Consumer Ombudsman’s work andpriorities.ConsumerOmbudsman,Norway
The organisation has installed a more systematic approach to obtain relevant information from
stakeholders in theplanningof theorganisation’spriorities for thecomingyear. Ithelda seriesofmeetings with relevant stakeholders during the planning phase of the action plan. Selectedstakeholders where invited to give presentations to the organisation. The foreword of the
organisation'splanofaction2016highlightstheincreasedinfluenceofitsstakeholders.
Cluster2:HumanResourcesManagement
HRManagementattheDistrictofUpperBavaria,Germany
TheinstalledHRManagementattheDistrictconsiderstheemployeeasthefoundationofitssuccess.
Themostrelevantcomponentsthatwereestablishedwereastandardisedfeedbacksystemfortheexecutivestaffbytheemployeestoimprovetheirmanagementskills,acurriculumfortheexecutivestaffandmiddlemanagement,theintroductionofanoperationalhealthmanagementsystemwithin
thedistrict andexternal assessmentof theorganisation and keyprocesses at theHRdepartment.InnovativeHumanResourcesManagementintheLisbonMunicipality,Portugal
ByusingCAFasaguide,thisMunicipalitywasabletoprovideaclearvisiononHRresponsibilitiesand
builduptheHRFunctionbycreatingtrainingteamsthatworkwithmanagers,promotingvoluntaryand short-term participation on projects, aligning organisational and individual competences withrespective development plans and creating a learning community for performance management.
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Employees' participation levels on training increased by 21% andmore than 126 employees (250hoursoftraining)weretrainedontopicssuchasHRFunctionandininternalclientrelations.
Cluster3:PerformanceandStrategicManagement
Consequences of the implementation of Performance Management in the entire FederalAdministrationfortheCAF-resultsinDGIIIoftheFederalChancellery,Austria
ThecomprehensiveintroductionofperformancemanagementintheFederalAdministrationin2013hadabigimpactontheCAFresultsinLeadershipandStrategicmanagementinDGIIIoftheFederalChancellery. With the introduction of the new system of performance management, the Federal
Chancellery has developed amission statement, outcome-goals,measures, indicators on all levelsandanevaluationsystem.
StrategicplanningintheFlemishDepartmentofAgricultureandFisheries,Belgium
The outcome of the CAF exercise at the Flanders Department of Agriculture and Fisheries can be
summarisedastheneedforoneoverall‘strategicexercise’.SeveralSWOTanalysiswithinternalandexternalstakeholderspreparedtheexerciseandidentifiedtrends.Atwo-daystrategicseminarwithmanagement representatives and key persons resulted in the new strategic framework with a
mission statement, vision, strategy and values for the new organisation. Within this strategicframework, the organisation further elaborated several key elements such as the HR strategy,integrity,diversity,wellbeingandcommunication).Itdefinedandfollowedupoperationalplans.
Cluster4:CAFbasedTQMManagement
Stakeholder analysis in the Hessian Administration for Land Management and Geoinformatics,(HVBG),Germany
HVBGisintheprocessofreducingpersonnelexpenditureandcostsofinfrastructure.Itconcentratesoncoredutiesandoffersgoodproductsandservicestocorecustomers. It improvesprocessesandtechnology to reduce treatment/process times in order to reduce process costs or to decrease
complaints on products/service. HVBG invests at the same time in personnel development andtechnology. All this is achieved by implementing Strategic Management including contracts withpoliticalleadership(2010,2011-2016and2017-2022),partnershipswithrelevantorganisations/core
customers, leadership development programs for all hierarchical management, staff developmentactivties/programmes, teamwork-structure in every section of the organisation and Process,KnowledgeandProjectManagementsince2009.
CAF-inspiredLeadershipintheCityofVienna,Austria
CAFisshowntobeausefultooltoenableexecutivestoquicklyandsuccessfullytakeuptheirnewposition,andtooptimiseanorganisation inanevolutionaryway.Thenewmanagementoptimisedvalues, strategies, structures, processes, facilities for people and other managerial assets. It
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transformed the former authoritative one-person leadership into a multi-competences leadershipteamby introducingdivisioncoordinators,executivedepartmentsanddecentralisedadministrative
units. A thorough remodelling regarding the organisational structure and procedures took place,following the principles ofmodern leadership and involving staff and stakeholders. Targets of thenew leadership culturewere for example: enhance trust, promote a positive error and complaint
culture,developmanagementprinciples,implementamissionstatementforleadershipanddevelopaneducationstrategyforseniorstaff.
