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BIJ
18,4                                    Peer evaluation to develop
                                     benchmarking in the public sector
                                                                                 Lucio Cappelli
490                                                     `                       `
                                                  Facolta di Economia, Universita di Cassino, Cassino, Italy
                                                                           Roberta Guglielmetti
                                                                           `
                                                                  Universita di Roma, Rome, Italy, and
                                          Giovanni Mattia, Roberto Merli and Maria Francesca Renzi
                                                                     `
                                                            Universita degli Studi Roma Tre, Rome, Italy

                                     Abstract
                                     Purpose – The urgency to strengthen the effectiveness and efficiency of public administrations has
                                     led to the adoption in the public sector – in Italy as well as in other countries – of tools and models
                                     inspired by the total quality management (TQM) approach, such as the common assessment
                                     framework (CAF). A parallel need was felt within public structures to train people, the “peers”, who
                                     aside from being able to implement the self-evaluation activities of their own administration, also
                                     needed to be equipped with the necessary skills to complete external evaluation activities, namely
                                     “peer evaluations”, with the ultimate aim of spreading quality management culture and best practices
                                     in the field through an approach based on benchmarking. The purpose of this paper is to present the
                                     results of a survey designed to determine the training requirements that a “peer” should acquire in
                                     order to perform “evaluation” activities.
                                     Design/methodology/approach – The paper has strong empirical connotations and is essentially
                                     based on, first, a questionnaire given to evaluators/self-evaluators to identify the problems emerging
                                     with the application of the CAF model in administrations that have adopted it. In this sphere a great deal
                                     of attention has been paid to – in addition to the preparation of the questionnaire – the delicate task of
                                     codifying the answers to open questions proposed to interviewees; and second, the investigation
                                     inherent in the current educational choices in Italy in the TQM arena, specifically addressing the public
                                     sector.
                                     Findings – Apart from the analysis of data obtained from the investigation, presented with
                                     descriptive statistics, the paper identifies the training content necessary: first, to place “peers” in a
                                     position to be able to autonomously and fully carry out their evaluation work on the basis of the CAF
                                     model; and second, to render the evaluation activities systematically comparable among the various
                                     administrations.
                                     Research limitations/implications – At the present time the research deals with the Italian
                                     context. However, future investigations involving different European countries could be carried out,
                                     taking the present results as a starting point for a benchmarking activity.
                                     Practical implications – The paper puts forward the creation of a “network” of actors who manage
                                     all the “peer evaluation” activities, from the provision of the training pack and monitoring the “peer”
                                     exchange process, up to benchmarking initiatives and the dissemination of best practices.
                                     Originality/value – The paper presents original data and information in order to identify the
                                     training needs of individuals that actually use CAF, starting from the assumption that the training of
                                     evaluators is the primary condition for promoting the adoption and diffusion of CAF in Italian public
                                     administrations and thus maximizing its benefits.
Benchmarking: An International
Journal                              Keywords Peer evaluation, Benchmarking, Public administration, Common assessment framework,
Vol. 18 No. 4, 2011                  Total quality management
pp. 490-509
q Emerald Group Publishing Limited   Paper type Research paper
1463-5771
DOI 10.1108/14635771111147605
1. Introduction                                                                                Peer evaluation
Modernization of the public administration process, which today is still a fundamental
requirement for many countries, is framed within the intense debate that started at the
end of the 1970s, and developed during the 1980s and 1990s, around the problem of
changing government systems and public sector management. A key reference can be
found in the scientific management philosophy known as New Public Management, that
has certainly influenced – in different ways, to both acclaim and criticism – the Public                  491
Administration change processes of several countries, notably Anglo-Saxon countries
and first amongst these the UK, in turn drawing research inspiration from the practical
experiences of these same countries (Boston et al., 1996, Denhardt, 1981, Dunleavy et al.,
2006, Osborne and Gaebler, 1993, Simon, 1976). In Italy, the start of the debate on Public
Administration reforms was greatly delayed with respect to the precursory countries:
for example, we recall that precisely in the 1980s – while other countries were
undertaking harsh structural reforms of their public sectors – the Italian public debt
explosion was talking place. Reinforcing the urgency of a radical change of the complex
Italian Public Administration was brought about the European unification process and
especially participation to the single currency, with the resulting constraints related to
debt and public deficit. These problems, which a good part of European countries share
with Italy, have been brought to the fore by some recent events (think of the Greek crisis
and the difficult situations in Portugal and Spain). In this context, numerous instruments
have been identified as useful references for the innovative management of public sector
organizations. Amongst these several models inspired by total quality management
(TQM), such as common assessment framework (CAF, to be discussed extensively
below), have become widespread.
    This present work, which has as its central theme several issues specifically linked to
the use of CAF, draws its inspiration from two surveys developed by the authors: it thus
has a strong empirical connotation and the aim of identifying the key factors that can
promote the diffusion of the CAF instrument – such as internal and external
benchmarking activities aimed at improving public organizations – largely but not
exclusively referring to Italy. Both these objectives, as will be ascertained, can be
attained by means of the “peer evaluation” instrument.
    In wanting to find an initial and concrete public act to motivate the process of change
in the Italian public sector we should probably start with Law no. 59 of March 15, 1997,
the so-called “Bassanini Law” that urges institutions to be more responsible towards
citizens in terms of transparency, efficiency and effectiveness. The aim of the process is
to strengthen awareness that the competitiveness of a country depends on the quality of
its public administration. In particular, through the concept of quality, the public utility
process supplied to citizens is linked to the organizational and managerial performance
of institutions. This is demonstrated on one side by the creation of initiatives leading to
the improvement of the service provided, to the transparency of management, to
rewarding the best performing administrations and, on the other side, by the
development of benchmarking (Camp, 1991) as a tool to compare best practices among
institutions.
    The December 19, 2006 Directive “for quality-oriented public administrations” is
linked to this context of transformation and change. It aims to produce a substantial
increase in the number of administrations engaged in quality improvement, both on a
central and local level, with a focus on areas and contexts where citizen satisfaction
BIJ    and trust in public administrations is quite low. The Directive promotes the introduction
18,4   of the TQM approach in the self-evaluation process as a standard managerial procedure
       in public administrations. Self-evaluation can be defined as a systematic analysis of the
       results of the organizations, leading to the identification of their strengths and
       weaknesses in order to implement specific improvement actions.
           The spread of self-evaluation, considered as the essential requirement for continuous
492    performance improvement and benchmarking, is supported by the adoption of
       internationally defined models of excellence such as the EFQM model thoroughly tested
       in the public and private sector. Within the public sector, the CAF (2006) is used more
       and more often. This is a common European framework leading to the spread of quality
       culture in the public sector and originates from the EFQM model. It is composed of nine
       criteria, five Enablers and four Results, which can be used by the organization to initiate
       the self-evaluation process. CAF is the reference point used by the Department of Public
       Function to develop competition in Italy, entitled “Quality in Public Administration
       Award”, and is dedicated to all public administrations that apply the CAF model. The
       winner is the organization that achieves the highest scores in CAF-based assessments.
       CAF is also the reference point used by the Department of Public Function to implement
       peer evaluation in the public sector as a natural systematic process. It provides
       European institutions with a common system of references and language to carry out
       comparisons as well as promoting the definition of plans to improve critical processes in
       administrations. The CAF model can therefore be regarded as a powerful tool at the
       disposal of public administrations in the context of systematic benchmarking activities.
           To activate a successful benchmarking process, institutions need to submit the
       results of their self-evaluations for external validation, adopting the most suitable
       options according to the needs of the organization, such as certification, participation in
       international and national awards and peer-to-peer evaluations.
           Peer evaluation is one of the tools available. This kind of activity, expressly indicated
       in the Department of Public Function’s Action Plan, promotes the spread of quality
       culture through the adoption of appropriate benchmarking policies, benchlearning and
       the identification of best practices to be diffused in the public sector. Peer evaluation is
       carried out by a taskforce of experts, the peers, who are in charge of evaluating quality
       management performance in the organization. In order to be considered external
       auditors, peers must have adequate knowledge, skills and preparation on TQM
       principles and on the CAF model. Training is therefore a key factor to activate peer
       evaluation in the public sector.
           This paper presents some results of a research project carried out in cooperation
       with the Department of Public Function. The main objectives of the research are:
           (1) identification of the training needs of those “peers” that actually have to
               implement evaluation activities; and
           (2) designing a network of different actors able to assume the management
               function – on a strategic, coordination and operational level – of the set of “peer
               evaluation” activities.

