CAF implementation

Phases, Steps, and Recommendations for CAF Implementation

A public administration organization that decides to implement Total Quality Management (TQM) through the CAF model – the Common Assessment Framework, a European model for improving public sector organizations – faces two major unknowns. The first is the structure of the CAF model, and the second is how to begin this journey. The CAF implementation process is described in the CAF Manual on approximately twelve pages. To complement it, the CAF Centre has developed a concise overview of the implementation steps enriched with recommendations based on Slovak experience gained during the practical implementation of this European model.

Since its inception, ten recommended steps for implementing the CAF model have been established. These steps encompass the full journey—from the initial decision of an organization to implement the CAF model, through to the tenth step, which involves planning the next self-assessment cycle.

The ten recommended steps of CAF implementation are divided into three main phases. The first phase is the planning phase, referred to in the CAF Manual as the beginning of the CAF journey. The second phase is the self-assessment process, and the third phase is the improvement process. In Slovakia, the CAF Centre also recognizes a fourth, optional phase known as the CAF External Feedback, which is likewise mentioned in the CAF Manual. This phase is voluntary, and it is up to each organization to decide whether to participate in the external feedback process in order to obtain the European recognition label Effective CAF User.

Phase 1: Planning the Implementation (Beginning of the CAF Journey)

Step 1: Decide How to Plan and Organize the Self-Assessment

It is often said that failing to prepare means preparing to fail. This statement also applies to the CAF model. If management is not fully convinced of the benefits that CAF brings, or if decisions are made hastily and without sufficient planning, the entire implementation effort may fail. For this reason, it is crucial to devote sufficient attention to the preparation phase and not to rush directly into the self-assessment process.

What should not be forgotten in this step:

• Obtain sufficient information about the CAF model and its implementation process, for example through the CAF Centre, as well as from organizations that have already implemented CAF.
• Ensure that the management of the organization is thoroughly familiar with the potential benefits of CAF and inform employees about these before making the final decision to adopt the model.
• The decision and strong commitment of the management should be documented (for example in the minutes of a management meeting).
• Appoint key persons responsible for the implementation – the CAF Guarantor and the CAF Methodologist (CAF Team Leader). The CAF Guarantor is a member of the organization’s management and provides direct support to the CAF Methodologist and CAF Team members. The CAF Methodologist leads the CAF Team and coordinates the self-assessment process. Effective and professional cooperation between the Guarantor and Methodologist is essential for successful implementation.
• Decide on the scope of the self-assessment, i.e. whether it will cover the entire organization or only a specific part.
• Decide on the scoring approach, whether to use the classical CAF scoring system or the advanced (fine-tuned) one.
• Define the time frame for implementation. The CAF Centre provides a recommended implementation schedule, available in Slovak.
• Develop an implementation plan including the time frame, assigned responsibilities, and required resources (human, time, material). The CAF Centre provides a template for the implementation plan, available in Slovak under Model CAF – Key Documents.

     CAF Centre Recommendations for Step 1

Step 2: Communicate About the Self-Assessment

Communication is the foundation of any organizational change, and this is especially true when introducing the CAF model. If communication about the purpose and process of implementation is unclear or insufficient, employees may perceive it as just another project or management experiment. Communication should be transparent and continuous, addressing not only employees but also all relevant stakeholders.

What should not be forgotten in this step:

• Prepare a structured communication plan including: communication activity, link to the step or phase of CAF implementation, target group, responsible person, deadline or frequency, communication tool, expected effect or impact, and evaluation. A template for the communication plan is available (in Slovak) under Model CAF – Key Documents.
• The initial communication with employees must be well prepared and should not feel forced or overly formal. Employees need to have a clear understanding of the purpose of the self-assessment, which is to improve the overall performance of the organization. The initial communication is also crucial for the next step, which is the establishment of the CAF Team, since employees should be motivated to participate.

     CAF Centre Recommendations for Step 2

Phase 2: The Self-Assessment Process

Step 3: Create One or More Self-Assessment Teams (CAF Teams)

The third key factor in successful CAF implementation, in addition to appointing the CAF Guarantor and the CAF Methodologist, is the establishment of a functional and motivated CAF Team. The team should represent the organization as comprehensively as possible, and the composition should be balanced and diverse.

What should not be forgotten in this step:

• Define criteria for selecting CAF Team members to create an effective group capable of providing an objective and detailed internal perspective of the organization.
• Decide on the size of the CAF Team.
• Determine the method of forming the CAF Team and formally establish it.