Walkinghand inhandwith taxpayers towardsExcellence in theBenidormTreasuryDepartment,Spain
Thankstodifferentimprovementactivities,theTreasurydepartmentrealisedaremarkableincrease
inthenumberoftaxsettlementsandreverse-chargespaid,taxcollectionsduringthevoluntaryandthe enforcement period, economic transparency, interdepartmental coordination, satisfaction ofcitizensandemployees,accessibilityoffacilitiesandpartner involvement. Itdecreasedthenumber
ofcomplaintsfiled,theaveragepaymentperiod,theindebtednesslevelandthelocaldebtamount.Itcreatedtwoprofessionalsocialcommunities,simplifiedprocesses,madeallproceduresaccessibleby electronicmeans andnewelectronic payment systems. It established an information exchange
system with regular surveys and meetings, a training plan and gradual empowerment andspecialisationofsomeemployees,aServicesCharterforthecitizensandanadvancedmanagement
andpaymentsystemaswellaspublic-privateagreements.
Cluster5:Customerandpeopleorientedcontinuousimprovement
ContinuousimprovementoftheMinistryofFinance,Estonia
Results under criterionNo6 citizens/clients andunder the keyperformance results criterionNo9stronglyimprovedduringtherecentyearsbutincriterionNo7thepeopleresultsonlyslightlyraised.The citizens/customers andpartners needswerebetter understoodwhich led tomore andbetter
e-services for the clients. New agencies started up: the Information Technology Centre of theMinistryofFinanceaimedatofferingICTsupportandtheStateSharedServiceCentreconsolidatingof all the support services. Changes in the budgeting process and the efficient application of EU
StructuralFundsresourcesalso ledtotheadvancementofservicesandabettergoverningsystem.Constantchanges inthepeoplemanagementtookplacewiththeelaborationofapersonnelpolicydocument, a better accessibility of information, a more understandable salary system and
fundamentalchangesinthesystemofappraisalinterviewsinlinewiththecompetencymodel.
ProcessinnovationinordertoimprovethecustomersatisfactionoftheAutomobileClubd’Italia,Savona,Italy
TheSavonaTerritorialUnitachievedremarkableresults regarding theuserssatisfactionofservices
(from40%tothecurrent70%),thesatisfactionofthepeople(from50%tothecurrent90%)andthereductionofthecitizenwaitingtimes(fromanaverageof20minutestoanaverageof5minutes).
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Thiscouldberealisedthankstotheimprovementofthefront-officeprocessesand,inthemeantime,to the development of a systemic and structured system of complaints monitoring to check the
statusoftheimprovingactions.ThemajorimprovementareadefinedintheCAFself-assessmentwasmanagingpeakworkinghoursatthefrontoffice.
Cluster6:Staffinvolvement
Theinitiative-systemintheStateResidentialSchoolLiminka,Finland
The staffof the residential school is actively involved in thedevelopmentof activities through the
renewedinitiativework.Thenumberofinitiativeslaunchedbythestaffhasrisenfrom16in2010to84 in 2014. Initiatives are a good tool for improving safety and shared ownership in the verydemandingeverydaytasksoftheorganisation.Themanagementmadepresentinginitiativesaseasy
as possible. People enter the initiatives directly to an electronic ‘MAP’, i.e. themanagement andoperational system of the organisation. In case somebody wishes so, he or she can ask themanagement to write the initiatives into the system by face-to-face contact or e-mail. The
managementteamdealswiththenewinitiativesonamonthlybasis.
TheBankofIdeasintheCustomsChamberofBialystok,Poland
The Bank of Ideas improves the process of internal communication, both vertically as well ashorizontally.On a regular basis, themanagement at all levels is informedabout all the aspects of
activitiesneedtobeimprovedandwhichareimportanttostaff.ThefunctioningoftheBankofIdeasimproves the satisfaction of officers/employees and increases the identification ofofficers/employeeswith the service. TheBankof Ideas is a costless platform throughwhich every
employeeof the localcustomschambercansubmitany ideato improvetheorganisationalcultureand governance. The Bank of Ideas promotes the innovation of processes and the creativity ofofficers and employees. This case presents three major improvement activities: the Mobile
applicationGranica,providing full informationaboutthewaitingtimeat thePolishbordercrossingwithRussia,Belarus andUkraine (1), theunificationof theemail addresses structure for receivingcustomsdeclarations(2)andtheelectroniccommunicationwiththedistrictcourts(3).