       2. Methodology
       As we already mentioned, the paper has empirical bases. In fact, in order to achieve the
       research objectives indicated above, two parallel field-investigations were carried out:
(1) The first relies on a questionnaire-based survey; such a tool was administered to       Peer evaluation
       evaluators/self-evaluators belonging to organizations where CAF was already
       adopted, with the aim of defining the sectors where training requirements are
       most needed.
   (2) The second intended to identify the training offer based on TQM content
       existing today and targeted at the public sector.
                                                                                                        493
The research endeavours to define a training format aimed at:
  .
     guaranteeing a common and shared package of knowledge and skills;
  .
     facilitating the creation of a stakeholder network;
  .
     consolidating the peer evaluation system; and
  .
     speeding up the process of change indicated above.
The present paper highlights some of the most interesting results and proposals
deriving from the entire research project, based on the assumption that CAF is
considered the reference model to implement “peer evaluation”.
   It is worth recalling that literature on CAF has produced numerous and significant
contributions since the earliest years of the model’s dissemination (2000). However, this
is almost entirely about works dealing with issues such as:
    .
       research inherent to the spread of CAF in European countries (Staes and Thijs,
       2005; Engel and Fitzpatrick, 2003);
    .
       research on the dissemination of CAF in specific public administration sectors
       (Dearing et al., 2006; Dipartimento della Funzione Pubblica, 2006); and
    .
       interpretation – and opinions – of the model in its concrete application in public
       administration context (Heino et al., 2007; Hellenic Ministry of the Interior, 2006;
       Conti, 2004).

There are practically no contributions focusing research on actors that carry out
evaluations and self-evaluations with the CAF model with the specific objective of
identifying the knowledge and skills necessary for the implementation of this activity.
Up to today – with specific reference to the situation in Italy, but probably common to
other European countries – training of evaluators has been based on “spot” initiatives,
neither systematically planned nor managed. Understanding the training needs of those
who practice concrete evaluation activities seems to be the first step in bridging this gap
and to establish a systematic process of “creating” evaluators in the context of a more
comprehensive approach based on “peer evaluation”. This paper – through the two
empirical surveys on which it is based – has the objective of defining both an
appropriate training course for “peers” and putting forward the constitution of a
network of public subjects for the management of all “peer evaluation” activities.
   The carrying out and some significant results obtained in both investigations –
A and B – are described below.

3. First investigation (A): functioning and results
The first investigation has been developed on a sample of evaluators/self-evaluators,
in order to define the areas where training and support interventions are necessary.
The analysis of training needs is the first step of the entire training process to highlight
BIJ    the gaps that a professional/operator needs to bridge to continuously adjust his knowledge
18,4   and skills. This is a basic step in defining each training objective and is pivotal in achieving
       effective interventions. In Italy, ISFOL is a point of reference for concepts, models, schemes
       and skill exemplification. The proposed model refers to expertise as a dynamic system of
       knowledge, skills, attitudes and capabilities: it is achieved not only through knowledge, but
       also through “know-how” and “know-how-to-be”. The training objective is to fill the gap
494    between actual skills, knowledge and capabilities and the optimum working standards as
       established by the organization. In this research, in order to evaluate this gap, an
       investigation among civil servants with direct experience of the CAF model was carried
       out. The objectives of the investigation required drafting a questionnaire as the survey tool
       to analyze peer evaluators in terms of knowledge, know-how and know-how-to-be.
          The questionnaire was structured on the “gap model” and aimed to establish the
       gap between the ideal evaluator/self-evaluator and actual knowledge, skills and
       relational aspects.
          The structure of the questionnaire was based on the following criteria:
           .  to refer to the knowledge and skills (Boyatzis, 1992; Hay Group, 1993) required of
              evaluators/self-evaluators and to criticalities in the use of the CAF model (CAF,
              2006);
           .
              to carry out a critical analysis with appropriate systematic sorting of the
              knowledge and skills held by evaluators/self-evaluators; as a result of this
              analysis, an initial set of knowledge and skills of reference was proposed to the
              interviewees on each of the CAF criteria;
           .
              to define a picture of the evaluation/self-evaluation experiences acquired by
              interviewees;
           .
              to also duly consider the “immaterial” aspects of the evaluation, such as the
              relational aspects that somewhat impact on the outcome of the process;
           .
              to obtain direct indications on training programmes for evaluators/
              self-evaluators, investigating the balance between theory and application in
              room and on the job training, live or distance training; and
           .
              to maximize personal and free contributions of interviewees through the ample
              use of open questions.

       The questionnaire was composed of six sections with a total of 31 questions: seven of
       which were open questions and the remaining were multiple choice and scale questions
       (intensity, ratios, semantic differentials). The questionnaire was submitted as a pre-test
       to 15 target individuals and some minor optimization adjustments were made as a
       consequence.
           It should be pointed out that the open questions in reality were more than seven:
       a particular question requires in fact an answer (open) for each of the nine criteria of the
       CAF model. When taking this into consideration, open questions total 15.
           As known, open questions pose significant additional problems for the elaborations
       of answers. The main issues arising from open questions are:
           .
               for people filling in the questionnaire: the difficulty in summarizing answers; and
           .
               for people analyzing the questionnaire: the difficulties in respect of codification,
               risking loosing relevant information.
Nonetheless, on one side the interpretation and codification of open questions requires       Peer evaluation
additional work in terms of time and commitment but on the other they are rather
useful to investigate the subject in-depth, thus acquiring ulterior information. In fact,
a large quantity and variety of comments and observations on criticalities/difficulties
encountered by evaluators/self-evaluators was collected. In order to organize the
informative content a number of steps were followed:
   (1) differentiate the multiple concepts contained in the same answer in order not to                495
       lose the informative content;
   (2) homogenize the language used by different interviewees to express similar
       concepts;
   (3) interpret the answers through synthetic yet representative expressions;
   (4) codify answers via a homogeneous classification system, suitable to implement
       the statistical descriptive analysis;
   (5) eliminate redundancies (overlapping codification); and
   (6) group the codified answers into tailor-made macro-categories. Each macro-area
       contains those expressions codified with the same meaning.

With this approach it was possible to maximize the amount of information and to
proceed with the statistical analysis of the results in order to establish the critical
difficulties to focus on.
   It should be specified that the choice to use descriptive statistical tools is coherent
with the type of information and data that existed. Indeed, it should be stressed that the
main difficulty – which required an intense work of interpretation, homogenization
and classification of answers – was in achieving a simple and instant representation of
a complex situation of a mass of highly heterogeneous information.
   The questionnaire was made up of 27 closed questions investigating 6 themes:
knowledge and skills; evaluation experiences; use of the model; improvement plans and
designs; rational aspects; evaluation training programmes.
   Opinions were requested on the importance, utility and difficulty of each of the
above-mentioned themes, depending on the specific investigation area. It should be
stressed that the analysis of the results of open and closed questions was performed
collectively in order to maximize the survey’s informative value. The population to
whom the questionnaire was submitted was identified through a Formez database and
was made up of 160 CAF managers and evaluators trained during the two editions of the
“Quality in the Public Administration Award” that took place in Italy in 2005 and 2007.
The survey was submitted via e-mail. A total of 78 questionnaires were compiled and
returned, representing 49 percent of the population. The sample was mainly constituted
of individuals who worked as report writers (41 percent), followed by self-evaluators
(32 percent) and evaluators (26 percent). The interviewees took part in the following
quality training programmes: CAF Evaluator Course (30 percent); ISO 9000 Audit
Course (25 percent); “The paths of Quality” Laboratory projects (15 percent). In the
evaluation team, 71 percent of interviewees worked as team member, while 29 percent
worked as “team leaders”. In accordance with the research aims, simple statistical tools
were adopted with the purpose of defining the spread of evaluation and self-evaluation
approaches within public administrations as much as possible.
BIJ      The following statistical instruments were used to analyse the results of open
18,4   questions, following their codification:
          .
             bar chart, to identify the frequencies of distribution for each codified expression;
          .
             Pareto chart, to identify priority criticalities/difficulties according to the standard
             80-20 rule; and
496       .
             cause-and-effect chart (or Ishikawa chart (Ishikawa, 1985)), to represent the
             primary and secondary causes of a given effect of the study.

