Organizational Assessment and Improvement in the Public Sector (American Society for Public Administration Series in Public Administration and Public Policy)

254 Pages·2009·1.8 MB·English

by  Kathleen Immordino

ORGANIZATIONAL
ASSESSMENT AND
IMPROVEMENT IN
THE PUBLIC SECTOR
American Society for Public Administration
Book Series on Public Administration & Public Policy
Editor-in-Chief
Evan M. Berman, Ph.D.
National Chengchi University, Taiwan
[email protected]
Mission: Throughout its history, ASPA has sought to be true to its founding prin-
ciples of promoting scholarship and professionalism within the public service. The
ASPA Book Series on Public Administration and Public Policy publishes books that
increase national and international interest for public administration and which dis-
cuss practical or cutting edge topics in engaging ways of interest to practitioners,
policy-makers, and those concerned with bringing scholarship to the practice of pub-
lic administration.
Organizational Assessment and Improvement in the Public Sector,
Kathleen M. Immordino
Major League Winners: Using Sports and Cultural Centers as Tools
for Economic Development, Mark S. Rosentraub
The Formula for Economic Growth on Main Street America, Gerald L. Gordon
The New Face of Government: How Public Managers Are Forging a New
Approach to Governance, David E. McNabb
The Facilitative Leader in City Hall: Reexamining the Scope
and Contributions, James H. Svara
American Society for Public Administration
Series in Public Administration and Public Policy
ORGANIZATIONAL
ASSESSMENT AND
IMPROVEMENT IN
THE PUBLIC SECTOR
KATHLEEN M. IMMORDINO
CRC Press
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Library of Congress Cataloging‑in‑Publication Data
Immordino, Kathleen M.
Organizational assessment and improvement in the public sector / Kathleen M.
Immordino.
p. cm. --  (American Society for Public Administration book series on public
administration & public policy)
Includes bibliographical references and index.
ISBN 978-1-4200-8420-7 (hardcover : alk. paper)
1. Organizational effectiveness--United States--Evaluation. 2. Administrative
agencies--United States--Management--Evaluation.  I. Title.
JK421.I52 2010
352.3’5--dc22 2009028181
Visit the Taylor & Francis Web site at
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and the CRC Press Web site at
http://www.crcpress.com
Contents
Prologue ......................................................................................................xiii
Foreword .....................................................................................................xvii
Acknowledgments ........................................................................................xxi
About the Author ......................................................................................xxiii
1 Organizational Assessment and the Public Sector .................................1
The Demand for Effectiveness and Efficiency ..............................................3
Organizational Assessment ..........................................................................6
What Is Organizational Assessment? ..................................................7
Assessment and Organizational Development ............................................10
How Does Assessment Work? ...........................................................11
Stage 1: Understanding the Current State of the Organization .........13
Information Collection and Exchange .....................................14
Stage 2: Visioning and Gap Analysis ................................................14
Stage 3: Improvement Planning and Prioritization ...........................14
Stage 4: Outcomes and Feedback .....................................................15
Challenges in Public Sector Assessment and Improvement ........................16
Dealing with Public Perceptions of Bureaucracy ...............................16
Understanding the Complex Nature of Government Service ............16
Lack of Control over the Inputs ........................................................17
Balancing Competing Perspectives ...................................................18
Consequences for Poor Performance .................................................19
A Culture of Risk Aversion ...............................................................19
The Public Nature of Work, Successes, and Failures .........................19
Reconciling the Priorities of Elected Officials and Career Staff .........19
Opportunities in Public Sector Assessment ................................................21
Focusing Attention on the Organization, Not the Discipline ...........21
Creating a Basis for Improvement .....................................................22
Providing Ways to Measure Success: Defining Success Factors
and Measuring Results .....................................................................22
Creating Awareness about Effective Practices in Other Sectors .........23
v
vi ◾ Contents
The Role of Constituents and Beneficiaries in the Assessment
Process ..............................................................................................23
Summary ...................................................................................................25
Notes .........................................................................................................25
2 Assessment as a Communication Process .............................................27
Communication Processes in Self-Assessment ...........................................29
Communication Process 1: Creation of a Common Language .........29
Providing a Common Language to Talk about the
Organization ...........................................................................31
The Vocabulary of Assessment and Continuous
Improvement ..........................................................................34
Communication Process 2: Information Collection and
Exchange ..........................................................................................35
The Importance of People in the Information Collection
Process .....................................................................................36
Communication Process 3: Negotiation and
Consensus-Building ..........................................................................39
Communication Process 4: Communicating Assessment
Outcomes .........................................................................................41
Communication as a Subject of Assessment ............................44
Summary ...................................................................................................45
Notes .........................................................................................................45
3 Applying Assessment Practices in the Public Sector ............................47
Current State of Assessment in Government and How It Has
Developed over Time .................................................................................50
Internal and External Audit Functions .............................................52
Performance Measurement ...............................................................52
The Government Performance and Results Act.................................54
Performance Assessment Rating Tool ...............................................55
Balanced Scorecard ...........................................................................56
Structured Self-Assessment Models ............................................................58
Baldrige National Quality Award and Criteria for Performance
Excellence .........................................................................................58
Adapting the Baldrige Award Program .............................................62
Baldrige-Based State Award Programs ..............................................63
Baldrige-Based Federal Award Programs .........................................64
The President’s Quality Award .................................................65
Adapting Existing Assessment Processes for the Public Sector
Assessment ................................................................................................66
Customers and Constituents: A Lesson in Semantics ........................67
Examining Results and Outcomes ....................................................68
Contents ◾ vii
State Quality Awards .................................................................................69
Summary ...................................................................................................71
Notes .........................................................................................................71
4 The Public Sector Assessment and Improvement Model ......................73
Structure ....................................................................................................74
Organizational Profile.......................................................................76
Organizational Purpose ...........................................................76
Structure ................................................................................77
Demographics ........................................................................77
The Human Factor Group: Interpersonal and Communication
Competence ..............................................................................................77
Category 1: Leadership ....................................................................77
Leadership Elements .........................................................................79
