MOCK UP: CCPE LEADERSHIP ASSESSMENT
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1 MOCK UP: CCPE LEADERSHIP ASSESSMENT The Canadian Certified Physician Executive (CCPE) credential process requires an assessment of the physician candidate s leadership capabilities based on those found in the LEADS in a Caring Environment framework ( qualities of effective leadership endorsed by the CMA and many other national/provincial organizations across Canada. Assessment of leadership capabilities occurs at three s: physician candidates assess their own leadership performance, three referees assess the candidate s performance and an appointed CCPE Peer Review/Assessment Panel of recognized/accomplished physicians conducts a final assessment, all using the same LEADS framework. This mock-up assessment is provided as an illustration of how the assessments should be completed against the five LEADS domains: LEAD SELF, ENGAGE OTHERS, ACHIEVE RESULTS, DEVELOP COALITIONS, and SYSTEMS TRANSFORMATION. The assessment process includes rating leadership performance against a four point scale described below and providing evidence to support the rating chosen. Performance Level Rating Description of Level Mastery The physician has mastered the capability at an exceptional, consistently demonstrating behaviours with a superior degree of skill and ease, and as observed across diverse, multiple clinical, organizational and/or community situations. He/she acts as an exemplary role model for others and could teach this skill to others. Distinguished The physician consistently demonstrates the capability with skill and confidence in clinical, organizational and/or community situations, regardless of the complexity of that situation. His/her actions contribute meaningfully to organizational success. Mature The physician demonstrates the capability in most situations, but on occasion is less skillful when the clinical, organizational or community situation is complex or demanding. Developing The physician does not regularly demonstrate this capability in a manner appropriate to address the clinical, organizational or community situation in which it is required. No opinion N/O Little or no evidence is available on which to assess the physician s capability. Evidence appears in the form of concrete/quality examples. At least one and a maximum of three examples are required to support the rating for all 0 leadership capabilities.
2 Individuals completing assessments should be as succinct as possible bullet form is encouraged. READ ON TO VIEW DETAILS OF SAMPLE ASSESSMENT LEAD SELF DOMAIN: THIS DOMAIN FOCUSES ON THE CAPABILITIES OF SELF LEADERSHIP. COMPONENTS OF SELF LEADERSHIP INCLUDE PERSONAL VALUES AND BELIEFS, ASSUMPTIONS, EMOTIONAL INTELLIGENCE, ONE S MORAL COMPASS, SELF CONTROL AND ATTRIBUTES OF PROBLEM SOLVING. LEAD SELF IS OFTEN REFERRED TO AS LEADERSHIP AT HOME. LEADERSHIP CAPABILITY No opinion N/O Developing Mature Distinguished Mastery Is self-aware The candidate is aware of his/her own assumptions, values, principles, strengths and limitations. Throughout Dr. X s medical and leadership career, he has consistently articulated his own values, assumptions and beliefs in his practice (as demonstrated in the attached resume). In Dr. X s 60 report, colleagues indicated that he consistently acts in accordance with his own personal values and beliefs system. Indeed, two people commented that this is clearly a strength of his leadership. The LEADS 60 and feedback from Dr. X s direct reports, peers and CEO indicate that, when speaking publicly (see Manage oneself below), he can show greater passion or energy for his work. An action plan to address this observation has been established. Manage oneself He/she takes responsibility for his/her own performance and health. Dr. Y has developed and articulated a personal vision/mission statement to express her commitment to the personal, organizational and system changes required to move our Canadian health system forward. Peers and direct reports indicated on Dr. Y s 60 that she has consistently modeled a healthy life style (physical, mental, spiritual) as an example for others. Hiking, cycling and working out are part of her personal regimen despite a very busy professional life in clinical practice and administration. Her weakness is not being able to say no and overextending herself. Comments on Dr. Y s 60 (particularly from direct reports and one fellow senior leader) reveal that she is very good at controlling her own emotions in meetings sometimes to the extent that people question the passion and enthusiasm she expresses for the collective work of the team. As a consequence, Dr. Y plans to work on expressing genuine enthusiasm more effectively in meetings.