       Since in this context it is not possible to provide an overview of the processing of
       answers, selection criteria based on a double principle were adopted:
          (1) the “object” of the survey principle, the CAF model; and
          (2) the principle based on the “role” of interviewees: evaluators and self-evaluators.

       It is important to point out that the data analysis is based on interviewee responses.
       From the “object” principle point of view, the most relevant element is the particularity
       of the CAF model, which can be divided into two parts: as mentioned above, the first
       area includes the criteria defined as Enablers, the second criteria are defined as Results.
           The Enablers examine the managerial approaches used by the organizations and how
       they are applied in order to achieve their planned objectives, whereas the Results focus on
       indicators and measurements to demonstrate what the organization is achieving.
       Analyzing the Results and comparing them with the planned objectives allows
       implementing continuous improvements through innovation and benchlearning processes.
           The hypothesis to be verified is whether the model’s dichotomy is confirmed in the
       criticalities/difficulties indicated in the survey, so that they are differentiated when
       referring to Enablers rather than Results in the CAF model.
           From the “role” principle point of view, the key element lies in the different
       experiences of interviewees: as evaluators and self-evaluators. Evaluators work in
       institutions that they do not belong to, carrying out evaluations starting out from
       documentation (the so-called “application”) of the organization to be assessed, and
       ending with the so-called “site visit”. Self-evaluators carry out assessment activities in
       the institutions they belong to, producing the respective documentation. Of interest is
       understanding whether different criticalities/difficulties emerged in the survey and to
       what extent they are represented by the two categories of interviewees.
           Figures 1 and 2 analyze the data gathered according to the CAF model.
           Through a comparison of the two models, it is possible to note that in the case
       of Results the criticalities/difficulties are clustered around a few micro-categories.
       In particular, the macro-category “measurement indicators” represents 50 percent of the
       total, followed by “data analysis” and by “model use” with 15 percent. In the case of
       Enablers, the most important macro-categories are “model use” with 25 percent,
       followed by “evaluation documents” and “evaluations criteria” with 20 percent and
       “quality approach” with 15 percent. It seems clear that in the evaluation of Results the
       most relevant aspect in terms of difficulties is linked to the availability of measurements
       and/or identification of suitable indicators, followed by the interpretation of data to
       analyze. In the evaluation of Enablers, the most relevant factor is the difficulty to apply
       the model in the specific context of the organization, followed by the difficulties
       regarding evaluation documents, such as drafting and interpreting the application,
100.00                              Peer evaluation
          240                                                                                                                                                  90.00
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          200
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          120
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the evaluation of the single criteria and the general approach to quality. We should point
out that some participants worked as both evaluators and self-evaluators but were not
taken into account in this context.
   The data regarding knowledge (Table I) is consistent with the results of Enablers in
the model, underlining the need for training processes focused on TQM content and
CAF model principles.
   Intersecting the data on open questions with some data on closed questions, shown
in Figures 1 and 2, the necessity to provide adequate training on quality, especially
through the creation of appropriate competencies (Table II), is confirmed and
consistent with the above-mentioned CAF Results.
   A further in-depth examination of CAF in Table III shows the average difficulties
encountered in each of the nine CAF criteria.
   The most relevant information is:
BIJ
                            List of knowledge                                                   Average usefulness (1-10)
18,4
                            TQM principles and tools                                                      9.13
                            CAF/EFQM models                                                               9.12
                            Audit techniques                                                              8.22
                            Interpersonal relationship management                                         8.19
498                         P.A. Organization                                                             8.18
                            Communication (internal and external)                                         8.03
                            Benchmarking                                                                  7.77
                            Laws on P.A. modernization and simplification                                  7.64
                            Management control                                                            7.54
                            Regulations ISO 9001, 9004, 14001, 19011, SA8000                              7.36
                            IT                                                                            6.95
Table I.                    Statistics                                                                    6.88
Average usefulness          Marketing                                                                     6.14
of knowledge                Economic theory                                                               5.92



                            List of skills                                                      Average usefulness (1-10)

                            Setting-up a system of indicators                                             8.94
                            Representation and reading of processes                                       8.87
                            Improvement tools and methods                                                 8.81
                            Audit interview management                                                    8.58
                            Gathering, reading and quantitative data processing                           8.35
                            Strategic planning                                                            8.18
                            Evaluation tools for personnel / executives                                   8.12
                            Planning and analysis of people satisfaction surveys                          7.96
Table II.                   Project management                                                            7.96
Average usefulness          Mapping of personal skills                                                    7.64
of skills                   Identification of training needs                                               7.52



                            List of criteria                                                     Average difficulty (1-10)

                            Company results                                                                6.05
                            Results on key performances                                                    5.68
                            Processes                                                                      5.12
                            Citizen/client oriented results                                                4.96
                            Personnel results                                                              4.68
                            Policies and strategies                                                        4.63
Table III.                  Partnership and resources                                                      4.59
Difficulty of CAF criteria   Leadership                                                                     4.36
(closed question)           Personnel                                                                      4.07

                                .
                                    Criteria 3 “Personnel” is the least difficult to evaluate. This result may be linked
                                    to the fact that some personnel management methods are without doubt used in
                                    all organizations, thus making their evaluation easier.
                                .   Among the five easiest criteria to be evaluated, four belong to factors. This
                                    evidence further strengthens the hypothesis of a clear distinction between
Enablers and Results in the CAF model, consistent with several                                                                                                                                                     Peer evaluation
               criticalities/difficulties highlighted by the investigation.

The disaggregated data of interviewees, evaluators or self-evaluators is analyzed below.
    It is important also in this case to understand whether criticalities/difficulties are
different with reference to the two groups or whether, to the contrary, the “role” is
irrelevant.                                                                                                                                                                                                                                         499
    Figures 3 and 4 report the data on evaluators and self-evaluators.
    It is evident that criticalities/difficulties are clearly different in the two groups. The first
three micro-areas for evaluators are “measurement indicators” with 30 percent,
“evaluation documents” with 15 percent and “model use” with 10 percent. On the other
hand the first three macro-areas for self-evaluators are “interpersonal relationships” with
20 percent, “evaluation scheme” and “measurement indicators” with 15 percent. Therefore,
the main difficulties in the evaluation process for evaluators lie in the availability of data
                     160                                                                                                                                                                        100.00
                     150
                                                                                                                                                                                                90.00
                     140
                     130                                                                                                                                                                        80.00
                     120




                                                                                                                                                                                                         Cumulative percentage
                     110                                                                                                                                                                        70.00
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                      30                                                                                                                                                                        20.00
                      20
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                      10
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                          100                                                                                                                                                                   50.00
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                                            ps           e          rs          ts                      se         h     t        s       s           e        on ng ffer visit
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                                                       alu                                         al ity Imp Da             o de                r ia            T ra                                                                            Figure 4.
                  a                lu    em luat    Ev                                                                                       ite
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    ter                         M
 In
BIJ    and measurements, and in the interpretation of the documents provided by the institution
18,4   to be assessed. Instead, for self-evaluators the main difficulty lies in internal relationships
       resulting from the evaluation activity: management of the relationship with executives
       and colleagues is quite sensitive and critical for those in charge of collecting proof,
       information and data to draft evaluation documents according to the CAF model.
          The second macro-category for evaluators is the model’s “evaluation scheme”. It is
500    interesting to note that the macro-category “time” is in fourth position for evaluators,
       while it is clearly less relevant for self-evaluators. Therefore, overall, the data
       disaggregated into evaluators and self-evaluators confirms the initial hypothesis of a
       clear distinction between the criticalities/difficulties of the investigation. This
       distinction, as well as the dual structure of the model, needs to be duly considered in
       order to identify the basic format of the training content.
          From this stratification, we were able to obtain useful information in aid of
       designing a customized training format.

       4. Second investigation (B): functioning and results
       The second investigation focused on the mapping and analysis of the training content
       on TQM principles and models for civil servants, leading to defining a scenario to
       verify the state of the art in the training offer.
          The aim was to verify the current situation on TQM training in public
       administrations through the identification of the main training agencies in Italy and
       the courses available on this subject.
          In detail, the analysis focused on:
          .
             Identification of the training agencies that thus far offer training courses on these
             subjects.
          .
             Analysis of the training courses offered by universities and Higher Learning
             Public Administration Institutions with an in-depth examination of contents
             (modules, educational units, hours dedicated to TQM issues).