     CAF Centre Recommendations for Step 3

Step 4: Organize Training

Throughout the implementation process, members of the CAF Team will participate in several training activities. The most important of these is the initial CAF training, during which team members are introduced to the model for the first time. It is important that members come to the training having read the CAF Manual, as the program combines the explanation of CAF criteria and subcriteria with practical exercises. The training should initially include both CAF Team members and the organization’s management.

What should not be forgotten in this step:

• Training for the management on the CAF model is crucial to ensure that leadership has qualified information about the model and its implementation.
• Plan and organize training for the CAF Team to build knowledge about the CAF model, its structure, verbal and scoring evaluation methods, and the implementation process from self-assessment to improvement.
• Prepare a training plan for the CAF Guarantor, CAF Methodologist, and CAF Team members to ensure continuous learning and professional development throughout the self-assessment and improvement process.

     CAF Centre Recommendations for Step 4

Step 5: Carry Out the Self-Assessment

The fifth step is closely linked to the sixth step (writing the self-assessment report). After assigning ownership of individual criteria, each team member begins to work on their allocated part in close cooperation with colleagues to ensure the connection between the enabler and result criteria. Work is carried out in micro-teams, with the CAF Methodologist coordinating the overall process, providing guidance and support to the team members, and, if necessary, participating in the preparation of specific criteria or subcriteria.

What should not be forgotten in this step:

• Prepare an individual assessment of the organization by the owners of individual criteria, describing the current situation in each criterion or subcriterion, and identifying strengths and areas for improvement.
• This activity should be carried out in cooperation with employees of the organization who are not directly involved in the self-assessment.
• Both the CAF Methodologist and the CAF Team members should record their findings and inputs into the self-assessment report template according to the current version of the CAF model.

     CAF Centre Recommendations for Step 5

Step 6: Write the Self-Assessment Report

Teamwork leads to the gradual completion of the self-assessment report, which must be finalized during the CAF Team consensus meeting. At this meeting, the team agrees on the final qualitative and quantitative (scoring) evaluation. Afterward, the report should be submitted for comments within the organization and finally presented to the management, which is responsible for its approval.

What should not be forgotten in this step:

• Prepare the complete version of the self-assessment report by the CAF Methodologist and ensure preparation for the consensus meeting.
• Conduct the consensus meeting with the goal of achieving agreement on the wording of the self-assessment report, including the qualitative assessment, scoring, and identification of strengths and areas for improvement. The consensus meeting is led by the CAF Methodologist and follows the individual CAF criteria. The owner of each criterion presents their part, while the Methodologist introduces the scoring proposed by team members. Agreement is reached through discussion. If consensus cannot be achieved, the final score is determined as the average of the individual scores given by team members. During the meeting, proposed strengths and areas for improvement are also presented and discussed to finalize their wording. The consensus meeting concludes when the entire report has been reviewed according to all criteria. Although the order of criteria is not strictly prescribed, it is recommended to follow the logical structure of the model to maintain the link between related criteria. As a tool for the consensus meeting, the organization may use a simple scoring table.
• Finalize the self-assessment report according to the results of the consensus meeting so that it can be submitted for comments to all or selected employees of the organization.
• Present the results of the self-assessment (the self-assessment report) to the organization’s management, for example at a management meeting, and ensure its formal approval. Formal approval is represented by the signing of the front page of the self-assessment report by the organization’s statutory representative.
• Register the organization in the European database of CAF users maintained by the European Institute of Public Administration (EIPA).
• Undergo an on-site assessment to obtain an independent external perspective on the organization’s management and results.

     CAF Centre Recommendations for Step 6

Phase 3: The Improvement Process

Step 7: Prepare the Improvement Plan

A common mistake in the past during CAF implementation was that some organizations carried out the self-assessment, wrote the self-assessment report, and then considered the implementation process complete. In reality, those organizations stopped right where their improvement journey should have begun. The true objective of the CAF model is not merely to produce a self-assessment report, but to develop, approve, and implement an ambitious improvement plan based on its findings — a plan that becomes an integral part of the organization’s overall management system.

What should not be forgotten in this step:

• Summarize all improvement suggestions derived from the self-assessment report, from proposals made by the management and employees, from the on-site assessment, and from any other relevant sources.
• Prioritize and select improvement activities for inclusion in the action plan through the joint effort of the CAF Guarantor, the CAF Methodologist, and CAF Team members.
• Develop and finalize the improvement action plan in a unified structure. Each organization can create its own format based on its established rules and templates; however, it is recommended that the plan include the following elements: the title of the activity, reference to the relevant CAF criterion (or principle of excellence), completion deadline, responsible person, expected impact/effect, and a section for task evaluation. A sample improvement action plan template can be found in the section Model CAF – Key Documents (Basic templates required for CAF implementation).
• Present the improvement action plan to the organization’s management for approval.
• Integrate the improvement action plan into the organization’s overall management system so that managers can use it as a practical tool for strategic decision-making and continuous improvement.