Cluster7:Workingtogetherforbetteroutcome
Target-orientednetworkleadershipofeducationalservicesinthePäijät-häme,Finland
AnetworkofindependentmunicipalitiesintheregionofPäijät-hämehasbuiltacommonvisiononeducational services and the municipalities are committed to work together in a cooperative
manner. The vision is present in the production of educational services and harmonising thosethoughcommonprinciples.Thenetwork-basedapproachinvolvingcentraloperatorsfromdifferentmunicipalitiesinthesameserviceprovisionchainandunderthesamedirectionhasturnedouttobe
a well-functioning method of collaboration. The proposed measures affect all profit centres,
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customersscores,staffscores,socialresponsibilityscoresandkeyperformancescores.ThebasisisaCAF based operating system for network leadership. The commitment of city and municipality
governmentstooperativecooperationisessential.Plansfordevelopingnewnetworksforsubstanceareas,startingcommonprojectsandbuildinganelectronicdatabase,areonthetable.
QualityroutecreatingpassionandcommitmentintheSixSchoolsGroupFigueiraMar,Portugal
SixSchoolsGroupFigueiraMar isamultilevel institution located inFigueiradaFoz,consistingof6
public schools with 1200 students and all levels of education from pre-school to regular andvocationalsecondaryeducation.CAFallowedthereflectionaboutthenewlyformedschoolcluster.Startingfromthevisionofeachschool,theyconstructaholisticidentityandculture,mobilisingthe
entire schoolcommunity inorder tomake investments in improvingstudent-learningenvironmentand to enhance stakeholder satisfaction. They developed strategic documents focused on theidentityoftherecentschoolclustersuchastheEducationalProject,theRegulationandtheWelcome
programme to new teachers, students and parents. The cluster applied satisfaction surveys tostakeholders (partners, students, parents and staff) which highlight leadership, administrativeorganisation,resourcemanagementandeducationalstrategies.
Cluster8:Sharinginformation
TheIntegratedInformationSystem(IIS)oftheHellenicMilitaryGeographicalService,Greece
HMGS has designed, developed and implemented an Integrated Information System (IIS) for thedissemination of all pertinent geographic information to the public, aswell as to both public andprivateinstitutions.Successfulcompletionreliedupontheadaptationofcurrente-shoptechnologies
and practices. HMGS’s objective was to deliver accurate, precise, real-time information on allavailable, distinct Geospatial Materials and allow for directory browsing, product selection andpurchase.Salesandinventorymonitoringresultinimprovedproductioncapacityandefficiency.The
IIS implementationhasproventobean importantaidto leadership.Managementpracticesreflectupon performance and are appropriately fine-tuned to support continuous improvement andinnovation,hencefosteringeffectiverelationswiththestakeholders.Furthermore,theIISallowsfor
clear vision and proactive planning, since data analytics offer insights on the present and futureneedsofstakeholdersanddriveresourceallocation.
TheAdministrativeInformationServiceSystem(AISS)intheAdministrativeUnitCelje,Slovenia
The Administrative Information Service System Celje (AISS) contributed to an even bettercooperation between the Administrative Unit Celje and other authorities. The information passedthroughAISSenablestheirclientstodeclaretheirrequestswithallnecessaryattachments.Because
ofthis,theauthoritiescansolvetherequestsmoreeffectivelyandbeforelegaltimelimits.Resultingin higher satisfaction of clients and employees. While determining the satisfaction of otherauthorities of Administrative Unit’s Celje work, the grade received was ‘excellent’. Since 2013 all
casesarebeingsolvedinorbeforelegaltimelimitsattheAdministrativeUnitCelje.
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Separatetheme:Communicationasthedriverforchange
A quality approach focussed on internal and external communication in the “Haut Ecole” ofHainaut,Belgium
A continuous improvement of the communication and strategic skills led to the promotion of acultureof quality in this education and training institution. It targets the future students, learners
and graduates (alumni) as well as teachers, administrative and technical employees of the HEH.Different approaches were installed: a participative organisation for external communication, theelaborationofaQualityCharteranditsinternaldiffusionwithplannedself-awarenessofeachitem,
aneffectiveinternalcommunicationwithextranet,computerisedsupport,freeprogrammes,onlinelearningtoolssupportedbyanITteam,andprojectsalikeawelcomeguideandalumnifollow-up.
Separatetheme:Internalrecruitmentofmanagers
The internal recruitment procedure for managerial positions in the Tax Chamber of Wroclaw,Poland
The setting of a transparent procedure for managerial positions not only contributed to bettermanagement of human resources as such with reference to the organisation’s goals but also
improved thesatisfactionandmotivationof theemployees. In thePolishcivil service therearenorecruitment regulations dedicated to the mid and lower level managerial positions in the taxservices.Thesearetreatedasregularcivilservicepositions.Inordertoprovidebettertransparency
of recruitment and better alignment of the employees hired to the organisation’s goals, arecruitmentprocedurewasestablisheddefiningrulesandselectioncriteria.