       Attention was focused on two types of offers considered significant for P.A.: 1st and
       2nd Level Masters and courses provided by Higher Learning P.A. Institutions.
          The research activity was carried out in September 2008 and was designed as follows:
          .
            setting-up the work methodology and defining the survey’s scope;
          .
            research of existing TQM training offers in Italian Universities; and
          .
            research of the existing TQM training offers in P.A. Schools and Colleges.

       The starting point was to verify the availability of a database on Italian universities.
       Through consulting the Ministry’s web site, and in particular the Statistics Office’s, it
       was possible to draft a list of educational offers in Italian universities in the academic
       year 2006/2007. However, after a more in-depth analysis, this database was quite
       limited due to fact that the Masters are activated on a yearly basis.
           A new exercise was carried out to identify the Masters offered by universities and
       Higher Learning P.A. Institutions for the academic year 2007-2008. The starting point was
       Cineca’s list of Italian universities (www.cineca.it). According to this source, in June 2008,
       Italian Universities numbered 84. A census survey was conducted on the universities’ web
       sites, intersecting university, faculty and department data available online.
Through this survey of web sites, it was possible to collect basic information on            Peer evaluation
Masters and to classify them into a single dataset according to the following
parameters: University, Faculty, Number of 1st Level Masters offered, Number of
2nd Level Masters offered, Masters not available online, Public Administration targets,
Quality contents, Web site, Notes.
   With the aim of verifying how quality culture is spread among trainers, a detailed
desk analysis of University Masters was carried out, selecting Masters presenting both                        501
of the following characteristics:
    .
      targeting Public Administration internal personnel (graduates/executives/civil
      servants); and
    .
      examining issues related to TQM.

For these Masters a schema was created with the following characteristics (Table IV).
   Up to 4th July 2008, the offer provided by Universities in Italy (public and private)
was 1,166 1st Level Masters and 933 2nd Level Masters, for a total of 2,099 Masters.
   In particular, University Masters (1st and 2nd Level) targeted at public administration
and offering contents on quality are 85. It is worth noting that six among those are
MIMAPs (Master in Public Administration Innovation and Management) offered by the
Universities of Cassino, Catania, Foggia, Roma Tre, Roma Tor Vergata, Salerno.
   A total of 49 percent of the 85 Masters identified are based in central Italy, while
North and South Italy share the remaining quota.
   Figure 5 shows the distribution of the 85 Masters with reference to the Faculties
they belong to; in 14 out of 85 Masters it was not possible to identify the Faculty.
   TQM issues are mainly dealt with and offered to Health Sector Public Adminstrations
through the Faculty of Medicine, namely 28 percent of the total, and the Faculty of
Economics with 24 percent. The other faculties show lower percentages.
   Out of the 85 Masters, 33 are 1st Level Masters and 50 are 2nd Level Masters (it was
not possible to identify the type of level for 2 of these). Therefore, the 1st and 2nd Level
Masters directed at Public Adminstrations with contents on quality are, respectively,
3 percent and 5 percent of all Masters offered in Italy.
   With reference to the 85 Masters, the average cost for the 1st Level is e 3,180 versus e
4,100 for the 2nd Level. With reference to the target, Figure 6 shows that the 85 Masters
are mainly directed at the graduate/executive/civil servant category. About 23 out of
85 Masters specifically target Health Sector professionals: this could be due to the fact
that it is mandatory for health workers to acquire 5 credits per year. Only five Masters
target managers from the School Sector.


University                 Credits                             Hours on quality issues

Faculty                    Duration (in months)                Didactic units for each module
Name of Master             Places available/total hours        Cost
Web address                Total modules                       Target
Master headmaster          Details of modules on quality       Contacts (mail, telephone)                 Table IV.
Level                                                          Academic year                     Master classification
BIJ                                 25
18,4                                20

                            Count   15

                                    10
502
                                     5

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                                                         on



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                                                                                            Faculty


                                                  60
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                                                  40
                                                  30
                                                  20
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                                                             Graduates/
                                                            executives/
                                                          civil servants




                                                                           Health workers




                                                                                                         School
                                                                                                      executives




                                                                                                                             Graduates and
                                                                                                                              public sector
                                                                                                                              professionals
Figure 6.
Target
                                                                                            Target

                           Strong diversity emerged in the language used to define the specific training contents.
                           Only for 74 out of 85 Masters was it possible to extract information on the modules
                           dedicated to quality.
                              Through interpretation and synthesis, the content diversity was brought back to
                           12 key categories: Figure 7 shows how contents are spread in the different educational
                           proposals. It should be pointed out that information on module content was not
                           available for all 85 Masters and that modules focusing on EFQM/CAF excellence
                           models are almost entirely non-existent.
                              The educational offer proposed by P.A. Schools and Colleges (henceforth referred to
                           as Schools) was simultaneously taken into account with the Masters provided by
                           Italian Universities.
                              Owing to the fact that an official list of these Schools is not available, a survey was
                           carried out using a list of central institutions (Constitutional Bodies, Ministries and
                           Agencies). Overall, 35 institutions were taken into account and 68 P.A. Schools and
                           Colleges were identified.
                              The Schools forming part of the survey can be divided into two different types:
                              (1) general Schools, providing training for all civil servants; and
                              (2) specialized Schools, providing training for employees of specific public
                                   institutions.
30                                                                          Peer evaluation
                25
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                                                                                            Key contents on quality
      Co




                                               Contents




From the analysis emerged that the Schools (general and/or specific) offer 319 courses,
which can be classified as follows:
   .
     training courses: training activity aimed at strengthening the knowledge of
     general or specific content, not directly linked to the attainment of qualifications;
   .
     qualification courses: training activity aimed at the achievement of a specific
     professional qualification;
   .
     refresher and retraining courses: training activities aimed at the adjustment of
     professional knowledge liked to a specific qualification;
   .
     degree course: training activity recognized by institutions (set up in cooperation
     with universities) and granting the attainment of 1st or 2nd Level Degrees;
   .
     Master: training activity recognized by institutions granting the attainment of
     higher education degrees; and
   .
     conferences, seminars, other activities: spot training activities aimed at
     popularizing and spreading specific issues.

It should be highlighted that the survey on courses offered by Schools, and carried out
following the criteria listed above, presents some gaps. This is largely due to the fact
that the courses offered adopt non-uniform presentation criteria.
    Figure 8 shows the training offer of Schools according to the above-mentioned
classification. According to the data, 79 percent are training courses while 6 percent are
Masters. The Master category is composed of university masters and training courses
referred to as Masters by the Schools. The latter are different from the former in terms
of duration and attainable qualifications.
    A further area of investigation concerned the distribution of courses offered in
comparison with their target. The courses target:
    .
       top levels (executives, directors, managers, high levels);
    .
       operative levels (technicians, employees, medium-low levels, officers, doctors,
       secretaries, trainers); and
    .
       top levels and operative levels.
BIJ                        This information was obtained in 106 out of 319 courses. The results are shown in
18,4                       Table V.
                              As expected, the stratification analysis demonstrated that General Schools focus on
                           top level training while Specialized Schools target operative levels.
                              An in-depth analysis was conducted on the contents of courses focusing on quality.
                           The information available was limited due to the fact that the Schools do not freely
504                        disclose their programme contents. Thus, a qualitative approach was adopted, listing
                           the contents of modules and didactic units. The information collected was arranged
                           according to key contents in line with the research carried out on university Masters.
                           The most widespread key contents are marketing and communications, leadership,
                           human resource management, customer satisfaction, quality improvement,
                           e-government, organization and processes, strategic planning, quality management
                           system, quantitative decision-making methods.
                              Through a comparison of the mapping of Masters offered by Italian Universities
                           and P.A. Schools and Colleges, the similarity in subjects dealt with became evident.
                           Furthermore, the absence of initiatives leading to the presentation of topics on
                           excellence models was confirmed.

