Description of the Procedure for External Feedback organised by the European CAF Resource Centre I. II. III. The CAF External Feedback Procedure (PEF) Application for the CAF External Feedback Procedure How the CAF External Feedback Procedure works This brochure describes the role of the European CAF Resource Centre as organiser of the PEF as a replacement of a National Organiser. A more detailed brochure on the PEF procedure based on the organisation by a National Organiser is available in English and several other languages at www.eipa.eu/caf - CAF External Feedback. Maastricht, July 2017
Abbreviations/Definitions EIPA CAF EU CAF RC CAF NC PEF CAF NO EFAC ECU or CAF Label EU MS EFQM European Institute of Public Administration www.eipa.eu Common Assessment Framework www.eipa.eu/caf European CAF Resource Centre hosted and supported by EIPA Maastricht CAF National Correspondents Network of national CAF representatives www.eipa.eu/caf (CAF National Correspondents) External Feedback Procedure www.eipa.eu/caf (CAF External Feedback) CAF National Organiser of the External Feedback Procedure www.eipa.eu/caf (CAF External Feedback) External Feedback Actor Evaluator in the PEF Effective CAF User (label) label and diploma awarded upon positive outcome of the PEF EU Member States European Foundation for Quality Management www.efqm.org 2
I. The CAF External Feedback Procedure To enable public sector organisations applying CAF to see the results of their efforts and to obtain feedback, the CAF External Feedback Procedure provides external feedback on the introduction of total quality management with CAF. This feedback relates not only to the self-assessment process, but also to the way forward chosen by organisations in order to attain excellence in the end, and is based upon the fundamental concepts of excellence. The objectives of the CAF External Feedback Procedure In relation to the nature of the needs and the kind of demands expressed by many CAF users in different EU Member States, the European CAF External Feedback aims to achieve the following objectives: 1. Support the quality of the CAF implementation and its impact on the organisation. 2. Find out if the organisation is installing TQM values as the result of the CAF application. 3. Support and renew enthusiasm in the organisation for continuous improvement. 4. Promote peer review and bench learning. 5. Reward organisations that have started the journey towards continuous improvement to achieve excellence in an effective way, without judging their obtained level of excellence. 6. Facilitate the participation of CAF users in the EFQM Levels of Excellence. To that end, the CAF External Feedback Procedure (PEF) is built upon three pillars. Pillar 1: The process of self-assessment The quality of the self-assessment serves as a basis for the success of future improvements. In the first pillar of the CAF External Feedback, the quality of the self-assessment process is central. A questionnaire has been developed to assess the quality of the different steps in the self-assessment process. All these steps are translated into specific actions and evaluated by the CAF External Feedback Actors, recognising the ability to make an effective and well-planned selfassessment and not aiming to validate the scores given in the CAF self-assessment. Pillar 2: The process of improvement actions The next important element in an effective CAF implementation is acting upon the results from the self-assessment. Suggestions for improvement need to be prioritised and translated into an improvement plan that will be carried out within a maximum timeframe of two years. The corresponding questionnaire in this second pillar of the CAF External Feedback Procedure covers the planning and the process of improvement and is not meant for assessing the results of the improvement actions. As in Pillar 1, all these steps are translated into specific actions and are evaluated against a simple evaluation scale. Pillar 3: The TQM maturity of the organisation (the broader scope of excellence) One of the aims of the CAF model is to guide public sector organisations closer towards the important values of Total Quality Management. By applying the CAF model, these values should over time become part of the culture of the organisation. The questionnaire for TQM Assessment Maturity is therefore based on the eight Fundamental Concepts of Excellence. The evaluation concerns the maturity level achieved by the organisation as a result of the self-assessment and the improvement process. 3