Separatetheme:ProcessManagement
Theuseof6σ(Lean–SixSigma)forstreamliningprocessesintheImplementationAgencyoftheSlovakMinistryofEmployment,SocialAffairsandFamily,Slovakia
The implementation of Lean Six Sigma into the process approach brought measurement of theemployee’sperformancealongwiththeimpacttotheirfinancialremuneration,thereductionofthe
errorrateandmajoraccelerationofservicedelivery.Amanagementinformationsystem(ATTIS)wasintroducedtotheentireorganisation(250employees).Otheraspectswerethemappingofthekeyprocesses and the assistance of the management and support processes by PRINCE2® project
management.
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Whatinsightsdotheintroducedprioritisationmethodologiesprovide?
Under thePolish presidencyof the EuropeanUnion, The EuropeanCAFResourceCentremade an
extensivestudyontheuse,thesupportandthefutureoftheCommonAssessmentFramework:FiveyearsofCAF2006:fromadolescencetomaturity.407CAFusersfromof27countriesansweredalistof questions not avoiding the critical issues related to the use of CAF. Regarding the obstacles
encounteredindevelopingtheimprovementplanaftertheself-assessment,43,7%foundthelackofagoodmethodologyforprioritisingtheactionstoalimitedextendaproblem,17,5%eventoalargeextent,but34,3didn’tseehereaproblematall.
Obstaclesencounteredindevelopingtheimprovementplan:
CAF can only be successful if the self-assessment leads to a sound improvement plan, based on
consulting the major stakeholders, especially staff. Under the responsibility of the managementchoiceshavetobemadetousethelimitedresourcesinthemosteffectiveway.
SothereareplentyofreasonstryingtofindouthowCAFusersinthedifferentcountriesprioritisedtheiractions,asthereisnotacommonEuropeanmethodologyimposedtodoso.
Basedonthemethodologiesdescribedinpart2ofthestudywecanmakeadistinctionbetweenfour
typesofmethodologies.
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1.ThemethodologydevelopedbyEIPAandspreadattheEuropeanlevel
Thismethodology isbasedontheBelgianexperiencesandusedduringtheEuropeantrainingsand
coachingbyEIPA. In linewiththemottoofCAFtoconcentrateonthemostrelevantaspectof theanalysis,theSelf-AssessmentGroup(s)-withorwithouttheleadersincluded-areinvitedtoformulatesmart(Specific,Measurable,Acceptable,RelevantandTimebounded)improvementactionsrelated
towhattheyconsiderthemostrelevantareasof improvementpersub-criterion. Inthissense,themembersoftheSelf-AssessmentGroupsgivealreadyafirstdirectiontotheimprovementactivities.Indeed, fromthenon, the focusshifts fromtheanalysisofstrengthsandareasof improvement to
the evaluation and prioritisation of the proposed actions and the elaboration of the strategicimprovementactionplan.
In the prioritisation phase, collaboration between the managers and the members of the Self-Assessment Group(s), representing in some way the whole staff, is very important. In case the
management teamwasnot represented in theSelf-AssessmentGroupordidnotundertakeaself-assessmentonit’sown,themanagementteamisforthefirsttimeactivelyinvolvedinthedecisionmakingprocessonthefuture.Forthemembersoftheself-assessmentteam(s)ontheotherhand,it
isveryoftenthefirsttimeintheircareerthattheycandiscusswiththemiddleandtopmanagementonstrategicandoperationalissues.Theylivethisasaveryrewardingexperience.Oftenitisforthemthestartofalong-terminvolvementintheimprovementoftheorganisation.
DefiningtheQuickWins,withtheengagementtorealisetheseactionswithinashortdelay,weighing
the strategic impact (SW) of the rest of the proposed actions and evaluating the ease ofimplementation (EIM) of the most important actions, demands in-depth reflection. Defining thepriorityofimplementation(PIM)andthefinalchoiceoftheactionsdependtoahighextendofthe
qualityofthesediscussionsandthetrustbetweentheactors.
2.MethodologiesdevelopedbyNationalCAFResourceCentres
In 2 countries, the national CAF resource centre and the national CAF correspondent developed
themselvesamethodologythatisdisseminatedinthecountry.
2a.TheItalianapproach
InthefivephasesoftheItalianmethod,theselectionofthepriorityareasforimprovementinvolvingstaffandmanagementistheimportantstartingpoint.
Inphase1, theSelf-AssessmentGroup (SAG)makesa cross-sectional synthesisof theweakpoints
thatappearinallthesubcriteriaandclassifiesthemaccordingtothreecharacteristics:recurrence,strategicimportanceandoperationalimportance.