                           5. Research implication
                           In accordance with the research aims, building a taskforce of people working in the
                           public sector capable of implementing peer evaluations requires integrating the
                           information collected in both the explorative and descriptive phases.
                              Research on training proposals addressed to Public Administrations in Italy
                           emphasizes the segmentation of the educational offer due to the absence of a common
                           vision and shared objectives. This results in the impossibility of creating a taskforce of
                           public employees able to independently spread quality culture in the public sector,
                           according to a common vision and disengaged from consultancies.
                              In particular, the first analysis of the needs expressed by public employees taking
                           part in the survey and with past experience in evaluation and self-evaluations,

                                                                                   Refresher and retraining
                                                           2%
                                                             2%                    Degree course
                                             5%       6%
                                        6%                                         Training
Figure 8.                                                                          Master
Classification of the                                                               Qualification
training offered by P.A.
Institution of                                                                     Seminars, congresses
Higher Learning                                                                    and other activities
                                                                  79%



                           Profile                                                                         Frequency (%)
Table V.
Targeted attendees         Operative                                                                           51
of P.A. Schools and        Top level                                                                           41
Colleges courses           Top and operative levels                                                             8
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2.peer evaluation

  • 1. The current issue and full text archive of this journal is available at www.emeraldinsight.com/1463-5771.htm BIJ 18,4 Peer evaluation to develop benchmarking in the public sector Lucio Cappelli 490 ` ` Facolta di Economia, Universita di Cassino, Cassino, Italy Roberta Guglielmetti ` Universita di Roma, Rome, Italy, and Giovanni Mattia, Roberto Merli and Maria Francesca Renzi ` Universita degli Studi Roma Tre, Rome, Italy Abstract Purpose – The urgency to strengthen the effectiveness and efficiency of public administrations has led to the adoption in the public sector – in Italy as well as in other countries – of tools and models inspired by the total quality management (TQM) approach, such as the common assessment framework (CAF). A parallel need was felt within public structures to train people, the “peers”, who aside from being able to implement the self-evaluation activities of their own administration, also needed to be equipped with the necessary skills to complete external evaluation activities, namely “peer evaluations”, with the ultimate aim of spreading quality management culture and best practices in the field through an approach based on benchmarking. The purpose of this paper is to present the results of a survey designed to determine the training requirements that a “peer” should acquire in order to perform “evaluation” activities. Design/methodology/approach – The paper has strong empirical connotations and is essentially based on, first, a questionnaire given to evaluators/self-evaluators to identify the problems emerging with the application of the CAF model in administrations that have adopted it. In this sphere a great deal of attention has been paid to – in addition to the preparation of the questionnaire – the delicate task of codifying the answers to open questions proposed to interviewees; and second, the investigation inherent in the current educational choices in Italy in the TQM arena, specifically addressing the public sector. Findings – Apart from the analysis of data obtained from the investigation, presented with descriptive statistics, the paper identifies the training content necessary: first, to place “peers” in a position to be able to autonomously and fully carry out their evaluation work on the basis of the CAF model; and second, to render the evaluation activities systematically comparable among the various administrations. Research limitations/implications – At the present time the research deals with the Italian context. However, future investigations involving different European countries could be carried out, taking the present results as a starting point for a benchmarking activity. Practical implications – The paper puts forward the creation of a “network” of actors who manage all the “peer evaluation” activities, from the provision of the training pack and monitoring the “peer” exchange process, up to benchmarking initiatives and the dissemination of best practices. Originality/value – The paper presents original data and information in order to identify the training needs of individuals that actually use CAF, starting from the assumption that the training of evaluators is the primary condition for promoting the adoption and diffusion of CAF in Italian public administrations and thus maximizing its benefits. Benchmarking: An International Journal Keywords Peer evaluation, Benchmarking, Public administration, Common assessment framework, Vol. 18 No. 4, 2011 Total quality management pp. 490-509 q Emerald Group Publishing Limited Paper type Research paper 1463-5771 DOI 10.1108/14635771111147605
  • 2. 1. Introduction Peer evaluation Modernization of the public administration process, which today is still a fundamental requirement for many countries, is framed within the intense debate that started at the end of the 1970s, and developed during the 1980s and 1990s, around the problem of changing government systems and public sector management. A key reference can be found in the scientific management philosophy known as New Public Management, that has certainly influenced – in different ways, to both acclaim and criticism – the Public 491 Administration change processes of several countries, notably Anglo-Saxon countries and first amongst these the UK, in turn drawing research inspiration from the practical experiences of these same countries (Boston et al., 1996, Denhardt, 1981, Dunleavy et al., 2006, Osborne and Gaebler, 1993, Simon, 1976). In Italy, the start of the debate on Public Administration reforms was greatly delayed with respect to the precursory countries: for example, we recall that precisely in the 1980s – while other countries were undertaking harsh structural reforms of their public sectors – the Italian public debt explosion was talking place. Reinforcing the urgency of a radical change of the complex Italian Public Administration was brought about the European unification process and especially participation to the single currency, with the resulting constraints related to debt and public deficit. These problems, which a good part of European countries share with Italy, have been brought to the fore by some recent events (think of the Greek crisis and the difficult situations in Portugal and Spain). In this context, numerous instruments have been identified as useful references for the innovative management of public sector organizations. Amongst these several models inspired by total quality management (TQM), such as common assessment framework (CAF, to be discussed extensively below), have become widespread. This present work, which has as its central theme several issues specifically linked to the use of CAF, draws its inspiration from two surveys developed by the authors: it thus has a strong empirical connotation and the aim of identifying the key factors that can promote the diffusion of the CAF instrument – such as internal and external benchmarking activities aimed at improving public organizations – largely but not exclusively referring to Italy. Both these objectives, as will be ascertained, can be attained by means of the “peer evaluation” instrument. In wanting to find an initial and concrete public act to motivate the process of change in the Italian public sector we should probably start with Law no. 59 of March 15, 1997, the so-called “Bassanini Law” that urges institutions to be more responsible towards citizens in terms of transparency, efficiency and effectiveness. The aim of the process is to strengthen awareness that the competitiveness of a country depends on the quality of its public administration. In particular, through the concept of quality, the public utility process supplied to citizens is linked to the organizational and managerial performance of institutions. This is demonstrated on one side by the creation of initiatives leading to the improvement of the service provided, to the transparency of management, to rewarding the best performing administrations and, on the other side, by the development of benchmarking (Camp, 1991) as a tool to compare best practices among institutions. The December 19, 2006 Directive “for quality-oriented public administrations” is linked to this context of transformation and change. It aims to produce a substantial increase in the number of administrations engaged in quality improvement, both on a central and local level, with a focus on areas and contexts where citizen satisfaction