The Effective CAF User Label truly brings benefit to the use of the CAF and to its users. Public sector organisations want to see the results of all their efforts and require feedback. This CAF External Feedback by peers and experts will help organisations take the next steps on their quality management journey towards making their efforts visible internally and externally. II. Application for the CAF External Feedback Procedure The general common guidelines for the CAF External Feedback are available at www.eipa.eu/caf - CAF External Feedback. By following these guidelines, EU Member States and the European CAF Resource Centre (EU CAF RC) are able to guarantee that the CAF External Feedback Procedures are organised in a consise and qualitative way and that consequently the Effective CAF User Label continues to represent a high standard across the European Union. The role of the European CAF Resource Centre The EU CAF RC at EIPA supports the EU Member States (EU MS) in the implementation of the CAF External Feedback Procedure (PEF) through a number of initiatives: promoting the CAF External Feedback at European level, introducing the CAF National Correspondent s (CAF NC's) to this procedure, offering a common European training scheme for CAF External Feedback Actor's (CAF EFAC s), and coordinating support for Member States that do not have a CAF NC and/or CAF NO. Furthermore, the EU CAF RC, in cooperation with the network of CAF NC s, organises the implementation of the CAF External Feedback Procedure in the following cases: for CAF users from EU Member States without a CAF NC for CAF user from outside the European Union for CAF user from European or international organisations To that end, the EU CAF RC establishes a pool of European EFACs in consultation with the CAF NC s / NO s The role of National Organisers The CAF National Organiser (CAF NO) is appointed at national level to be in charge of the implementation of the CAF External Feedback in the country. The NO selects a core group of CAF External Feedback Actors (EFACs) (the evaluators). The role of National Correspondent CAF users from EU Member States that are represented by a CAF NC but without a CAF NO (yet), are invited to contact their CAF NC who then contacts a colleague CAF NC from a country with a CAF NO (e.g. a neighbouring country) for the implementation of the procedure. The CAF External Feedback is delivered according to the rules/procedures/agreements of the country of the CAF NO. The result is communicated to the CAF Users NC and the EU CAF RC who keeps track of awarded Effective CAF Users Labels. Roles, tasks and profile of the CAF External Feedback Actor The CAF External Feedback Actors (CAF EFAC) play a crucial role in the CAF External Feedback Procedure. The main tasks of the CAF EFACs are: 1. to analyse the implementation of CAF through the process of self-assessment and improvement actions and to analyse whether the organisation is installing TQM values; 2. to provide feedback and suggestions on strengths and areas of improvement regarding the process of CAF implementation; 3. to support and renew enthusiasm in the organisation to work with holistic quality development and self-assessment with the CAF Model. An EFAC requires a balance of personal and professional skills, coupled with commitment to timely and appropriate conduct. The EFAC must have participated in the European or national training course to become a EFAC. The Effective CAF User Label The institution organising the procedure (either the EU CAF RC or the CAF NO) will award the Effective CAF User Label. The Effective CAF User Label expires after two years and may be renewed after a new self-assessment based on CAF, followed by a new application for the label. 4
If the organisation is not awarded the Effective CAF User Label, it may apply again after completing a new self-assessment based on CAF. Costs The underlying principle of the CAF External Feedback Procedure is that organisations can make use of it at minimum costs. The institution organising the procedure will inform the applicant organisation on the financial conditions of the procedure. In the next chapter under Phase 1, Step 4, the costs that the EU CAF RC calculates are furher defined. Conditions for application Every public organisation using CAF can apply for the CAF External Feedback under the following two conditions: 1. The application should be made between 6 and 12 months after the CAF self-assessment has taken place and the selfassessment report has been concluded and delivered. 2. The organisation should register, or is registered, as a CAF user in the online European database of CAF users, hosted by the EU CAF RC at caf.eipa.eu The CAF External Feedback Procedure is organised by either the EU CAF RC or a National Organiser. The following scheme defines who the applicant organisation should contact to start-up the procedure: Applicant organisation from an EU MS or Norway? Applicant organisation is not an EU MS or an international or European Organisation/Institution/ Agency? contact the relevant CAF NO directly, or in case there is no CAF NO for your country, contact your CAF NC who will assist in liaising with another CAF NO. In case your country is not represented by a CAF NO nor a CAF NC, contact the EU CAF RC contact the EU CAF RC list of National Organisers list of National Correspondents 5
