The Common Assessment Framework CAF 2013

Principles, background, headlinesAnkarra, 29 March 2018

Patrick STAES

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Presentation 2

Origin of CAF

The CAF 2013 model: key aspects

1

2

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➢Designed by the EUPAN network: DGs in charge of public

administration

➢Launched at the 1st European Quality Conference, Lisbon, Portugal:

CAF 2000, CAF 2002, CAF 2006, CAF 2013.

➢Creation European CAF Resource Centre at EIPA (2001)

➢European CAF Users’ Events, Italy (2003), Luxembourg (2005), Portugal

(2007), Romania (2010), Norway (2012), Italy (2014), Slovakia (2016), Bulgaria

(2018),

➢ Launch European CAF and education version (2009)

➢ Launch Procedure External Feedback and Effective CAF User label (2010)

➢ CAF model translated into 27 languages

1. Origin and growth of CAF (i)

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Situation 1 January 2018: 3.969 registered users in 55 countries and

EU institutions + 187 Effective CAF User Labels

Find out more at caf.eipa.eu

European Institutions and EC: GS Council of the EU DGA2, European Court of Auditors, Europol, EC DG Admin,

EC DG Trans, EC DG Trade, ERA, ECDC, Committee of the regions, ESSC, EU Foundation Improvement Living and

Working Conditions, European Environment Agency, EDPS

Country - users ECU Country - users ECU Country - users ECU

Italy 913 73 Czech Republic 76 1 Malta 16 4

Poland 419 77 Greece 72 Former Yugoslav Republic of Macedonia 15 1

Germany 362 4 Slovakia 63 9 Luxembourg 14

Belgium 343 7 Spain 57 EU Institutions and EC, Iceland 14 1

Hungary 316 Romania 51 Turkey 12

Denmark 248 Bulgaria 35 Latvia, UK 8

Portugal 209 4 Lithuania 34 2 Netherlands, Croatia 7

Finland 140 Switzerland 30 Ireland , Sweden 6/ 5

Austria 103 11 France 30 Cape Verde, Russia, Brazil 4

Norway 93 Bosnia-Herzegovina 21 Ecuador, Egypt, Indonesia 3

Dominican Republic 87 Cyprus 19China, Georgia, Montenegro, Namibia, Serbia,

Tunisia, Ukraine 2

Slovenia 81 Estonia 19Ivory Coast, Kosovo*, Morocco, Peru, South

Africa, FIJI, Azerbeijan 1

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Overview of sectors

CAF

users

Sector CAF

users

Education and Research 1082 Economy, agriculture, fisheries

and trade

88

Local administration (municipalities,

provinces)

919 Justice and Law 87

Social services and social security 410 Culture 57

Police and Security 175 Home affaires 53

Customs, Taxes and Finances 151 General policy and oversight,

coordination

44

Health 144 Environment 31

Public sector management (P&O, budget,

ICT etc.)

126 Foreign affairs

Post and Communication

11

10

Transport, infrastructure, public works,

utilities

89 Sector 362

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Table of contents

Origin of CAF

The CAF 2013 model: key aspects

1

2

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▪ To introduce public administrations into the culture of excellence and the

principles of TQM;

▪ To guide them progressively to a fully-fledged ‘PLAN, DO, CHECK, ACT’

cycle;

▪ To facilitate the self-assessment of a public organisation in order to obtain a

diagnosis and a definition of improvement actions;

▪ To act as a bridge across the various models used in quality management,

both in public and private sectors;

▪ To facilitate bench learning between public sector organisations.

Objectives of the CAF

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LEADERSHIP

Fields of attention:

The examples(not compulsory)

= Good Practices

1.3

1

2

3

4

5

1.4

1.1

1.2

Enablers criteria

CRITERIA

STRATEGY

& PLANNING

PEOPLE

PARTNERSHIPS

& RESOURCES

PROCESSES

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1.1 Provide direction for the organisation by developing its

mission, vision and values

1.4 Manage effective relations with political authorities and

other stakeholders

Results 6-7-8-9

Criterion 1

How the leaders

1.2 Manage the organisation, itsperformance and its continuous

improvement

1.3 Motivate and support the people in the organisation

and act as a role model

1. Leadership

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2.4 Plan, implement and reviewinnovation and change

2.3 Communicate and implementstrategy and planning throughout the whole organisation and review it on a regular basis

9. Key performanceResults

Criterion 2

2.2 Develop strategy and planning taking into account the gathered information

2.1 Gather information on present and future needs of stakeholders as well as

relevant management information

2. Strategy and Planning

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2.1 Gather information on present and future needs of stakeholders as well as

relevant management information

1. Identifying all relevant stakeholders and communicating the results to the

whole organisation.