Inphase2,theSAGandManagerdefinebetween4to6CriticalSuccessFactors(CSF’s)relatedtothemission,visionandstrategicobjectivesoftheorganisation.Theyassesstheimportanceorrelevance
ofeachsubcriterionfortheachievementoftheCSFs.Persubcriterion,thetotalscoreismadeand
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purely mathematically calculated on a scale from 1 to 10 to define the relevance of each subcriterion. By crossing the relevance of each sub criterionwith the score obtained in the CAF self-
assessment, 4 priority levels are defined amongst the sub criteria. Especially the recurrent andstrategicallyimportantweaknessesofthesubcriteriawithpriority1(highrelevanceandlowscore)and priority 2 (low relevance and low score) are analysed, resulting in a preliminary list of
weaknessesbetween8and15.
Inphase3,theSAGdefinespossibleimprovementinitiativesforeachweakness.Afterclustering,thiscanleadto6to12initiatives.
InPhase4,theSAGdefinesforeachimprovementinitiativeitsimpactonthecriticalsuccessfactors,the feasibility and the realisation time, information thatmust help themanager tomake his final
decision.
Inphase5,themanagerdecidesonexecuting3to5actionsbesideanumberofQuickWins.
VeryimportantintheItalianapproachisthecross-sectionalsynthesisoftheweakpointsduringtheCAF self-assessment and the definition of the CSF’s that are the basis for the evaluation of therelevanceof the sub criteria by the SAGand theManager. To a certain extent, this adds anextra
dimensionoftheuseoftheCAF,thatdoesnotweighthesubcriteria.Thefourprioritylevelshelptofocusonthemostneededactionradius.Asinothermethodologies,impact,feasibilityandrealisationtimeoftheactionproposalsareevaluated.
2b.ThePortugueseapproach
ThefirststepinthePortuguesemethodologybringstheproposalsfor improvementsfromtheself-
assessment teams together with the stakeholder’s suggestions from the satisfaction surveys andclustersthemintopics.Integratingstakeholder’ssuggestionsisparticularinthisapproach.TheQuickWins amongst the proposed actions are directly set aside as in the EIPAmethodology andwill be
realisedanyhow.
Step two defines the relevance of the rest of the improvement actions for the organisationalobjectives.
Instepthree,theproposedrelevantactionsarerankedaccordingtothreecriteria:theimpactoftheaction on the organisational performance, the capacity of implementation of the action and its
impactontheclients’satisfaction,similartotheEIPA’sandtheItaliancriteria.Anexecutionschedulefortheoverallimprovementplanallowsmonitoringthesystematicfollowup.Eachactionformdealswithalltheaspectsthatneedstobetakenintoconsiderationtomakeitsuccessful.
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3.Recommendationsforprioritisationatnationallevel
In other countries, the national CAF Resource Centre did not elaborate a comprehensive national
methodology forprioritisationbut sharesdifferentways thatareused inorganisations tocometotheiractionplan.
3a.Poland
In one approach, the Self-Assessment Group defines in advance concrete characteristics for the
improvementactionstobeformulated,e.g.inonecase12characteristicswereformulated.Amongstthe suggested actions, the organisation selects for implementation the actions linked to the subcriteriawiththeweakestscores.
In another method, the management defines the prioritisation criteria in line with the strategic
objectivesoftheorganisation.
Inthethirdmethodology,themembersoftheSelf-AssessmentGroupandthemanagersreformulatetogether the proposed actions to bring themmore in linewith the improvement areas. Then theimpact on the strategic objectives and the capacity to implement the action are evaluated and
ranked.Outoffiveproposedactions,threeareimplementedinthecurrentyear.
3b.Austria
TheAustrianCAFCentrealsorecommendsa limitednumberofmilestones.A listofbyaverage80improvementsactionsastheresultoftheconsensusmeetingsoftheSelf-AssessmentGroupSAGis
discussed in a workshop with representatives of the SAG and the management. Quick Wins aredefined.Outoftheremainingactions,the10to12mostimportantareselectedandfurtherspecifiedand clustered. Afterwards, working groups draft project descriptions and plenary sessions find
consensus.Thelowprioritisedactionsaredealtwithaftertheimplementationoftheprojectplans.
