ORGANIZATIONAL ASSESSMENT AND IMPROVEMENT IN THE PUBLIC SECTOR

Transcription

1 American Society for Public Administration Series in Public Administration and Public Policy ORGANIZATIONAL ASSESSMENT AND IMPROVEMENT IN THE PUBLIC SECTOR KATHLEEN M. IMMORDINO Uag?\ CRC Press \ V^ J Taylor & Francis Croup ^""-^ Boca Raton London New York CRC Press is an imprint of the Taylor & Francis Group, an Informa business

2 Contents Prologue Foreword Acknowledgments About the Author xiii xvii xxi xxiii 1 Organizational Assessment and the Public Sector 1 The Demand for Effectiveness and Efficiency 3 Organizational Assessment 6 What Is Organizational Assessment? 7 Assessment and Organizational Development 10 How Does Assessment Work? 11 Stage 1: Understanding the Current State of the Organization 13 Information Collection and Exchange 14 Stage 2: Visioning and Gap Analysis 14 Stage 3: Improvement Planning and Prioritization 14 Stage 4: Outcomes and Feedback 15 Challenges in-public Sector Assessment and Improvement 16 Dealing with Public Perceptions of Bureaucracy 16 Understanding the Complex Nature of Government Service 16 Lack of Control over the Inputs 17 Balancing Competing Perspectives 18 Consequences for Poor Performance 19 A Culture of Risk Aversion 19 / The Public Nature of Work, Successes, and Failures 19 Reconciling the Priorities of Elected Officials and Career Staff. 19 Opportunities in Public Sector Assessment 21 Focusing Attention on the Organization, Not the Discipline 21 Creating a Basis for Improvement 22 Providing Ways to Measure Success: Defining Success Factors and Measuring Results 22 Creating Awareness about Effective Practices in Other Sectors 23 v

3 vi Contents The Role of Constituents and Beneficiaries in the Assessment Process 23 Summary 25 Notes 25 Assessment as a Communication Process 27 Communication Processes in Self-Assessment 29 Communication Process 1: Creation of a Common Language 29 Providing a Common Language to Talk about the Organization 31 The Vocabulary of Assessment and Continuous Improvement 34 Communication Process 2: Information Collection and Exchange 35 The Importance of People in the Information Collection Process 36 Communication Process 3: Negotiation and Consensus-Building 39 Communication Process 4: Communicating Assessment Outcomes 41 Communication as a Subject of Assessment 44 Summary 45 Notes 45 Applying Assessment Practices in the Public Sector 47 Current State of Assessment in Government and How It Has Developed over Time 50 Internal and External Audit Functions 52 Performance Measurement 52 The Government Performance and Results Act 54 ' Performance Assessment Rating Tool 55 Balanced Scorecard 56 Structured Self-Assessment Models 58 Baldrige National Quality Award and Criteria for Performance Excellence '. 58 Adapting the Baldrige Award Program 62 Baldrige-Based State Award Programs 63 Baldrige-Based Federal Award Programs The President's Quality Award 65 Adapting Existing Assessment Processes for the Public Sector Assessment '. 66 Customers and Constituents: A Lesson in Semantics 67 Examining Results and Outcomes 68

4 Contents vii State Quality Awards 69 Summary 71 Notes 71 The Public Sector Assessment and Improvement Model 73 Structure..74 Organizational Profile 76 Organizational Purpose 76 Structure 77 Demographics 77 The Human Factor Group: Interpersonal and Communication Competence \ 77 Category 1: Leadership 77 Leadership Elements 79 Leadership Structure and Practices 79 Ethical Leadership 80 Category 2: Constituents 80 Constituent Elements 82 Identifying Constituents 82 Assessing Constituent Needs, Expectations, and Satisfaction 82 Building Constituent Relationships 83 Category 3: Workforce 84 Workforce Focus Elements 85 Workforce Planning 85 Performance Assessment and Recognition 86 Learning and Professional Development 86 Workplace Climate 87 The Operational Factors: Enabling the Work of the Organization 87 Category 4: Strategic Planning 87 Strategic Planning Elements 88 Strategic Plan Development 88 Implementing the Strategic Plan 89 Category 5: Measurement and Analysis 90 Dashboards 91 Measurement and Analysis Elements 92 Information 92 Performance Measurement 93 Benchmarking 93 Category 6: Programs and Processes 93 Programs and Processes 95 Core Programs, Services, and Processes 95 Administrative Support Processes 96