Leadership Structure and Practices ..........................................79
Ethical Leadership ...................................................................80
Category 2: Constituents ..................................................................80
Constituent Elements .......................................................................82
Identifying Constituents ..........................................................82
Assessing Constituent Needs, Expectations, and
Satisfaction ..............................................................................82
Building Constituent Relationships .........................................83
Category 3: Workforce.....................................................................84
Workforce Focus Elements ...............................................................85
Workforce Planning ................................................................85
Performance Assessment and Recognition ...............................86
Learning and Professional Development ..................................86
Workplace Climate ..................................................................87
The Operational Factors: Enabling the Work of the Organization .............87
Category 4: Strategic Planning .........................................................87
Strategic Planning Elements .............................................................88
Strategic Plan Development .....................................................88
Implementing the Strategic Plan ..............................................89
Category 5: Measurement and Analysis ...........................................90
Dashboards ................................................................................................91
Measurement and Analysis Elements ................................................92
Information .............................................................................92
Performance Measurement ......................................................93
Benchmarking .........................................................................93
Category 6: Programs and Processes .................................................93
Programs and Processes ....................................................................95
Core Programs, Services, and Processes ...................................95
Administrative Support Processes ............................................96
viii ◾ Contents
Category 7: Results ...........................................................................96
Results ..............................................................................................97
Performance Measures and Results ..........................................97
Assessment: Applying the Information Learned .........................................98
Stage 1 ..............................................................................................98
Stage 2 ..............................................................................................98
Stage 3 ............................................................................................100
Stage 4 ............................................................................................100
Notes .......................................................................................................100
5 Implementing a Self-Assessment Program .........................................101
Step 1: Preparing for an Assessment .........................................................102
Determining Readiness for Assessment...........................................103
Leadership Support .........................................................................103
Workforce Climate .........................................................................104
Timing and Agency Priorities .........................................................105
Planning the Implementation .........................................................106
Identify the Scope of the Assessment ..............................................108
Select a Model .......................................................................109
Choosing an Implementation Method ...................................110
Balancing the Available Time Frame with the Available
Resources ...............................................................................110
Comparison of Methods ........................................................112
Decide Whether and How to Use Facilitators ........................115
Identify and Train the Participants ........................................117
Communicate the Plans for the Assessment ...........................118
Keys to Success ...............................................................................118
Get People to Believe in the Concept and Process, Not the
Label or Name .......................................................................118
Create Realistic Expectations .................................................119
Find a Champion ..................................................................119
Pay Attention to Participant Demographics ...........................119
Use This as an Opportunity for Political and Career Staff
to Learn from Each Other .....................................................119
Step 2: Conducting the Assessment Process .............................................120
Compiling an Organizational Profile ..............................................120
Structure ...............................................................................120
Staffing ..................................................................................120
Select Appropriate Benchmarking Partners .....................................121
Communicate Progress ...................................................................121
Keys to Success ........................................................................................121
Capture Organizational Stories .......................................................121
Contents ◾ ix
Create an Environment Where There Is a Willingness to
Challenge Information ...................................................................122
Do Not Lose Sight of the Positive ...................................................122
Use Participants as Ambassadors for What You Are Doing .............122
Step 3: Following Through on Outcomes ................................................122
Identify Steps for Further Action ....................................................123
Follow-Up Interviews .....................................................................123
Plan to Repeat the Process ..............................................................123
Keys to Success ........................................................................................123
Make Use of Process Experts ..........................................................123
Share and Educate ..........................................................................124
Summary .................................................................................................124
Notes .......................................................................................................125
6 Assessment, Improvement, and the Process of Organizational
Change ...............................................................................................127
Change Efforts in the Public Sector .........................................................129
Identifying Barriers to Change ................................................................130
Individual Resistance to Change ....................................................130
Seeing Agencies as Systems .............................................................130
External Drivers of Change in Government ...................................131
Change in Administration .....................................................131
New Mandates ......................................................................132
External or Constituent Advocacy .........................................132
Crises and Emergencies .........................................................132
The Process of Organizational Change ....................................................133
Understanding the Scope of Change ........................................................135
Organizational Learning and Personal Learning: Creating an Internal
Case for Change ......................................................................................139
The Role of Organizational and Personal Learning in
Communicating the Need for Change............................................142
Creating an External Case for Change: Constituent Involvement ............143
Using Assessment Outcomes to Implement Improvement ..............145
Summary .................................................................................................146
Notes .......................................................................................................147
7 Case Studies and Best Practices in Assessing Public Sector
Organizations .....................................................................................149
Case Studies .............................................................................................150
Federal Government: U.S. Army Armament Research,
Development and Engineering Center ............................................150
State Government: The New Jersey Department of
Environmental Protection ...............................................................156