3.c.Finland
Themethodologyofprioritisationused in theStateTreasury canbe seenasanexample forotherpublicorganisations.Allproposalsforimprovementareanalysedontheirusefulnessandtheamount
ofworktoinstallthem.Thecombinationofbothcriterialeadstoarankingfrommostpromising,topotentialandleastpromisingactions.QuickWinsareclearlydefinedandtogetherwiththeactions
leadingtofuturegoals, launchedstraightaway.Potentialandfutureproposalsarereflectedonthestrategicprioritiesand financialpossibilitiesof theorganisation.Theyareevaluatedontheireffecton the efficiency and effectiveness of the organisation, on the critical time for action and the
importance of the enabling or risk minimising nature of the action. A maximised participatorydiscussiononthefinalchoiceoftheactioncommitsstaffinthepreparationofthefuture.
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4.ThemethodologyoftheSlovakcase
Allemployeesareinvitedtointroduceproposalsforimprovement,notonlythemembersoftheSelf-
AssessmentGroup.ThemanagementandtheCAFteamdefinethepriorityof theaccordingto thescoresoftheCAFcriteria(CC)andtheCAFPrinciplesofExcellence(PoE).Basedonthequestionnaireof the 3rd pillar of the CAF Procedure on External Feedback, the fulfilment of the principles of
ExcellenceareanalysedandtheresultsintegratedinthePoEindex,indicatingthelevelofmaturity.TheCAFindex(Icc)showstheurgencyofactioninaspecificsub-criterion.Thefinalpriorityindex(Ip)isanadditionoftheIccindex(urgency)for60%andthePoEindex(levelofmaturity)for40%:Ip=
0,6*Icc+0,4Ipoe.Inthismethodology,thematuritylevelplaysamoreimportantrolethenintheotherapproaches.
Characteristicsofthedifferentprioritisationmethodologies
Allthemethodologieshaveanumberofaspectsincommontoacertainextent:
• InthestartingphasetheyalldefineQuickWins.
• Theappreciationofstrategicimportanceorimpactoftheimprovementactionsassuchorin
relationwiththestrategicobjectivesoftheorganisationarealwayspresent.
• Theanalysisofmostaspectsofthefeasibilityoftheactionsarealwaystakenintoconsideration.
• Thefinaldecisionalwayslaysinthehandofthemanagement.
Therearedifferencesregarding:
• Theinvolvementofallstaffandotherstakeholdersintheintroductionofproposalsfor
improvement.
• TheinvolvementoftheSAGmembersinthechoiceoftheactions.
• Thenumberofchosenactions.
• TheintegrationofthelevelofmaturityaccordingtothePrinciplesofExcellenceinthemethod.
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TheCA
Fne
twork
228
229
TheCAFnetwork
The Common Assessment Framework is a product of the IPSG (the Innovative Public Services)working group embedded in the European Public Administration Network (EUPAN). EUPAN is an
informalnetworkofDirectors-General responsible forPublicAdministrations inEUMemberStatesandtheEuropeanCommission.Itisaplatformforexchangeofviews,experiencesandgoodpracticesto improve the performance, competitiveness and quality of European central public
administrations. The IPSG working group especially focuses on quality management and thecustomerorientation inpublicadministrations.TheCAF,asoneof themost importantproductsofthe IPSGworking group, has its own subgroup, the CAF Expert Group,which is supported by the
EuropeanCAFResourceCentre.
TheCAFExpertGroup iscomposedof theCAFnationalcorrespondents (therepresentativesof thecountries), theEuropeanCAFResourceCentreand representativesof theEuropeanFoundationof
QualityManagement(EFQM).ThemajortasksoftheCAFexpertgroupare:
• toimproveandregularlyupdatetheCAF;
• to define in collaboration with EIPA the role of the European CAF Resource Centre (tasks,
mandate,placement,financing);
• todevelopincollaborationwithEIPACAFsupporttools(e.g.CAFwebsite);
• toanalysetheproblemofself-assessmentvalidation;
• tovalidatethedifferentwaystoadaptCAFfornationalorsectoraluse;
• toassistandpromotetheexchangeofgoodpracticesofoperationalmanagerialtoolsbetween
EuropeanMemberStates;
• toorganisetheCAFUsers’Events(contentpapersandprogrammes);
• toreportbacktotheIPSGatleasttwiceayear.
The CAF Expert Group meets twice a year. The meetings are organised by the Presidency – thecountrypresidingovertheCouncilofEU–assistedbytheEuropeanCAFResourceCentre.