  • 3. BIJ and trust in public administrations is quite low. The Directive promotes the introduction 18,4 of the TQM approach in the self-evaluation process as a standard managerial procedure in public administrations. Self-evaluation can be defined as a systematic analysis of the results of the organizations, leading to the identification of their strengths and weaknesses in order to implement specific improvement actions. The spread of self-evaluation, considered as the essential requirement for continuous 492 performance improvement and benchmarking, is supported by the adoption of internationally defined models of excellence such as the EFQM model thoroughly tested in the public and private sector. Within the public sector, the CAF (2006) is used more and more often. This is a common European framework leading to the spread of quality culture in the public sector and originates from the EFQM model. It is composed of nine criteria, five Enablers and four Results, which can be used by the organization to initiate the self-evaluation process. CAF is the reference point used by the Department of Public Function to develop competition in Italy, entitled “Quality in Public Administration Award”, and is dedicated to all public administrations that apply the CAF model. The winner is the organization that achieves the highest scores in CAF-based assessments. CAF is also the reference point used by the Department of Public Function to implement peer evaluation in the public sector as a natural systematic process. It provides European institutions with a common system of references and language to carry out comparisons as well as promoting the definition of plans to improve critical processes in administrations. The CAF model can therefore be regarded as a powerful tool at the disposal of public administrations in the context of systematic benchmarking activities. To activate a successful benchmarking process, institutions need to submit the results of their self-evaluations for external validation, adopting the most suitable options according to the needs of the organization, such as certification, participation in international and national awards and peer-to-peer evaluations. Peer evaluation is one of the tools available. This kind of activity, expressly indicated in the Department of Public Function’s Action Plan, promotes the spread of quality culture through the adoption of appropriate benchmarking policies, benchlearning and the identification of best practices to be diffused in the public sector. Peer evaluation is carried out by a taskforce of experts, the peers, who are in charge of evaluating quality management performance in the organization. In order to be considered external auditors, peers must have adequate knowledge, skills and preparation on TQM principles and on the CAF model. Training is therefore a key factor to activate peer evaluation in the public sector. This paper presents some results of a research project carried out in cooperation with the Department of Public Function. The main objectives of the research are: (1) identification of the training needs of those “peers” that actually have to implement evaluation activities; and (2) designing a network of different actors able to assume the management function – on a strategic, coordination and operational level – of the set of “peer evaluation” activities. 2. Methodology As we already mentioned, the paper has empirical bases. In fact, in order to achieve the research objectives indicated above, two parallel field-investigations were carried out:
  • 4. (1) The first relies on a questionnaire-based survey; such a tool was administered to Peer evaluation evaluators/self-evaluators belonging to organizations where CAF was already adopted, with the aim of defining the sectors where training requirements are most needed. (2) The second intended to identify the training offer based on TQM content existing today and targeted at the public sector. 493 The research endeavours to define a training format aimed at: . guaranteeing a common and shared package of knowledge and skills; . facilitating the creation of a stakeholder network; . consolidating the peer evaluation system; and . speeding up the process of change indicated above. The present paper highlights some of the most interesting results and proposals deriving from the entire research project, based on the assumption that CAF is considered the reference model to implement “peer evaluation”. It is worth recalling that literature on CAF has produced numerous and significant contributions since the earliest years of the model’s dissemination (2000). However, this is almost entirely about works dealing with issues such as: . research inherent to the spread of CAF in European countries (Staes and Thijs, 2005; Engel and Fitzpatrick, 2003); . research on the dissemination of CAF in specific public administration sectors (Dearing et al., 2006; Dipartimento della Funzione Pubblica, 2006); and . interpretation – and opinions – of the model in its concrete application in public administration context (Heino et al., 2007; Hellenic Ministry of the Interior, 2006; Conti, 2004). There are practically no contributions focusing research on actors that carry out evaluations and self-evaluations with the CAF model with the specific objective of identifying the knowledge and skills necessary for the implementation of this activity. Up to today – with specific reference to the situation in Italy, but probably common to other European countries – training of evaluators has been based on “spot” initiatives, neither systematically planned nor managed. Understanding the training needs of those who practice concrete evaluation activities seems to be the first step in bridging this gap and to establish a systematic process of “creating” evaluators in the context of a more comprehensive approach based on “peer evaluation”. This paper – through the two empirical surveys on which it is based – has the objective of defining both an appropriate training course for “peers” and putting forward the constitution of a network of public subjects for the management of all “peer evaluation” activities. The carrying out and some significant results obtained in both investigations – A and B – are described below. 3. First investigation (A): functioning and results The first investigation has been developed on a sample of evaluators/self-evaluators, in order to define the areas where training and support interventions are necessary. The analysis of training needs is the first step of the entire training process to highlight
  • 5. BIJ the gaps that a professional/operator needs to bridge to continuously adjust his knowledge 18,4 and skills. This is a basic step in defining each training objective and is pivotal in achieving effective interventions. In Italy, ISFOL is a point of reference for concepts, models, schemes and skill exemplification. The proposed model refers to expertise as a dynamic system of knowledge, skills, attitudes and capabilities: it is achieved not only through knowledge, but also through “know-how” and “know-how-to-be”. The training objective is to fill the gap 494 between actual skills, knowledge and capabilities and the optimum working standards as established by the organization. In this research, in order to evaluate this gap, an investigation among civil servants with direct experience of the CAF model was carried out. The objectives of the investigation required drafting a questionnaire as the survey tool to analyze peer evaluators in terms of knowledge, know-how and know-how-to-be. The questionnaire was structured on the “gap model” and aimed to establish the gap between the ideal evaluator/self-evaluator and actual knowledge, skills and relational aspects. The structure of the questionnaire was based on the following criteria: . to refer to the knowledge and skills (Boyatzis, 1992; Hay Group, 1993) required of evaluators/self-evaluators and to criticalities in the use of the CAF model (CAF, 2006); . to carry out a critical analysis with appropriate systematic sorting of the knowledge and skills held by evaluators/self-evaluators; as a result of this analysis, an initial set of knowledge and skills of reference was proposed to the interviewees on each of the CAF criteria; . to define a picture of the evaluation/self-evaluation experiences acquired by interviewees; . to also duly consider the “immaterial” aspects of the evaluation, such as the relational aspects that somewhat impact on the outcome of the process; . to obtain direct indications on training programmes for evaluators/ self-evaluators, investigating the balance between theory and application in room and on the job training, live or distance training; and . to maximize personal and free contributions of interviewees through the ample use of open questions. The questionnaire was composed of six sections with a total of 31 questions: seven of which were open questions and the remaining were multiple choice and scale questions (intensity, ratios, semantic differentials). The questionnaire was submitted as a pre-test to 15 target individuals and some minor optimization adjustments were made as a consequence. It should be pointed out that the open questions in reality were more than seven: a particular question requires in fact an answer (open) for each of the nine criteria of the CAF model. When taking this into consideration, open questions total 15. As known, open questions pose significant additional problems for the elaborations of answers. The main issues arising from open questions are: . for people filling in the questionnaire: the difficulty in summarizing answers; and . for people analyzing the questionnaire: the difficulties in respect of codification, risking loosing relevant information.
  • 6. Nonetheless, on one side the interpretation and codification of open questions requires Peer evaluation additional work in terms of time and commitment but on the other they are rather useful to investigate the subject in-depth, thus acquiring ulterior information. In fact, a large quantity and variety of comments and observations on criticalities/difficulties encountered by evaluators/self-evaluators was collected. In order to organize the informative content a number of steps were followed: (1) differentiate the multiple concepts contained in the same answer in order not to 495 lose the informative content; (2) homogenize the language used by different interviewees to express similar concepts; (3) interpret the answers through synthetic yet representative expressions; (4) codify answers via a homogeneous classification system, suitable to implement the statistical descriptive analysis; (5) eliminate redundancies (overlapping codification); and (6) group the codified answers into tailor-made macro-categories. Each macro-area contains those expressions codified with the same meaning. With this approach it was possible to maximize the amount of information and to proceed with the statistical analysis of the results in order to establish the critical difficulties to focus on. It should be specified that the choice to use descriptive statistical tools is coherent with the type of information and data that existed. Indeed, it should be stressed that the main difficulty – which required an intense work of interpretation, homogenization and classification of answers – was in achieving a simple and instant representation of a complex situation of a mass of highly heterogeneous information. The questionnaire was made up of 27 closed questions investigating 6 themes: knowledge and skills; evaluation experiences; use of the model; improvement plans and designs; rational aspects; evaluation training programmes. Opinions were requested on the importance, utility and difficulty of each of the above-mentioned themes, depending on the specific investigation area. It should be stressed that the analysis of the results of open and closed questions was performed collectively in order to maximize the survey’s informative value. The population to whom the questionnaire was submitted was identified through a Formez database and was made up of 160 CAF managers and evaluators trained during the two editions of the “Quality in the Public Administration Award” that took place in Italy in 2005 and 2007. The survey was submitted via e-mail. A total of 78 questionnaires were compiled and returned, representing 49 percent of the population. The sample was mainly constituted of individuals who worked as report writers (41 percent), followed by self-evaluators (32 percent) and evaluators (26 percent). The interviewees took part in the following quality training programmes: CAF Evaluator Course (30 percent); ISO 9000 Audit Course (25 percent); “The paths of Quality” Laboratory projects (15 percent). In the evaluation team, 71 percent of interviewees worked as team member, while 29 percent worked as “team leaders”. In accordance with the research aims, simple statistical tools were adopted with the purpose of defining the spread of evaluation and self-evaluation approaches within public administrations as much as possible.