     CAF Centre Recommendations for Step 7

Step 8: Communicate About the Improvement Plan

Communication was already addressed in Step 2, but its importance must not be overlooked during the improvement process either. If the improvement action plan is to become a genuine tool for strategic management within the organization, all key stakeholders must be aware of it and of the activities it contains. It is essential to communicate which activities have been included in the improvement plan, why they were selected, who is responsible for them, and how their implementation is progressing.

What should not be forgotten in this step:

• Plan communication about the improvement process by creating a dedicated communication plan or by integrating these communication activities into the communication plan developed at the beginning of the self-assessment process.
• Inform employees (and, where relevant, other key stakeholders) about the adopted improvement action plan.
• Provide regular updates on the progress of the improvement plan’s implementation and motivate employees to actively participate in carrying out its activities.

Step 9: Implement the Improvement Plan

After the preparation and approval of the improvement action plan, the next step is its implementation. This process should be based on a consistent and well-coordinated approach involving all relevant stakeholders. Under the coordination of the CAF Methodologist, and with the participation of CAF Team members and the organization’s employees, the implementation should bring about the planned results and desired changes.

What should not be forgotten in this step:

• Involve employees who are not members of the CAF Team in carrying out the improvement action plan.
• Regularly monitor, evaluate, and communicate the progress achieved in implementing the improvement plan.

Step 10: Plan the Next Self-Assessment

The need to perform activities according to the PDCA cycle, or the often-repeated phrase “Improvement is a never-ending process,” may sound like a cliché, but it is absolutely true. The CAF model should not be treated as a one-time exercise; it was designed to become an integral and permanent part of the organization — a practical tool for continuous improvement and development.

What should not be forgotten in this step:

• Evaluate the previous implementation, for example using a SWOT analysis or other suitable assessment tools.
• Plan the next self-assessment, ideally starting the planning process a few months after the implementation of the improvement action plan has begun.

Phase 4: CAF External Feedback (Recommended Phase)

If an organization decides to implement the CAF model and begins planning its introduction, it should follow the ten recommended implementation steps described above, which are also outlined in the CAF Manual. However, it is advisable to consider at the very beginning whether the organization wishes to apply for the CAF External Feedback (ESF) after completing the implementation cycle and thus aim to obtain the European recognition label Effective CAF User.

The CAF External Feedback assesses the effectiveness of the self-assessment and improvement process, as well as the integration of the principles of excellence within the organization. In principle, if the organization follows the steps described above and meets the requirements outlined in the questionnaires contained in the CAF External Feedback Manual (ESF), it should not have difficulties in obtaining the Effective CAF User label.

What should not be forgotten in this step:

• Carefully study the CAF External Feedback (ESF) Manual and the conditions for its implementation. One of the key requirements is that an organization may apply for ESF no earlier than six months and no later than twelve months after the approval of the self-assessment report (i.e. after it has been signed by the organization’s statutory representative).
• If necessary, attend ESF training to gain a clear understanding of the purpose, preparation of evaluation materials, and the assessment procedure. Such training is also provided by the CAF Centre.
• Submit the ESF application to the national coordinator (ÚNMS SR), who provides templates for the preparation of evaluation materials. These include the organization’s profile, a description of the CAF implementation process, and the organization’s scoring results. In addition, the organization must submit its self-assessment report, improvement action plan and its evaluations, communication plan and its evaluations.
• Undergo the ESF evaluation process, which is coordinated by the national organizer. A two-member evaluation team is appointed and a detailed assessment schedule is prepared. The evaluation takes place on-site over the course of one day at the organization’s premises and involves the participation of the CAF Guarantor, CAF Methodologist, CAF Team members, and relevant stakeholders. During the evaluation, the assessors conduct interviews to verify understanding and communication regarding the CAF implementation process. Following the evaluation, the assessors prepare a feedback report together with a recommendation (or non-recommendation) for granting the Effective CAF User label. Based on this report, the national organizer awards the label and informs the European Institute of Public Administration (EIPA), which registers the organization in the European CAF Users Database.

It is possible to implement the CAF model without undergoing the External Feedback, as this fourth phase is optional. In such cases, the organization follows the ten recommended implementation steps as described above.