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TheCAFNationalCorrespondents
Austria MsSandraKastenmeier FederalChancelleryIII/9/aUnitforCivilServiceInnovationBallhausplatz1AT1010Viennawww.bka.gv.at
Austria MrThomasProrok CAF-CenterZentrumfürVerwaltungsforschungGuglgasse13AT1110Viennawww.caf-zentrum.at
Belgium MrManuBreynaert
MrJean-MarcDochot
MsIsabelleVerschueren
FederalPublicServicesPersonnelandOrganisationOrganisationalDevelopment51ruedelaLoiBE1040Brusselswww.publicquality.be
Bulgaria MsMimiYotova InstituteofPublicAdministration6-8SerdicaStr.BG1000Sofiawww.ipa.government.bg/bg/za-centrahttp://quality.government.bg/en
Cyprus MsLeniaOrphanidou MinistryofFinancePublicAdministrationandPersonnelDepartmentCY1443Nicosiawww.mof.gov.cy/mof/papd/papd.nsf
CzechRepublic MsLenkaSvejdarova MinistryoftheInteriorDepartmentforPublicAdministrationNáměstíHrdinů3CZ14062Prague4www.mvcr.cz/kvalita
Denmark MsRitaSmedegaardAndersen MinistryofFinanceAgencyfortheModernisationofPublicAdministrationLandgreven4P.O.box2193DK1017CopenhagenKwww.modst.dk
Estonia MsKarinNärep MinistryofFinancePublicGovernancePolicyDepartment1Suur-AmeerikaEE15006Tallinnwww.fin.ee
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Finland MsAilaSärmälä
MsMarikaTammeaid
StateTreasuryServicessupportingfinancialadministrationandmanagementSörnäistenrantatie13FI00054Helsinkiwww.statetreasury.fi
France MsCélinePelletier MinistèreduBudget,desComptespublics,delaFonctionpubliqueetdelaRéformedel'EtatDirectiongénéraledelaModernisationdel'Etat(DGME)-ServiceInnovationTélédoc81764AlléedeBercyFR75572ParisCedex12www.modernisation.gouv.fr
Germany MsAstridStein BundesverwaltungsamtFederalOfficeofPublicAdministrationGermanCAF-CenterDE50728Colognewww.caf-netzwerk.dewww.bundesverwaltungsamt.de
Greece MrIoannisDimitriou MinistryofAdministrativeReformandE-GovernanceVassilisisSofias15strGR10674Athenswww.ydmed.gov.gr
Hungary MrDávidSzabó
MsJuliannaKisnéMátrai
PrimeMinister’sOfficeDepartmentforPublicAdministrationDevelopmentKossuthLajostér2-4HU1055Budapesthttps://caf.kim.gov.hu
Ireland CivilServiceHRDirectorateDepartmentofPublicExpenditureandReform7-9MerrionRow4thFloorIEDublin2
Italy MsSabinaBellotti DepartmentforPublicAdministrationCorsoVittorioEmanuele116IT00186Romewww.funzionepubblica.gov.itwww.qualitapa.gov.it
Latvia MsJolantaLiepa StateChancelleryDepartmentforPublicAdministrationDevelopmentBrivibasblvd.36LV1520Rigawww.mk.gov.lv/lv/content/kvalitates-vadiba
232
Lithuania MsGitanaJurjoniene MinistryofInteriorPublicGovernancePolicyDepartment2Sventaragiost.LT01510Vilniuswww.vrm.lt
Luxembourg MsNadineHoffmann
MsJoséeKappweiler
MinistèredelaFonctionPubliqueetdelaRéformeAdministrative63,avenuedelaLibertéB.P.1807LU1018Luxembourgwww.fonction-publique.public.luwww.fonction-publique.public.lu/fr/modernisation-etat
Malta MrJosephBugeja OfficeofthePrimeMinisterManagementEfficiencyUnitMCEBldgLevel1,TriqL-IndustrijaMT3000Qormiwww.cafmalta.gov.mtwww.opm.gov.mt
Norway MsGudrunVik AgencyforPublicManagementande-Government(DIFI)P.O.Box8115Dep.NO0032Oslowww.difi.no
Poland MsKatarzynaDudzik ChancelleryofthePrimeMinisterDepartmentofCivilServiceal.Ujazdowskie1/3PL00-583Warsawwww.dsc.kprm.gov.pl
Portugal MsMariadaLuzClaro
MsTeresaGanhão
MsInêsNolasco
MinistryofFinanceDirectorateGeneralforAdministrationandPublicEmployment(DGAEP)DepartmentofResearch,InternationalRelationsandCommunicationRuadaAlfândega,5-2PT1149-095Lisbonwww.caf.dgaep.gov.pt
Romania MsVasilica-ValentinaRusen MinistryofDevelopmentandPublicAdministration(MDPA)DirectorateforPublicAdministrationReformInstitutionalReformServiceRevolutionSquare,no,1ASector1ROBucarestwww.mdrap.ro
