Self-Assessment for Continuous Improvement:
Tools and Techniques
16 September 2009
Continuous Improvement = making both incremental and strategic changes to all the functions of an organisation to make it excellent
Self-assessment = a comprehensive, systematic and regular review by the organisation of its activities and results referenced against a model of Excellence which allows an organisation to discern clearly its strengths and areas in which improvements can be made and culminates in planned improvement actions that are then monitored for progress
Strategic planning = the plans that an organisation puts in place to enable it to achieve its mission and vision
Definitions
- Compliance against a standard
- Can tend to be negative-corrective action
- Usually done by an “outsider” or “specialist”
- Gives an historical view
- Auditor is often looking to find fault
- Positioning against a framework
- Usually positive-strengths and areas for improvements
- Best done by yourself, perhaps facilitated by a specialist
- Both historical and forward looking
- Aim is to be motivating for those involved
- Is a competition
- Marketing tool/Publicity
- Is a way of recognising
a level of achievement
- Involves a judging
process
- Gives an historical
view
- Motivating for those
receiving the award
Relationship between Audit, Self-Assessment and Award
Audit Self-assessment
Award
1. Providing a highly structured, fact-based technique to identifying and
assessing your organisation’s strengths and areas for improvement.
2. Improving the development of your business plan and strategy.
3. Creating a common language and conceptual framework for the way
you manage and improve your organisation.
4. Educating people in your organisation on the Fundamental Concepts
of Excellence and how they relate to their responsibilities.
Self-assessment - Potential Benefits List
5. Involving people at all levels/units in process improvement.
6. Identifying and facilitating the sharing of your “Good Practice” withinthe organisation.
7. Facilitating comparisons with other organisations.
8. Providing opportunities to recognise both progress and outstandinglevels of achievement through internal or external awards.
9. Effecting sustained improvement in management practices.
10.Providing all of the information needed for external agencies. However, themain purpose of gathering the information is for internal purposes.
Self-assessment - Potential Benefits List (cont’d)
Self-assessment - Potential Benefits List (cont’d)
11. Helping plan what an institution aims to achieve and, crucially, how it will achieve its aims.
12. Increasing people’s understanding of the organisation’s goals and bringing people closer together.
13. The cost of quality savings made through acting upon the results of self-evaluation can be significant.
Results Orientation
Customer Focus
Leadership & Constancy of Purpose
Management by Processes & Facts
People Development & Involvement
Continuous Learning, Innovation & Improvement
Partnership Development
Corporate Social Responsibility
The Fundamental Concepts of Excellence
The EFQM Excellence Model
QUESTIONNAIRE
ASSESSMENT WORKSHOP
PRO-FORMA
AWARD SIMULATION
COMBINATIONS
BASED ON YOUR DESIRED OUTCOMES AND BENEFITS, HOW WILL YOU?
•Collect evidence/data
•Document evidence/data
•Assess evidence/data
•Document results
•Present results
Self-Assessment Techniques
QUESTIONNAIRE
ASSESSMENT WORKSHOP
PRO-FORMA
AWARD SIMULATION
COMBINATIONS
MANAGEMENT MEETING / EVENT
•To consider the S-A outcomes
•To prioritise actions
•To produce improvement plan
•To agree what to communicate
•To recognise the efforts of others
Self-Assessment - Different Techniques, Same Destination
Characteristics:
1.This technique can be one of the least resource intensive.
2. An approach that is completed very quickly, provided an existing and proven questionnaire is used. 3. It is an excellent way of gathering information on the perceptions of people within an organisation.
4. Some organisations use simple yes/no questionnaires, other slightly more sophisticated versions that use a rating scale
The Questionnaire Technique
Quick and easy to use - basic awareness training being sufficient to get things started
Can readily involve many people within the organisation
Enables the organisation to receive feedback which can be segmented by function and by level
Can be used in conjunction with an Assessment Workshop to provide a more balanced view of deployment for the management team
Can be used to facilitate group discussions between teams on the opportunities for improvement within their unit
The Questionnaire Technique - Benefits
Characteristics:
1. An Assessment Workshop is an event, typically 0.5 and 1.5 days that involves members of a team in a discussion and decision making process linked to assessing evidence and data presented and reaching consensus on Strengths and Areas for Improvement.
2. A second discussion and decision-making process would be used to prioritise the list of potential improvement actions, assign ownership and agree timescales for delivery of the improvements.
3. The team involved can consist of anyone from within the organisation – one of main advantages of this self-assessment method is the opportunity to gain the active involvement of the management team.
The Assessment Workshop Technique for Self-Assessment
The Assessment Workshop Technique for Self-Assessment (cont’d)
Characteristics:
4. Typically, each member of the team will take responsibility for one or more Criteria of the EFQM Excellence Model and will ensure that data and evidence relevant to his/her area of responsibility is gathered before the Assessment Workshop.
5. At the workshop team members present to their peers the data and evidence gathered. This provides the start point for the team to discuss and reach consensus.
6. Consideration needs to be given to the order in which the nine criteria are addressed.
An excellent way to get the team to understand the Model and gain their commitment to it
Discussion and agreement by the team on the strengths and areas for improvement helps to build a common view
Ownership by the team of the outcomes, subsequent prioritisation and agreement to action plans
An opportunity for team building
An agreed list of strengths and areas for improvement is produced
which will drive improvement actions
The Assessment Workshop Technique - Benefits
Pathway
Features:
Online tool that allows you to assess your organisation’s performance straight from your desktop
Can be applied to the whole organisation or to specific departments
User-friendly self-assessment tool that can be adapted to reflect the needs of your organisation
Features:
Online tool that allows you to assess your organisation’s performance straight from your desktop
Can be applied to the whole organisation or to specific departments
User-friendly self-assessment tool that can be adapted to reflect the needs of your organisation
Easy to use
Evidence-based
Can involve a range of people in the organisation
Output readily accessible
Enables the organisation to receive feedback and scores which can be segmented by function and by level
Can be used to facilitate group discussions between teams on the opportunities for improvement within their unit
Enables benchmarking to take place
Pathway - Benefits
Resourceeffort
Knowledge of Model
Trained
Assessors
Site
Visit
Strengths
& AFIs
Accuracy
of score
Questionnaire Low/ Medium
No No No No Low
AssessmentWorkshop
Medium Yes Yes
plus
Facilitator
No Yes Medium
Pro-forma Medium/ High
Yes Yes Optional Yes Medium
- High
AwardSimulation
High Yes Yes Optional Yes High
Selection Criteria -Input/Output Differences
Supported by
Evidence Award Simulation
Pro-forma
Questionnaire
Assessment Workshop High
Process Rigour
Based on
Opinion
Low Process
Rigour
Selection Criteria - Rigour & Evidence/Opinion Differences
Selection Criteria - Maturity/Effort Differences
MATUREORGANISATION
Appropriate Questionnaire
AssessmentWorkshop
Pro-forma supported by Peer evaluation
Award Simulationor
Award Application
ON THE WAY Questionnaire & Workshop
Facilitated Assessment Workshop
Pro-forma
Facilitated AssessmentWorkshop
Pilot Award Simulation
STARTING ON THE EXCELLENCE
JOURNEY
Elementary Questionnaire
More detailed Questionnaire
CustomisedQuestionnaire
Facilitated Assessment W/shop
LOW EFFORT MEDIUM EFFORT HIGH EFFORT
[email protected]@qualityscotland.co.uk
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