III. How the CAF External Feedback Procedure works Phase 1: Application for the CAF External Feedback Procedure In this first phase, preparations are made for the actual feedback process. In this phase, the actors are the applicant organisation on the one hand and the EU CAF RC on the other hand. Four different steps need to be taken in this phase. STEP 1. The candidate public organisation contacts the EU CAF RC to request CAF External Feedback. To that end, it submits Application form (Appendix 4 of the PEF Brochure*) confirming its fulfilment of the two requirements. * A detailed brochure on the PEF is available in English and several other languages at www.eipa.eu/caf - CAF External Feedback. STEP 2. The EU CAF RC while confirming receipt of application sends a complete information package (brochure) and invites the applicant to submit: 1. a short presentation of the organisation; 2. a brief description of the CAF self-assessment process; 3. the last self-assessment report(s) presented to the management; 4. the action plan(s) for implementation of improvements. STEP 3. The applicant completes the requested information and returns it to the EU CAF RC in order to proceed towards the actual CAF External Feedback (Phase 2). STEP 4. Once the required documents have been received by the EU CAF RC, the applicant organisation will receive a written acknowledgement thereby signalling that the feedback procedure can start and confirming the (financial) conditions: a. A total fee of 1500 consisting of 500 for the intervention of the EU CAF RC on the one hand and 500 for each of the two EFAC s on the other hand. EIPA will send an invoice to the applicant organisation for the total amount that is to be paid upon receipt. b. Reimbursement of travel and subsistence costs of the two EFAC s The settlement of travel and subsistence costs is dealt with directly between the applicant organisation and the two EFAC s. Phase 2: Providing the Feedback After the applicant organisation has fulfilled all the requirements in the first phase, the actual feedback procedure is launched in Phase 2. This phase consists of six major steps and involves three different actors: the applicant organisation the EU CAF RC the CAF External Feedback Actors These EFAC s are the persons who will judge the CAF assessment and its impact on the organisation and provide the organisation with useful feedback. 6
STEP 1. The EU CAF RC will designate two CAF External Feedback Actors. STEP 2. The EU CAF RC informs the applicant organisation of the CAF External Feedback Actors in charge and sends the three CAF External Feedback questionnaires (Appendix 1 of the PEF Brochure*). The applicant organisation is invited to complete the three questionnaires based on its own judgement and to submit them to the designated EFAC s and to the EU CAF RC: 1. Questionnaire on the CAF self-assessment process; 2. Questionnaire on the improvement process; 3. Questionnaire on TQM Maturity. * A detailed brochure on the PEF is available in English and several other languages at www.eipa.eu/caf - CAF External Feedback. STEP 3. The EFAC s will analyse the questionnaires submitted by the applicant organisation. STEP 4. Preparation of site visit: The EFAC s inform the organisation through an introductory meeting, common seminars or multimedia contacts on the main purpose of the site visit, in order to align expectations and decide upon the amount of documentation necessary and which persons, institutions and groups the EFAC s wish to have participate in interviews and workshops during the site visit. Part of this communication is to discuss the main themes and challenges of particular importance during the actual site visit. All participants in the CAF External Feedback should be aware of what they need to do to prepare for the site visit. The applicant organisation arranges travel and accommodation for the two EFAC s (and/or mutually agree with the EFAC s to reimburse these costs to them). STEP 5. The site visit lasts a maximum of two days, depending on the type, size and complexity of the applicant organisation. The EFAC s examine whether the organisation has implemented the CAF model effectively: a. They analyse the quality of the self-assessment process, using the answers to the process questionnaire as a starting point for discussions (steps 1 to 6 of the CAF guidelines) with different participants of the self-assessment process than the person(s) who completed the questionnaire. b. They then discuss the drafting, communication and implementation of the improvement process, based on the answers to the improvement plan questionnaire (steps 7 to 9 of the CAF guidelines), with a number of people involved in this process. c. In order to evaluate the extent to which a TQM culture has been installed, different stakeholders will be interviewed, based upon the questionnaire on TQM Maturity. d. The CAF External Feedback Actors provide the organisation with an initial verbal impression of their findings. STEP 6. Based on all the information gathered before and during the site visit, the EFAC s prepare a feedback report within one month. They then submit this report to the EU CAF RC together with a recommendation as to whether or not the applicant organisation qualifies for the Effective CAF User Label (a template of the feedback report is included as Annex 3 to the general CAF External Feedback brochure available at www.eipa.eu/caf - CAF External Feedback 7
Phase 3: Decision/Designation of Effective CAF User Label STEP 1. The EU CAF RC makes the final decision based on the report/recommendation of the CAF External Feedback Actors. STEP 2. The EU CAF RC sends the feedback report together with the decision to the applicant organisation. The organisation cannot appeal against the decision. STEP 3. In the case of a positive decision, the applicant organisation receives the Effective CAF User Label in a timely manner. STEP 4. The EU CAF RC publishes the information (receipt of the label and date) in the online European database of CAF Users. The EU CAF RC settles the payment of the fee with the two EFAC s. 8