  • 7. BIJ The following statistical instruments were used to analyse the results of open 18,4 questions, following their codification: . bar chart, to identify the frequencies of distribution for each codified expression; . Pareto chart, to identify priority criticalities/difficulties according to the standard 80-20 rule; and 496 . cause-and-effect chart (or Ishikawa chart (Ishikawa, 1985)), to represent the primary and secondary causes of a given effect of the study. Since in this context it is not possible to provide an overview of the processing of answers, selection criteria based on a double principle were adopted: (1) the “object” of the survey principle, the CAF model; and (2) the principle based on the “role” of interviewees: evaluators and self-evaluators. It is important to point out that the data analysis is based on interviewee responses. From the “object” principle point of view, the most relevant element is the particularity of the CAF model, which can be divided into two parts: as mentioned above, the first area includes the criteria defined as Enablers, the second criteria are defined as Results. The Enablers examine the managerial approaches used by the organizations and how they are applied in order to achieve their planned objectives, whereas the Results focus on indicators and measurements to demonstrate what the organization is achieving. Analyzing the Results and comparing them with the planned objectives allows implementing continuous improvements through innovation and benchlearning processes. The hypothesis to be verified is whether the model’s dichotomy is confirmed in the criticalities/difficulties indicated in the survey, so that they are differentiated when referring to Enablers rather than Results in the CAF model. From the “role” principle point of view, the key element lies in the different experiences of interviewees: as evaluators and self-evaluators. Evaluators work in institutions that they do not belong to, carrying out evaluations starting out from documentation (the so-called “application”) of the organization to be assessed, and ending with the so-called “site visit”. Self-evaluators carry out assessment activities in the institutions they belong to, producing the respective documentation. Of interest is understanding whether different criticalities/difficulties emerged in the survey and to what extent they are represented by the two categories of interviewees. Figures 1 and 2 analyze the data gathered according to the CAF model. Through a comparison of the two models, it is possible to note that in the case of Results the criticalities/difficulties are clustered around a few micro-categories. In particular, the macro-category “measurement indicators” represents 50 percent of the total, followed by “data analysis” and by “model use” with 15 percent. In the case of Enablers, the most important macro-categories are “model use” with 25 percent, followed by “evaluation documents” and “evaluations criteria” with 20 percent and “quality approach” with 15 percent. It seems clear that in the evaluation of Results the most relevant aspect in terms of difficulties is linked to the availability of measurements and/or identification of suitable indicators, followed by the interpretation of data to analyze. In the evaluation of Enablers, the most relevant factor is the difficulty to apply the model in the specific context of the organization, followed by the difficulties regarding evaluation documents, such as drafting and interpreting the application,
  • 8. 100.00 Peer evaluation 240 90.00 80.00 Cumulative percentage 200 70.00 160 60.00 Counts 50.00 120 40.00 497 80 30.00 20.00 40 10.00 0 0.00 se s ria ch ps s e n ge e t am g si t or m m io in en u hi oa ka vi ite at he Ti te at n el m ns ai pr lin ic te in cr sc n od cu Tr io nd Si io ap rd n el n M do at at io oo tI tio y od el Figure 1. u at lit en n lc al lr ua M io u ua Ev m al na na al at Main difficulties Q re Ev Ev io u so su al at er Ev ea iz encountered in “Enablers” rp an M te rg In O 100.00 280 90.00 Cumulative percentage 240 80.00 70.00 200 60.00 Counts 160 50.00 120 40.00 30.00 80 20.00 40 10.00 0 0.00 s is e e ge ria ts am or us m ys en ka ite at he te al el m Figure 2. lin ic cr sc n an od cu nd tio n el n M do a tio ti tio ua at od Main difficulties en n D ua al ua M tio m Ev al al ua re encountered in “Results” Ev Ev su al Ev ea M the evaluation of the single criteria and the general approach to quality. We should point out that some participants worked as both evaluators and self-evaluators but were not taken into account in this context. The data regarding knowledge (Table I) is consistent with the results of Enablers in the model, underlining the need for training processes focused on TQM content and CAF model principles. Intersecting the data on open questions with some data on closed questions, shown in Figures 1 and 2, the necessity to provide adequate training on quality, especially through the creation of appropriate competencies (Table II), is confirmed and consistent with the above-mentioned CAF Results. A further in-depth examination of CAF in Table III shows the average difficulties encountered in each of the nine CAF criteria. The most relevant information is:
  • 9. BIJ List of knowledge Average usefulness (1-10) 18,4 TQM principles and tools 9.13 CAF/EFQM models 9.12 Audit techniques 8.22 Interpersonal relationship management 8.19 498 P.A. Organization 8.18 Communication (internal and external) 8.03 Benchmarking 7.77 Laws on P.A. modernization and simplification 7.64 Management control 7.54 Regulations ISO 9001, 9004, 14001, 19011, SA8000 7.36 IT 6.95 Table I. Statistics 6.88 Average usefulness Marketing 6.14 of knowledge Economic theory 5.92 List of skills Average usefulness (1-10) Setting-up a system of indicators 8.94 Representation and reading of processes 8.87 Improvement tools and methods 8.81 Audit interview management 8.58 Gathering, reading and quantitative data processing 8.35 Strategic planning 8.18 Evaluation tools for personnel / executives 8.12 Planning and analysis of people satisfaction surveys 7.96 Table II. Project management 7.96 Average usefulness Mapping of personal skills 7.64 of skills Identification of training needs 7.52 List of criteria Average difficulty (1-10) Company results 6.05 Results on key performances 5.68 Processes 5.12 Citizen/client oriented results 4.96 Personnel results 4.68 Policies and strategies 4.63 Table III. Partnership and resources 4.59 Difficulty of CAF criteria Leadership 4.36 (closed question) Personnel 4.07 . Criteria 3 “Personnel” is the least difficult to evaluate. This result may be linked to the fact that some personnel management methods are without doubt used in all organizations, thus making their evaluation easier. . Among the five easiest criteria to be evaluated, four belong to factors. This evidence further strengthens the hypothesis of a clear distinction between
  • 10. Enablers and Results in the CAF model, consistent with several Peer evaluation criticalities/difficulties highlighted by the investigation. The disaggregated data of interviewees, evaluators or self-evaluators is analyzed below. It is important also in this case to understand whether criticalities/difficulties are different with reference to the two groups or whether, to the contrary, the “role” is irrelevant. 499 Figures 3 and 4 report the data on evaluators and self-evaluators. It is evident that criticalities/difficulties are clearly different in the two groups. The first three micro-areas for evaluators are “measurement indicators” with 30 percent, “evaluation documents” with 15 percent and “model use” with 10 percent. On the other hand the first three macro-areas for self-evaluators are “interpersonal relationships” with 20 percent, “evaluation scheme” and “measurement indicators” with 15 percent. Therefore, the main difficulties in the evaluation process for evaluators lie in the availability of data 160 100.00 150 90.00 140 130 80.00 120 Cumulative percentage 110 70.00 100 60.00 90 Counts 80 50.00 70 40.00 60 50 30.00 40 30 20.00 20 10.00 10 0 0.00 s n ts e e e a ch am ps s is t si or ge us im m ri io en ys hi oa vi ite at he te at ka T al el um ns pr ic te lu cr sc n lin an od tio nd io Si ap va oc n n M at a io el la ti E io D y at lu od re at lit en at D va lu Figure 3. lu ua M al m va E va on re Q E su E rs Difficulties for evaluators pe ea M er t In 100.00 180 90.00 Cumulative percentage 160 80.00 140 70.00 120 60.00 Counts 100 50.00 80 40.00 60 30.00 40 20.00 20 10.00 0 0.00 ps e rs ts se h t s s e on ng ffer visit hi m to en m tea el u ac men lysi ge Ti m ati ini ns he ca m ro e a ka o te o ns c nd i u tio n od pp rov a an l lin alu Tra ning Si ati o ti a oc M a t ev i lr el ati en ion d alu al ity Imp Da o de r ia T ra Figure 4. a lu em luat Ev ite on va r Qu M Cr Difficulties for rs E su va pe ea E self-evaluators ter M In