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Slovakia MrĽubomírPlai SlovakOfficeofStandards,MetrologyandTestingQualityDepartmentŠtefanovičova3SK81005Bratislava15www.unms.sk
Slovenia MrVitomirPretnar
MrMatijaKodra
MinistryofPublicAdministrationBetterRegulation,AdministrativeProcessesandQualityServiceTržaškacesta21SI1000Ljubljanawww.mju.gov.si
Spain MrJoaquínRuizLópez
MsBegoñaLázaroÁlvarez
MinistryforFinancesandPublicAdministrationEvaluationandQualityAgencyDepartmentofServicesQualityc/PríncipedeVergara,1083ªplantaES28002Madridwww.aeval.es
TheNetherlands MinistryoftheInteriorandKingdomRelationsPostbus20011NL2500EATheHaguewww.minbzk.nl
Turkey MrAkinAk PrimeMinistryDepartmentforAdministrativeDevelopmentBasbakanlikMerkezBinaBakanliklarTR06573Ankarawww.basbakanlik.gov.tr
UnitedKingdom CabinetOffice70WhitehallUKLondonSW1A2ASwww.customerserviceexcellence.uk.comwww.cabinetoffice.gov.uk
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CAFCorrespondentsfromcountriesoutsidetheEUPAN
Armenia MsRuzannaKhachatryan CivilServiceCouncilofArmenia89Teryanstr.AR0009Yerevanwww.csc.am
CapeVerde MrAlfredoPina SecretariatofStateofPublicAdministrationDirectorateGeneralforPublicAdministration(DGAP)DepartmentofHumanResourcesRuaCidadedoFunchalMeiodaAchadadeSto.António
China ChineseAcademyofGovernance(CAG)N°6ChangchunqiaoRoadHaidianDistrictBeijing
DominicanRepublic MsJohanaGuerreroCarrero MAP-MinisteriodeAdministracionesPúblicasDirectoraInnovaciónenlaGestiónDepartamentodeInnovaciónenlaGestiónwww.map.gob.do
TheFormerYugoslavRepublicofMacedonia
MsMarijaNikoloska MinistryofInformationSocietyandAdministration(MISA)UnitforinternationalcooperationBvl.Sv.KiriliMetodijabr54MK1000Skopjewww.mioa.gov.mk
Iceland MrPéturBergMatthíasson MinistryofFinanceArnarhvoliIST150Reykjavíkwww.raduneyti.iswww.government.is
Russia MrDmitryMaslov
MsLiliyaNurgatina
Kazan(VolgaRegion)FederalUniversity18KremlevskayaRU420008Kazanwww.kpfu.ruwww.hspa.kpfu.ru
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SouthKorea MrSungJinWoo EUProgrammes(StudyVisitProgrammestotheEuropeanUnion)10thFl.Baeksangbldg.Gwanhoon-dongJongno-guKR110-782Seoul
Ukraine MrIuriiKabakov
MrPetroKalyta
UkrainianAssociationforQualityMykilsko-SlobidskaStr.,6-DUA02002Kievwww.uaq.org.ua
Organisations
EFQM MrGianlucaMulè EuropeanFoundationforQualityManagement(EFQM)AvenuedesOlympiades2BE1140Brusselswww.efqm.org
EIPA MrPatrickStaes
MrNickThijs
MsDorinaClaessens
EuropeanInstituteofPublicAdministration(EIPA)EuropeanCAFResourceCentreP.O.Box1229NL6211HEMaastrichtwww.eipa.eu/caf
TheEuropeanCAFResourceCentre
TheEuropeanCAFResourceCentre(CAFRC)wasestablishedinMay2001attheEuropeanInstituteofPublicAdministration(EIPA)inMaastricht.Itsmissionis:
• tobeacentreofexpertiseinCAFimplementationpromotingtheCAFandgoodpracticeinitsuseinpublicadministrationsinEurope;
• toactasacomplementto,and incoordinationwith,theexistingnationalcentresofexpertise,andwithafocusoncountrieswithoutanationalcentreofexpertise;
• tobeatrainingandconsultancycentre;• tocarryoutresearchontheuseofthemodelandfurtherdevelopit;• tosupportandstimulatetheEuropeannetworkofnationalCAFcontactsandthecommunityof
CAFusers;• tomaintaintheCAFdatabaseforregisteredusersandgoodpractices.
www.eipa.eu/caf
236
October2016
PublicationrealisedbytheCAFResourceCentreattheEuropeaninstituteofPublicAdministration,withthesupportoftheSlovakPresidencyoftheEU.
CAFResourceCentreEuropeanInstituteofPublicAdministration
P.O.Box12296201BEMaastrichtTheNetherlands
Tel.:+31433296337E-mail:[email protected]
www.eipa.eu