5 viii "Contents Category 7: Results 96 Results 97 Performance Measures and Results 97 Assessment: Applying the Information Learned 98 Stage 1, 98 Stage 2 98 Staged 100 Stage Notes Implementing a Self-Assessment Program 101 Step 1: Preparing for an Assessment 102 Determining Readiness for Assessment 103 Leadership Support 103 Workforce Climate 104 Timing and Agency Priorities 105 Planning the Implementation 106 Identify the Scope of the Assessment 108 Select a Model 109 Choosing an Implementation Method 110 Balancing the Available Time Frame with the Available Resources 110 Comparison of Methods 112 Decide Whether and How to Use Facilitators 115 Identify and Train the Participants 117 Communicate the Plans for the Assessment 118 Keys to Success 118 Get People to Believe in the Concept and Process, Not the Label or Name 118, Create Realistic Expectations 119 Find a Champion 119 Pay Attention to Participant Demographics 119 Use This as an Opportunity for Political and Career Staff to Learn from Each Other 119 Step 2: Conducting the Assessment Process 120 Compiling an Organizational Profile 120 Structure 120 Staffing 120 Select Appropriate Benchmarking Partners 121 Communicate Progress 121 Keys to Success 121 Capture Organizational Stories 121

6 Contents ix Create an Environment Where There Is a Willingness to Challenge Information 122 Do Not Lose Sight of the Positive 122 Use Participants as Ambassadors for What You Are Doing 122 Step 3: Following Through on Outcomes 122 Identify Steps for Further Action 123 Follow-Up Interviews 123 Plan to Repeat the Process 123 Keys to Success 123 Make Use of Process Experts 123 Share and Educate 124 Summary.' 124 Notes 125 Assessment, Improvement, and the Process of Organizational Change 127 Change Efforts in the Public Sector 129 Identifying Barriers to Change 130 Individual Resistance to Change Seeing Agencies as Systems 130 External Drivers of Change in Government 131 Change in Administration 131 New Mandates 132 External or Constituent Advocacy 132 Crises and Emergencies 132 The Process of Organizational Change 133 Understanding the Scope of Change 135 Organizational Learning and Personal Learning: Creating an Internal Case for Change 139 The Role of Organizational and Personal Learning in Communicating the Need for Change 142 Creating an External Case for Change: Constituent Involvement 143 Using Assessment Outcomes to Implement Improvement 145 Summary 146 Notes 147 Case Studies and Best Practices in Assessing Public Sector Organizations 149 Case Studies 150 Federal Government: U.S. Army Armament Research, Development and Engineering Center 150 State Government: The New Jersey Department of Environmental Protection 156

7 Contents Challenges Faced 160 Lessons Learned 161 Local Government: Coral Springs, Florida 2007 Baldrige National Quality Award (nonprofit category) 163 Challenges 167 Lessons Learned 168 Summary 170 Notes The Future of Assessment 173 The Need to Identify and Disseminate Best Practices in Government Assessment 174 The Need for Continued Adaptation of Assessment Models 176 Identifying Tools That Facilitate Assessment Processes 177 Finding New Ways to Encourage Governments to Participate and to Engage Their Staff. 177 Increased Recognition of the Role of Constituents in Assessment 178 Linking Assessment Processes to Strategic Planning and Budgeting 178 Finding Ways to Sustain a Culture of Assessment That Do Not Rely on a Single Champion 179 Conclusion 179 Appendix A: The Public Sector Assessment and Improvement Model 181 Organizational Profile 181 Organizational Purpose 181 Structure 182 Demographics 182 Human Factors 182 Category 1: Leadership 182 Leadership Structure and Practices 182 Ethical Leadership 183 Category 2: Constituents 183 Identifying Constituents 183 Assessing Constituent Needs, Expectations, and Satisfaction 183 Building Constituent Relationships 184 Category 3: Workforce Focus 184 Workforce Planning 184 Performance Assessment and Recognition 185 Learning and Professional Development 185 Workplace Climate 185 Operational Factors 186 Category 4: Strategic Planning 186

8 Contents xi Strategic Plan Development 186 Implementing the Strategic Plan 187 Category 5: Measurement and Analysis 187 Information 187 Performance Measurement 187 Benchmarking 188 Category 6: Programs and Processes 188 Core Programs, Services, and Processes 188 Administrative Support Processes 188 Category 7: Results 189 Performance Measures and Results 189 Appendix B: The Public Sector Assessment and Improvement Model Short Form 191 Human Factors 192 Leadership 192 Constituents 192 Workforce 193 Strategic Planning, 194 Measurement and Analysis 194 Programs and Processes 195 Outcomes 196 Appendix C: Exercises 197 Chapter 1: Organizational Assessment and the Public Sector 197 Chapter 2: Assessment as a Communication Process 197 Chapter 3: Applying Assessment Practices in the Public Sector 198 Chapter 4: The Public Sector Assessment and Improvement Model 198 Chapter 5: Implementing a Self-Assessment Program 198 Chapter 6: Assessment, Improvement, and the Process of Organizational Change 198 Chapter 7: Case Studies and Best Practices 199 Appendix D: Tools for Organizational Change Efforts 201 Assessing Organizational Identity 201 Glossary 205 Assessment Resources: Websites 208 Bibliography 211 Interviews 218 Correspondence 219 Webcast 219 Index 221