3 Develop oneself He/she actively seeks opportunities and challenges for personal learning, character building and growth. Dr. X s track record in career development from family physician to VP Medical in a large health authority demonstrates a willingness to participate in educational opportunities, as well as, an ability to learn from experience in the workplace. This commitment is also demonstrated by Dr. X s completion of all PMIs required for the CCPE application. Dr. X s commitment to the ongoing use of the LEADS 60 and his dialogue with staff to discuss the results of the most recent 60 is noteworthy and indicates his willingness to actively seek feedback from others. Dr. X has embarked on a self development regimen by hiring an executive coach to assist with a personal learning plan that has been developed based on the 60 report and his performance review with the CEO. Dr. X shares his learning plan with others and, where appropriate, engages them in the learning process. Demonstrate character He/she models qualities, such as honesty, integrity, resilience and confidence. Dr. Y s 60 results suggest that direct reports, peers and the CEO believe that she has a strong commitment to compassion and caring for the health of patients and citizens in our health authority. Throughout Dr. Y s career, she has received feedback from other physicians and from employees and has listened to their input and has made decisions that empathize with their needs. On a couple of occasions, Dr. Y has taken a stand on principle (which took courage) often a consequence of her strong commitment to high quality patient care. ENGAGE OTHERS DOMAIN: THIS DOMAIN FOCUSES ON THE CAPABILITIES LEADERS USE TO ENGAGE AND CONNECT OTHERS TO EACH OTHER AND TO ORGANIZATIONAL IMPERATIVES. THEY DO THIS BY FOSTERING LEARNING, EMPHASIZING HEALTH AND WELLNESS, BUILDING INTER PROFESSIONAL TEAMS AND COMMUNICATING EFFECTIVELY TO ENGAGE OTHERS IN COLLECTIVE ORGANIZATIONAL ACTION. LEADERSHIP CAPABILITY No opinion N/O Developing Mature Distinguished Mastery Foster the development of others The candidate supports and challenges others to achieve professional and personal goals.
4 Dr. X continues to meet (at least once per year) with direct reports to review their personal and professional goals and to discuss their career plans. Dr. X has encouraged direct reports to develop personal learning plans based on their development needs relative to their performance reviews and expects them to complete those plans. Dr. X is currently mentoring two aspiring managers one in my department and one in another department in my health authority. Dr. X s 60 results suggested that direct reports perceive him as supportive of their own development. Also, he has formally allocated professional development funds within the team budget and under the tutelage of a direct report; he developed a process to access these funds fairly. Contribute to the creation of healthy organizations He/she creates engaging environments where others have meaningful opportunities to contribute and ensures that resources are available to fulfill their expected responsibilities. In Dr. Y s previous role, she championed and led efforts within our health authority to improve hand washing to minimize infections. Significant improvements were noted. Dr. Y is a member of a high policy group within our health authority established under the auspices of HR that is aimed at developing policies (through engagement of staff) to enhance wellness, safety and work flexibility initiatives across the authority and to ensure appropriate measures are in place to protect employees from physical and/or emotional damage. Our department scores on workplace engagement are at or above the regional average scores suggest that staff do feel they can carry out their responsibilities effectively. This is an area of growth within our department for which Dr. Y is championing an action plan for improvement. Communicate effectively: He/she listens well and encourages open exchange of information and ideas using appropriate communication media. Dr. X s 60 results indicated that direct reports and peers perceive him as listening actively to others and demonstrating respect for their opinions. Dr. X utilizes technology effectively ( , PowerPoint presentations, website/group that is a community of practice on quality and safety) to communicate with others in my department regarding clinical quality and safety. Dr. X is often called on to act as a spokesperson for our health authority on issues of quality of medical care at provincial or national conferences and in community meetings. However, direct reports and peers noted (a couple of comments on the 60) that Dr. X could speak with a little more passion or enthusiasm. Dr. X has joined toastmasters to improve his public speaking ability as a result.