2. Systematically gathering, analysing and reviewing information about

stakeholders, their needs, expectations and satisfaction.

3. Regularly gathering, analysing and reviewing relevant information about

important variables such as political-legal, socio-cultural, environmental,

economic, technological and demographic developments

4. Systematically gathering relevant management information such as

information on the performance of the organisation.

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2.2 Develop strategy and planning taking into account the gathered information

1. Translating the mission and vision into strategic (long and medium-term)

and operational (concrete and short-term) objectives and actions based on a

sound risk analysis.

2. Involving stakeholders in developing strategy and planning, balancing and

prioritising their expectations and needs.

3. Evaluating existing tasks in terms of outputs (the products and services

provided) and outcomes (the achieved effects in society) and the quality of

the strategic and operational plans.

4. Ensuring the availability of resources to develop and update the strategy of

the organisation.

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1. Implementing strategy and planning by setting priorities, establishing time

frames, appropriate processes and projects and the organisational

structure.

2. Translating strategic and operational objectives of the organisation into

relevant plans and tasks for departmental units and individuals within the

organisation.

3. Developing plans and programmes with targets and results for each

organisational unit with indicators establishing the level of change to be

achieved (expected results).

4. Developing and applying methods to monitor, measure and/or evaluate at

regular times the performance of the organisation at all levels

(departments, functions, organisational chart) ensuring the strategy's

implementation.

2.3 Communicate and implement strategy and planning in the whole organisation and

review it on a regular basis

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1. Creating and developing a new culture / readiness for innovation by

training, bench learning and establishment of learning labs.

2. Systematic monitoring of internal indicators/drivers for change and

external demands for innovation and change

3. Ensuring the deployment of an efficient change management system

(e.g. project management, benchmarking and bench learning, pilot

projects, monitoring, reporting on the follow-up, implementing PDCA,

etc.).

4. Balancing between a top-down and bottom-up approach to change.

2.4 Plan, implement and reviewinnovation and change

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Criterion 3

7. People results

3.3 Involve employees by developing open dialogue and empowerment,

supporting their well-being

3.2 Identify, develop, and use competencies of the employees,

aligning individual and organisational goals

3.1 Plan, manage and improve human resources transparently

with regard to strategy and planning

3.People

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Criterion 4

9. Key performanceresults

6.Citizen/customer oriented results

4.1 Develop and manage

partnerships with relevant organisations

4.4 Manage informationand knowledge

4.3 Manage finances

4.2 Develop and implement partnerships

with the citizens/customers

4.6 Manage facilities4.5 Manage technology

4. Partnerships and Resources

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9. Key performanceresults

Criterion 5

5.3 Coordinate processes acrossthe organisation and with other

relevant organisations

5.2 Develop and deliver citizen/customer-oriented services

and products

5. Processes

5.1 Identify, design, manage and innovate processes on an ongoing basis

involving the stakeholders

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Results criteria

• Perceptions

• Indicators

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• Goal achievement

• Level of efficiency

PEOPLE RESULTSCRITERIA

CITIZEN/

CUSTOMER-ORIENTED

RESULTS

SOCIAL

RESPONSIBILITY

RESULTS

KEY

PERFORMANCE

RESULTS

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6.1 Perceptionmeasurements

6.2 Performancemeasurements

Criterion 6

6. Citizen/Customer-oriented Results

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7.1 Perceptionmeasurements

7.2 Performancemeasurements

Criterion 7

7. People Results

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8.1 Perceptionmeasurements

8.2 Performancemeasurements

Criterion 8

8. Social Responsibility Results

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9.1 External results: outputs and

outcomes to goals

9.2 Internal results:

level of efficiency

Criterion 9

9. Key Performance Results

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1. Results in terms of output (quantity and quality in the delivery of services and

products).

2. Results in terms of outcome (the effects of the delivered output of services

and products in society, on the direct beneficiaries).

3. Degree of achievement of contracts/agreements between authorities and the

organisation.

4. Results of benchmarking (comparative analysis) in terms of outputs and

outcomes.

9.1 External results:

outputs and outcomes to goals

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Citizens customers involvement as co-designers, co-

decision makers, co-producers and co-evaluators

Processes: focus on core-processes in criterion 5,

management processes in criteria 1 and 2 and supporting

processes in criteria 3 and 4 .

Coordination of processes within the organisation and with

other relevant organisations,

Focus points of the CAF 2013

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Focus points of the CAF 2013

Performance orientation, strengthening perception and

performance measurements in the results criteria

Innovation supported by leadership

Social responsibility