  • 11. BIJ and measurements, and in the interpretation of the documents provided by the institution 18,4 to be assessed. Instead, for self-evaluators the main difficulty lies in internal relationships resulting from the evaluation activity: management of the relationship with executives and colleagues is quite sensitive and critical for those in charge of collecting proof, information and data to draft evaluation documents according to the CAF model. The second macro-category for evaluators is the model’s “evaluation scheme”. It is 500 interesting to note that the macro-category “time” is in fourth position for evaluators, while it is clearly less relevant for self-evaluators. Therefore, overall, the data disaggregated into evaluators and self-evaluators confirms the initial hypothesis of a clear distinction between the criticalities/difficulties of the investigation. This distinction, as well as the dual structure of the model, needs to be duly considered in order to identify the basic format of the training content. From this stratification, we were able to obtain useful information in aid of designing a customized training format. 4. Second investigation (B): functioning and results The second investigation focused on the mapping and analysis of the training content on TQM principles and models for civil servants, leading to defining a scenario to verify the state of the art in the training offer. The aim was to verify the current situation on TQM training in public administrations through the identification of the main training agencies in Italy and the courses available on this subject. In detail, the analysis focused on: . Identification of the training agencies that thus far offer training courses on these subjects. . Analysis of the training courses offered by universities and Higher Learning Public Administration Institutions with an in-depth examination of contents (modules, educational units, hours dedicated to TQM issues). Attention was focused on two types of offers considered significant for P.A.: 1st and 2nd Level Masters and courses provided by Higher Learning P.A. Institutions. The research activity was carried out in September 2008 and was designed as follows: . setting-up the work methodology and defining the survey’s scope; . research of existing TQM training offers in Italian Universities; and . research of the existing TQM training offers in P.A. Schools and Colleges. The starting point was to verify the availability of a database on Italian universities. Through consulting the Ministry’s web site, and in particular the Statistics Office’s, it was possible to draft a list of educational offers in Italian universities in the academic year 2006/2007. However, after a more in-depth analysis, this database was quite limited due to fact that the Masters are activated on a yearly basis. A new exercise was carried out to identify the Masters offered by universities and Higher Learning P.A. Institutions for the academic year 2007-2008. The starting point was Cineca’s list of Italian universities (www.cineca.it). According to this source, in June 2008, Italian Universities numbered 84. A census survey was conducted on the universities’ web sites, intersecting university, faculty and department data available online.
  • 12. Through this survey of web sites, it was possible to collect basic information on Peer evaluation Masters and to classify them into a single dataset according to the following parameters: University, Faculty, Number of 1st Level Masters offered, Number of 2nd Level Masters offered, Masters not available online, Public Administration targets, Quality contents, Web site, Notes. With the aim of verifying how quality culture is spread among trainers, a detailed desk analysis of University Masters was carried out, selecting Masters presenting both 501 of the following characteristics: . targeting Public Administration internal personnel (graduates/executives/civil servants); and . examining issues related to TQM. For these Masters a schema was created with the following characteristics (Table IV). Up to 4th July 2008, the offer provided by Universities in Italy (public and private) was 1,166 1st Level Masters and 933 2nd Level Masters, for a total of 2,099 Masters. In particular, University Masters (1st and 2nd Level) targeted at public administration and offering contents on quality are 85. It is worth noting that six among those are MIMAPs (Master in Public Administration Innovation and Management) offered by the Universities of Cassino, Catania, Foggia, Roma Tre, Roma Tor Vergata, Salerno. A total of 49 percent of the 85 Masters identified are based in central Italy, while North and South Italy share the remaining quota. Figure 5 shows the distribution of the 85 Masters with reference to the Faculties they belong to; in 14 out of 85 Masters it was not possible to identify the Faculty. TQM issues are mainly dealt with and offered to Health Sector Public Adminstrations through the Faculty of Medicine, namely 28 percent of the total, and the Faculty of Economics with 24 percent. The other faculties show lower percentages. Out of the 85 Masters, 33 are 1st Level Masters and 50 are 2nd Level Masters (it was not possible to identify the type of level for 2 of these). Therefore, the 1st and 2nd Level Masters directed at Public Adminstrations with contents on quality are, respectively, 3 percent and 5 percent of all Masters offered in Italy. With reference to the 85 Masters, the average cost for the 1st Level is e 3,180 versus e 4,100 for the 2nd Level. With reference to the target, Figure 6 shows that the 85 Masters are mainly directed at the graduate/executive/civil servant category. About 23 out of 85 Masters specifically target Health Sector professionals: this could be due to the fact that it is mandatory for health workers to acquire 5 credits per year. Only five Masters target managers from the School Sector. University Credits Hours on quality issues Faculty Duration (in months) Didactic units for each module Name of Master Places available/total hours Cost Web address Total modules Target Master headmaster Details of modules on quality Contacts (mail, telephone) Table IV. Level Academic year Master classification
  • 13. BIJ 25 18,4 20 Count 15 10 502 5 0 e y es g es y er y w in om in ar og La th nc nc ic er lin ol O Figure 5. on ie ie ed ne ci ip sc sc Ec M gi So isc Faculty offering masters al n En io rd ic at lit te with contents on uc In Po Ed quality in P.A. Faculty 60 50 Counts 40 30 20 10 0 Graduates/ executives/ civil servants Health workers School executives Graduates and public sector professionals Figure 6. Target Target Strong diversity emerged in the language used to define the specific training contents. Only for 74 out of 85 Masters was it possible to extract information on the modules dedicated to quality. Through interpretation and synthesis, the content diversity was brought back to 12 key categories: Figure 7 shows how contents are spread in the different educational proposals. It should be pointed out that information on module content was not available for all 85 Masters and that modules focusing on EFQM/CAF excellence models are almost entirely non-existent. The educational offer proposed by P.A. Schools and Colleges (henceforth referred to as Schools) was simultaneously taken into account with the Masters provided by Italian Universities. Owing to the fact that an official list of these Schools is not available, a survey was carried out using a list of central institutions (Constitutional Bodies, Ministries and Agencies). Overall, 35 institutions were taken into account and 68 P.A. Schools and Colleges were identified. The Schools forming part of the survey can be divided into two different types: (1) general Schools, providing training for all civil servants; and (2) specialized Schools, providing training for employees of specific public institutions.
  • 14. 30 Peer evaluation 25 20 Counts 15 10 5 0 503 s . ce e ly m n t .. ip t s t.. en en se el ic io r. pp te sh ur ke od rv es em m ct fo ys er so Su ar se fa rn oc em ts ds ov ad re m tis ve pr in en ho Le pr nc an sa d go d y em an im et lle an um lit er em y ua n ag lit ce m y n -h io lit io stu ua Q an Ex tiv ng at ua at Eq m ic Co ita ni iz Q un y an an nt lit Figure 7. m ua Pl rg ua m O Q Q Key contents on quality Co Contents From the analysis emerged that the Schools (general and/or specific) offer 319 courses, which can be classified as follows: . training courses: training activity aimed at strengthening the knowledge of general or specific content, not directly linked to the attainment of qualifications; . qualification courses: training activity aimed at the achievement of a specific professional qualification; . refresher and retraining courses: training activities aimed at the adjustment of professional knowledge liked to a specific qualification; . degree course: training activity recognized by institutions (set up in cooperation with universities) and granting the attainment of 1st or 2nd Level Degrees; . Master: training activity recognized by institutions granting the attainment of higher education degrees; and . conferences, seminars, other activities: spot training activities aimed at popularizing and spreading specific issues. It should be highlighted that the survey on courses offered by Schools, and carried out following the criteria listed above, presents some gaps. This is largely due to the fact that the courses offered adopt non-uniform presentation criteria. Figure 8 shows the training offer of Schools according to the above-mentioned classification. According to the data, 79 percent are training courses while 6 percent are Masters. The Master category is composed of university masters and training courses referred to as Masters by the Schools. The latter are different from the former in terms of duration and attainable qualifications. A further area of investigation concerned the distribution of courses offered in comparison with their target. The courses target: . top levels (executives, directors, managers, high levels); . operative levels (technicians, employees, medium-low levels, officers, doctors, secretaries, trainers); and . top levels and operative levels.
  • 15. BIJ This information was obtained in 106 out of 319 courses. The results are shown in 18,4 Table V. As expected, the stratification analysis demonstrated that General Schools focus on top level training while Specialized Schools target operative levels. An in-depth analysis was conducted on the contents of courses focusing on quality. The information available was limited due to the fact that the Schools do not freely 504 disclose their programme contents. Thus, a qualitative approach was adopted, listing the contents of modules and didactic units. The information collected was arranged according to key contents in line with the research carried out on university Masters. The most widespread key contents are marketing and communications, leadership, human resource management, customer satisfaction, quality improvement, e-government, organization and processes, strategic planning, quality management system, quantitative decision-making methods. Through a comparison of the mapping of Masters offered by Italian Universities and P.A. Schools and Colleges, the similarity in subjects dealt with became evident. Furthermore, the absence of initiatives leading to the presentation of topics on excellence models was confirmed. 5. Research implication In accordance with the research aims, building a taskforce of people working in the public sector capable of implementing peer evaluations requires integrating the information collected in both the explorative and descriptive phases. Research on training proposals addressed to Public Administrations in Italy emphasizes the segmentation of the educational offer due to the absence of a common vision and shared objectives. This results in the impossibility of creating a taskforce of public employees able to independently spread quality culture in the public sector, according to a common vision and disengaged from consultancies. In particular, the first analysis of the needs expressed by public employees taking part in the survey and with past experience in evaluation and self-evaluations, Refresher and retraining 2% 2% Degree course 5% 6% 6% Training Figure 8. Master Classification of the Qualification training offered by P.A. Institution of Seminars, congresses Higher Learning and other activities 79% Profile Frequency (%) Table V. Targeted attendees Operative 51 of P.A. Schools and Top level 41 Colleges courses Top and operative levels 8