5 Build teams He/she facilitates environments of collaboration and cooperation to achieve results. Dr. Y has been actively involved in interdisciplinary teams aimed at improving patient care, in many different roles. Dr. Y established a family practice inpatient unit based on team management with nurse practitioners, which was a first developed at the university hospital and which later grew as an effective model in all our regional hospitals. According to Dr. Y s 60, she supports interdisciplinary teamwork as a key element in implementing changes in her department. ACHIEVE RESULTS DOMAIN: AS THE ONLY OUTCOME DOMAIN, THIS REPRESENTS THE RESULTS FOCUS OF PERSONAL AND STRATEGIC LEADERSHIP. GOAL ORIENTED LEADERS ARE ACCOUNTABLE FOR MANAGING THE RESOURCES OF THE ORGANIZATION TO ACHIEVE RESULTS. THEY CREATE STRATEGIC FOCUS AND MEASURE PERFORMANCE TO ENSURE THAT THE ORGANIZATION USES ITS RESOURCES EFFICIENTLY AND EFFECTIVELY. LEADERSHIP CAPABILITY No opinion N/O Developing Mature Distinguished Mastery Set direction The candidate inspires vision by identifying, establishing and communicating clear and meaningful expectations and outcomes. Dr. X developed a strategic plan for quality and safety in his former health region. Much of what was planned had been achieved before he moved to this current role. As VP medicine, Dr. X is currently chairing a high profile working group within the health authority that is dedicated to improving our quality outcomes, which is part of our strategic directions. Dr. X encourages active involvement of physicians and other clinicians in their area of responsibility by employing exercises dedicated to creating and understanding our health authority s vision and strategic priorities. Strategically align decisions with vision, values and evidence He/she integrates organizational missions, values and reliable, valid evidence to make 5
6 decisions. Dr. Y is a graduate of the EXTRA program and, since completing that program, she has insisted that all decisions made regarding departmental changes have a solid evidence base. Dr. Y s 60 ensures and confirms regularly that direct reports feel the values of the organization are front and foremost in departmental decision making processes. With Dr. Y s support, the senior executive team has adopted a practice in which all proposals submitted must outline the options for decision making and show the impact of those options on the organizational values of compassion, respect and accountability. Again, this has been adopted in two other health authorities. Take action to implement decisions He/she acts in a manner consistent with organizational values to yield effective, efficient public-centered service. Dr. X continues to use and champion quality improvement methods, such as PDSA cycles and LEAN, to improve quality and efficiency of service to patients and clients. Our organizational values are compassion, respect and accountability. As part of the regional quality and safety initiatives across all institutions in the region action plans are ongoing and have been founded on these values. As part of our annual planning process, Dr. X requires that each department demonstrate how organizational values are embedded in role specific business plans, goals and objectives of the department. Assess and evaluate He/she measures and evaluates outcomes. He/she hold him/herself and others accountable for results achieved against benchmarks and corrects the course as appropriate. Dr. Y has championed the use of the balanced scorecard approach in our health authority to monitor achievement of our strategic priorities in the region and, in particular, to our quality and safety initiatives. In our department, each unit is expected to create performance measures that reflect yearly achievements. Dr. Y has given several talks regarding this topic at conferences, including CMA s national leadership conference two years ago (for which the topic was measuring results of effective management of clinical quality improvement). 6
7 DEVELOP COALITIONS DOMAIN: THIS PROCESS DOMAIN EMBODIES THE CAPABILITIES USED IN BUILDING RELATIONSHIPS AT A STRATEGIC LEVEL THROUGH THE CREATION OF PARTNERSHIPS AND NETWORKS TO CREATE RESULTS. LEADERSHIP CAPABILITY No opinion N/O Developing Mature Distinguished Mastery Purposefully build partnerships and networks to create results The candidate creates connections, trust and shared meaning with individuals and groups. Dr. X helped establish projects and initiatives aimed at specific aspects of patient safety that were endemic at the time (e.g., SARS). Dr. X is currently serving on a working group that was established by our provincial medical association to look into appropriate leadership development for our members. Dr. X led the exploration of quality as a business strategy for our region and two other regions in our province and sits on the Provincial Quality and Safety Council committee on Standards. Demonstrate a commitment to customers and service He/she facilitates collaboration, cooperation and coalitions among diverse groups and perspectives aimed at learning to improve service. Dr. Y was responsible, as part of our strategic planning effort, for engaging the region s Medical Advisory Group and for helping to shape and endorse the plan; also brokered the support of the provincial association. Dr. Y consistently brings forward and examines the views of stakeholders and interest groups as we consider major changes to service delivery. All of our quality programs monitor community/customer perceptions of quality from their perspective, and we use this information to improve service accordingly. Mobilize knowledge He/she employs methods to gather intelligence, encourage open exchange of information and use quality evidence to 7
