Capacity Self-Assessment as a management tool for organisational development planning A model used for the Ministry of Foreign

Affairs and European Integration, Republic of Moldova,

Within the UNDP Moldova Project “"Building Institutional Capacity of the Ministry of Foreign Affairs and European Integration"

The Objectives

To develop greater understanding of the use of self-assessment benchmarking for managers to identify priorities for capacity development;

To explain the process and benefits of self-assessment;

To introduce the Common Assessment Framework (CAF) as the recommended instrument.

Suggested toolkit The Common Assessment Framework

(CAF) for self-assessment of existing capacity by management (MFA Directors & Stakeholders);

A Strategic Framework to integrate vital priority areas for improvement (V-AFIs) into Strategic Plans and Annual Operational /Work-Plans;

M&E of progress by benchmarking continuous improvement through further CAF assessments at 6 monthly intervals;

Why Self-Assess against the Common Assessment Framework (CAF) Model

Widely used:– High level of international credibility– Comprehensive basis for strategy and benchmarking;

Simple structure and language– Strengths and Areas for Improvement– Methodology to review progress (benchmarking)– Enables Ministry Departments to share best practice– Basis for priority action planning;

Pragmatic– Flexible in approach– Interpret for areas of relevance to individual parts of

system or Departments.

The Simple Model

People

Processes

Results

Achieve better results through involvement of all employees (across

all Divisions) in continuous improvement of their processes

Self-Assessment Comprehensive, systematic review

– Drives continuous improvement– Increases awareness of quality management;

Highlights strengths and identifies many areas for improvement (AFIs) across the model;

Basis for comparisons & best practice; Not just about a score! (But score is good for

benchmarking); More about identifying and prioritising Areas

for Improvement (to inform strategy); ‘Vital Few’ priority AFIs provide a strategic

framework for an organisational development programme.

Carrying out Self-AssessmentPlan and Prepare for

Self-Assessment

Collect Views, Informationand Data on Where We are Now

Develop and Implement Actionson these Opportunities (and ensure

inclusion in new Annual Departmental Action Plans)

Identify the PriorityOpportunities (and ensure inclusion in

Plans)

Identify Strengths and Areasfor Further Improvement

Review and Repeat to benchmark improvements

(half-yearly)

Benefits of Self-Assessment (1) An objective assessment against credible

and internationally proven criteria; An assessment based on evidence; A continuous improvement process, rather

than a single shot, giving a measure of progress over time;

An opportunity to focus improvement where it is most needed, but in a systemic way;

A means to focus priorities for a continuous improvement / organisational development programme (and thus present a coherent proposal for funding / budget).

Benefits of Self-Assessment (2) An opportunity to promote sharing of

good, effective approaches across government;

An opportunity to recognise both progress and lack of progress where necessary;

An opportunity to compare yourselves with other organisations and identify world class approaches if desired;

An opportunity for management and employees to LEARN what works (at all levels of the system).

Used Approach to Self-Assessment

Workshop for Common Assessment Framework (1.5 days);

Start with high level Ministry workshop to agree institutional capacity building priorities;

Pro-formas and questionnaires for all CAF model criteria provided;

AFIs will further inform Strategic Plans and ‘Vital Few’ will inform capacity development programme work-plan;

Virtuous Circle for Continuous ImprovementSelf

Assessment

Actions

to achieve Further

Improvement

Strengths and Areas

for Improvement

Improved

Results

Pro-formas (one for each of 27 sub-criteria)

Areas to Address

Description of Criterion & Sub-Criterion

List of best practice descriptions

From CAF Pro-formas (27 sub-criteria)

How we assess ourselves against these descriptions:

Strengths

In context of good established practice and processes

Areas for Improvement

In context of not so good, or not yet evident practice and processes

Evidence

Brief notes on basis for decisions above

Scoring guidelines

Descriptions of what scores mean

Score 0 - 5

The Self- Assessment materials : CAF Pro-formas There are 9 criteria: 5 Enablers and 4

Results Areas; The 5 Enablers break down into a total of

19 sub-criteria. (10 -15 minutes each = 4 -5 hours);

The 4 Results Areas break down into 8 sub-criteria. (15 minutes each = 2 hours);

For each of the 4 Result Areas both results of measurements, and indicators for this are suggested and considered.

The Self- Assessment materials : CAF Pro-formas - EnablersCriterion 1: Leadership Leadership breaks down into 4 sub-criteria:

– Giving direction: vision, mission, values;– Developing and implementing a system for

managing the organisation;– Motivating and supporting people and acting as

role model;– Managing relations with politicians and other

stakeholders; There are 32 suggested areas to address in these

4 sub-criteria.

The Self- Assessment materials : CAF Pro-formas - EnablersCriterion 2: Strategy & Planning

Strategy & Planning breaks down into 3 sub-criteria:– The Ministry/Division gathers info relating

to needs of stakeholders;– The Ministry/Division develops, reviews,

and updates strategy and planning;– Strategy & planning are implemented in

the whole organisation; There are 17 areas to address in these 3

sub-criteria.

The Self- Assessment materials : CAF Pro-formas - EnablersCriterion 3: People Management (HRM&D)

People Management breaks down into 3 sub-criteria:– Planning, managing and improving HR with regard

to strategy and plans;– Identifying, using and developing competencies

aligning individual, team and organisational goals;– Involving employees by developing dialogue and

empowerment (initially include in CAF workshop); There are 28 areas to address in these sub-criteria

The Self- Assessment materials : CAF Pro-formas - EnablersCriterion 4: Partnerships & Resources Partnerships & Resources breaks down into 6

sub-criteria:– Developing key partnership relations;– Developing and implementing partnerships

with citizens and customers;– Managing knowledge;– Managing finances;– Managing technology;– Managing buildings and assets.

There are 45 areas to address in these 6 sub-criteria.

The Self- Assessment materials : CAF Pro-formas - EnablersCriterion 5: Process and Change Management Process & change management breaks down into

3 sub-criteria:– Identifying, designing, managing, and

improving processes;– Developing and delivering services by

involving customers;– Planning and managing modernisation and

innovation There are 23 areas to address in these 3 sub-

criteria

Results Identified Areas for Improvement

that were consolidated into a draft of the Capacity Development Framework;

Developed detailed Logical Framework (LogFrame);

The Capacity Development Programme become a ‘pillar’ of the new Institutional Development Plan of the Ministry of Foreign Affairs and European Integration