Self-Assessment for Continuous Improvement: Tools and Techniques 16 September 2009

Continuous Improvement = making both incremental and strategic changes to all the functions of an organisation to make it excellent Self-assessment = a comprehensive, systematic and regular review by the organisation of its activities and results referenced against a model of Excellence which allows an organisation to discern clearly its strengths and areas in which improvements can be made and culminates in planned improvement actions that are then monitored for progress Strategic planning = the plans that an organisation puts in place to enable it to achieve its mission and vision Definitions

-Compliance against a standard - Can tend to be negative-corrective action - Usually done by an “outsider” or “specialist” - Gives an historical view - Auditor is often looking to find fault -Positioning against a framework - Usually positive- strengths and areas for improvements - Best done by yourself, perhaps facilitated by a specialist - Both historical and forward looking - Aim is to be motivating for those involved -Is a competition - Marketing tool/Publicity - Is a way of recognising a level of achievement - Involves a judging process - Gives an historical view - Motivating for those receiving the award Relationship between Audit, Self- Assessment and Award Audit Self- assessment Award

1. Providing a highly structured, fact-based technique to identifying and assessing your organisation’s strengths and areas for improvement. 2. Improving the development of your business plan and strategy. 3. Creating a common language and conceptual framework for the way you manage and improve your organisation. 4. Educating people in your organisation on the Fundamental Concepts of Excellence and how they relate to their responsibilities. Self-assessment - Potential Benefits List

5. Involving people at all levels/units in process improvement. 6. Identifying and facilitating the sharing of your “Good Practice” within the organisation. 7. Facilitating comparisons with other organisations. 8. Providing opportunities to recognise both progress and outstanding levels of achievement through internal or external awards. 9. Effecting sustained improvement in management practices. 10.Providing all of the information needed for external agencies. However, the main purpose of gathering the information is for internal purposes. Self-assessment - Potential Benefits List (cont’d)

11. Helping plan what an institution aims to achieve and, crucially, how it will achieve its aims. 12. Increasing people’s understanding of the organisation’s goals and bringing people closer together. 13. The cost of quality savings made through acting upon the results of self- evaluation can be significant.

Results Orientation Customer Focus Leadership & Constancy of Purpose Management by Processes & Facts People Development & Involvement Continuous Learning, Innovation & Improvement Partnership Development Corporate Social Responsibility The Fundamental Concepts of Excellence

The EFQM Excellence Model

QUESTIONNAIRE ASSESSMENT WORKSHOP PRO-FORMA AWARD SIMULATION COMBINATIONS BASED ON YOUR DESIRED OUTCOMES AND BENEFITS, HOW WILL YOU? Collect evidence/data Document evidence/data Assess evidence/data Document results Present results Self-Assessment Techniques

QUESTIONNAIRE ASSESSMENT WORKSHOP PRO-FORMA AWARD SIMULATION COMBINATIONS MANAGEMENT MEETING / EVENT To consider the S-A outcomes To prioritise actions To produce improvement plan To agree what to communicate To recognise the efforts of others Self-Assessment - Different Techniques, Same Destination

Characteristics: 1.This technique can be one of the least resource intensive. 2. An approach that is completed very quickly, provided an existing and proven questionnaire is used. 3. It is an excellent way of gathering information on the perceptions of people within an organisation. 4. Some organisations use simple yes/no questionnaires, other slightly more sophisticated versions that use a rating scale The Questionnaire Technique

Quick and easy to use - basic awareness training being sufficient to get things started Can readily involve many people within the organisation Enables the organisation to receive feedback which can be segmented by function and by level Can be used in conjunction with an Assessment Workshop to provide a more balanced view of deployment for the management team Can be used to facilitate group discussions between teams on the opportunities for improvement within their unit The Questionnaire Technique - Benefits

Characteristics: 1. An Assessment Workshop is an event, typically 0.5 and 1.5 days that involves members of a team in a discussion and decision making process linked to assessing evidence and data presented and reaching consensus on Strengths and Areas for Improvement. 2. A second discussion and decision-making process would be used to prioritise the list of potential improvement actions, assign ownership and agree timescales for delivery of the improvements. 3. The team involved can consist of anyone from within the organisation – one of main advantages of this self-assessment method is the opportunity to gain the active involvement of the management team. The Assessment Workshop Technique for Self-Assessment

The Assessment Workshop Technique for Self-Assessment (cont’d) Characteristics: 4. Typically, each member of the team will take responsibility for one or more Criteria of the EFQM Excellence Model and will ensure that data and evidence relevant to his/her area of responsibility is gathered before the Assessment Workshop. 5. At the workshop team members present to their peers the data and evidence gathered. This provides the start point for the team to discuss and reach consensus. 6. Consideration needs to be given to the order in which the nine criteria are addressed.

An excellent way to get the team to understand the Model and gain their commitment to it Discussion and agreement by the team on the strengths and areas for improvement helps to build a common view Ownership by the team of the outcomes, subsequent prioritisation and agreement to action plans An opportunity for team building An agreed list of strengths and areas for improvement is produced which will drive improvement actions The Assessment Workshop Technique - Benefits

Pathway Features: Online tool that allows you to assess your organisation’s performance straight from your desktop Can be applied to the whole organisation or to specific departments User-friendly self-assessment tool that can be adapted to reflect the needs of your organisation

Easy to use Evidence-based Can involve a range of people in the organisation Output readily accessible Enables the organisation to receive feedback and scores which can be segmented by function and by level Can be used to facilitate group discussions between teams on the opportunities for improvement within their unit Enables benchmarking to take place Pathway - Benefits

Resource effort Knowledge of Model Trained Assessors Site Visit Strengths & AFIs Accuracy of score QuestionnaireLow/ Medium No Low Assessment Workshop MediumYes plus Facilitator NoYesMedium Pro-formaMedium/ High Yes OptionalYesMedium - High Award Simulation HighYes OptionalYesHigh Selection Criteria - Input/Output Differences

Supported by Evidence Award Simulation Pro-forma Questionnaire Assessment Workshop High Process Rigour Based on Opinion Low Process Rigour Selection Criteria - Rigour & Evidence/Opinion Differences

Selection Criteria - Maturity/Effort Differences MATURE ORGANISATION Appropriate Questionnaire Assessment Workshop Pro-forma supported by Peer evaluation Award Simulation or Award Application ON THE WAYQuestionnaire & Workshop Facilitated Assessment Workshop Pro-forma Facilitated Assessment Workshop Pilot Award Simulation STARTING ON THE EXCELLENCE JOURNEY Elementary Questionnaire More detailed Questionnaire Customised Questionnaire Facilitated Assessment W/shop LOW EFFORTMEDIUM EFFORTHIGH EFFORT