8 influence action across the system. Our initiatives re quality and patient safety are informed by the formal partnerships we have developed with the Canadian Patient Safety Institute and the Centre for Innovation at the Faculty of Health Sciences at the local university. These partnerships are aimed at facilitating an exchange of knowledge and expertise re cutting edge research on quality and patient safety and on how best to implement such programs. As mentioned earlier, Dr. X is part of a provincial website/group that is a community of practice on quality and safety, sponsored by the provincial quality and safety council, as part of its quality initiative. Dr. X uses this group to access knowledge and evidence for our internal work in my health authority. The relationships he has built with people in similar roles creates a sense of trust in terms of provincial directions re quality and patient safety. Dr. X attends (and has presented) the IHI conference in the United States every two years (for the past six years) to keep up to speed with emerging knowledge and research re quality and safety in the U.S. Navigate socio-political environments He/she is politically astute. He/she negotiates through conflict and mobilize support. Dr. Y was responsible for maintaining relationships with the local nurses union during a particularly bitter labour stoppage. Her efforts were deemed to have helped keep the organization stable during the labour unrest. Dr. Y is effective in understanding the political forces that create both threats and opportunities for the achievement of our health authority s strategic plan in particular; her strong relationships with key people in the CMA and in the provincial ministry have helped our agenda. Dr. Y continues to manage conflict/disruptive behaviour as department head, and now as VP, in a way that allows individuals to maintain their dignity. SYSTEMS TRANSFORMATION DOMAIN: THIS PROCESS DOMAIN EMBODIES THE SET OF CAPABILITIES LEADERS EMPLOY TO ADDRESS CHANGE IN BOTH SMALL AND LARGE SYSTEMS. THESE STRATEGIC CAPABILITIES ARE OFTEN REFERRED TO AS LEADERSHIP AT A DISTANCE. LEADERSHIP CAPABILITY No opinion N/O Developing Mature Distinguished Mastery Demonstrate systems/critical thinking The candidate thinks analytically and conceptually, questioning and challenging the status quo, to identify issues, solve problems and design and implement effective processes across systems and stakeholders. 8
9 Dr. X is actively engaged in strategic planning for the hospital. At executive team meetings, he consistently and respectfully insists on examining the impact of major changes, e.g., budget cuts, new initiatives, from the perspective of stakeholders in our region, patients and, of course, our community interface. Dr. X has frequently been asked to speak to other executive teams, or at conferences, about approaches to systems thinking and change in large hospitals. In his previous career as medical director of the orthopedic unit in my hospital, he championed a project to coordinate and rationalize services with another hospital in our region. Encourage and support innovation He/she creates a climate of continuous improvement and creativity aimed at systemic change. Each meeting of our management team devotes a place on the agenda for a discussion of the need for innovation in our areas of responsibility. On occasion, other managers throughout the organization have sought advice from Dr. Y on how to promote a climate of change and innovation. Dr. Y supports and encourages management staff to propose innovative ideas for consideration and to solicit ideas from their staff. Throughout Dr. Y s career she has gravitated toward positions and responsibilities that have demanded an innovative approach to be successful. Orient oneself strategically to the future He/she scans the environment for ideas, best practices and emerging trends that will shape the system. Our management team scans the environment for relevant articles and papers that reflect trends in clinical care, especially as it pertains to new models of patient centered care. On occasion, but not as regular as we might, we share and discuss important findings to determine their implications for us. Dr. X attends the CSPE/CMA conference each year to gain first hand knowledge about new trends in leadership and health transformation. Also, as mentioned earlier under Develop coalitions, he frequents IHI conferences. Dr. X is aware of, and advocates, where possible, the CMA s transformation agenda, but more activity is encouraged. Champion and orchestrate change He/she actively contributes to change processes that improve health service delivery. 9
10 Throughout Dr. Y s career, she has taken numerous courses on how to conduct change; most recently courses from IHI re large scale change. She regularly champions the use of tools such as LEAN and Six Sigma to challenge existing clinical practices. She advocates and participates in methods that support their implementation and that give managers and staff a voice in the change process. Dr. Y engages staff in change processes, attends and encourages the management team do to so also so that they may engage with staff to know better their concerns and needs. Dr. Y has commented that she would like to learn more about complexity theory and models of change that are relevant and how an executive team member can best act to support change. MORE ASSISTANCE REQUIRED? Contact the CCPE Secretariat c/o Leadership and Professional Development Canadian Medical Association Telephone: x070 or , x070 Fax: ccpe@cma.ca 0
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