GEC-SAT

GOVERNMENT EXCELLENCE CLASS

SELF-ASSESSMENT TOOL

INSTRUCTIONS

Development Academy of the Philippines (DAP)

 ACKNOWLEDGMENT

The Development Academy of the Philippines (DAP) acknowledges with sincere appreciation
the invaluable contributions of Dr. Robin S. Mann and the Centre for Organizational Excellence
Research (COER) Ltd., for the development and use of the Government Excellence Class Self-
Assessment Tool (GEC-SAT) by public sector organizations in the Philippines.

It is noteworthy to mention that Dr. Robin S. Mann’s professional advice to the DAP Project
Team, through his deputation as a Technical Expert of the Asian Productivity Organization
(APO) and on his personal capacity, has immensely contributed to the program
implementation of the Government Excellence Class (GEC).

Correspondingly, the Academy extends its special recognition to the DAP –Center for Quality
and Competitiveness (CQC) Project Team in bringing the Government Excellence Class (GEC)
into a reality. Thus, addressing the Philippine Development Plan’s (PDP) 2011-2016 strategy
for effective and honest governance, through the administration of a self-assessment for public
sector organizations, recognize commendable efforts through the GEC and to draw an agency
action plan in response to opportunities for improvement in public service delivery.

The DAP-CQC Project Team deserves special mention for its dedication and collective
technical efforts in the preparation and implementation of the Government Excellent Class
(GEC) and in customizing the GEC-SAT to the Philippine public sector setting. Special
recognition goes to: Arnel D. Abanto, Managing Director and Vice-President, CQC; Ma. Theresa
A. Agustin, Program Director, CQC-ICD & SME; Melani G. Mercader, Project Manager;
Technical Team Members, Ceazar Valerei E. Navarro, Chenier Nicu V. Villanueva and
Maegan S. Saroca.

Particular recognition extends to highly esteemed contributors in the GEC, namely: DAP
Senior Vice-President Magdalena L. Mendoza for her technical guidance in the development
and implementation of the GEC, Presidential Communications Operations Office
(PCOO)Secretary Herminio B. Coloma, Jr. for his technical advice on the implementation and
on the promotion of the GEC; and to, the Asian Productivity Organization (APO) and the
Academy’s APO Liaison Office for its continuous support in the Academy’s business excellence
program and for the deputation of Dr. Robin S. Mann.

Through all these collective contributions, the GEC is set to chart the commendable efforts
and the journey to excellence of public sector organizations in the Philippines.
THE GOVERNMENT EXCELLENCE CLASS SELF-
ASSESSMENT TOOL (GECSGEC-SAT)
INSTRUCTIONS

The Government Excellence Class Self-assessment Tool (GECSGEC-SAT) provides a simple and
objective approach for assessing public sector an agenciesor’s health. The approach is fully
inclusive involving all your key personnel and as many staff as you wish. The self-assessment will
help to unite your staff behind a common direction. Together you will identify the current health of
your agency organisation, where you want to be and how to get there!

GECSGEC-SAT has been designed for use by all agenciesorganisations whatever their size,
structure or industry type. The self-assessment design is based on the Criteria for Performance
Excellence (otherwise known as the Baldrige Excellence Framework) an internationally
recognised business excellence model that is used as a basis for national business excellence
awards in 22 countries. The Criteria for Performance Excellence are updated annually by the
National Institute of Standards and Technology, United States. The Criteria reflect the
successful management practices identified in high performing organisations.

For further information contact the DAP GECSGEC-SAT Team:

 CONTENTS OF GECSGEC-SAT PACK
This GECSGEC-SAT pack consists of six parts:
page
 GECSGEC-SAT Instructions

 CONTENTS OF GECSGEC-SAT PACK 1

 INTRODUCTION 2
 THE CRITERIA 3
 OVERVIEW OF HOW GECSGEC-SAT WORKS 5
 THE GECSGEC-SAT PROCESS 6
 THE GECSGEC-SAT SCORE REPORT 7
 FREQUENTLY ASKED QUESTIONS 8
 GECSGEC-SAT Facilitator’s Guide
 INTRODUCTION 1
 PRIOR TO THE TEAM CONSENSUS MEETING 2
 DURING THE TEAM CONSENSUS MEETING 6
 AFTER THE TEAM CONSENSUS MEETING 8
 CONSENSUS MEETING TIME-PLAN 9
 STRENGTHS AND OPPORTUNITIES FORMS 10
 FACILITATOR QUESTIONS 18
 GECSGEC-SAT Team Member’s Guide
 INTRODUCTION 1
 YOUR TASK 2
 QUESTIONNAIRE TIPS 3
 STRENGTHS AND OPPORTUNITIES FORMS 4
 GECSGEC-SAT Team Member’s Questionnaire 1-52
 GECSGEC-SAT Team Member’s Scorecard 1-2
 GECSGEC-SAT Consensus Spreadsheet

GECSGEC-SAT Instructions Page 1 of 9

 INTRODUCTION
Welcome to the Government Excellence Class Self-assessment Tool (GECSGEC-SAT).

Whether your organizsation is small or large, a national line agency,departmentsagencyies,

departments, bureaus, and attached agencyies, a government-owned and controlled corporation
and subsidiaryies, a government financial institution, a local government unit, a local and state
universityies and colleges, a government hospitals and/ or other public sector organization,s
involved in service or manufacturing, the Criteria provides a robust framework for assessing the
excellence of your management systems and organizsational results.

GECSGEC-SAT will enable your agency organisation to rapidly:

a) establish the health of your agencyorganisation

b) benchmark your agency’sorganisation’sagency’s performance against agencies

organisation’sagencies’ from around the world

c) determine the actions required that will have most impact on improving your agency’s
organisation’s performance

GECSGEC-SAT has been designed for public sector agenciesorganizations, which haves
financial autonomy and full operational responsibility for itself. If your agency organization exists
on more than one site but the Financial Statement of Operations (FSO) and operational
responsibility only applies at the Department organizational level, the assessment should be done
at the total organizational level. On the other hand, if the sites are operationally or FSO
independent, you should complete an assessment for each independent entity.

Most organizsations assign a small team of 4 to 8 people to undertake the assessment and in
which case it should take between 40 to 80 man-hours to complete for the whole team. This
includes completing the self-assessment questionnaire and holding a consensus meeting.
However, you may wish to encourage more staff to complete the questionnaire, in which case the
total man hours will be higher.

GECSGEC-SAT reflects the belief that correctly structured self-assessment will provide an
accurate and honest view of your agency.organisation.

GECSGEC-SAT Instructions Page 2 of 9

All information provided by your agency organisation will be treated with the strictest confidence
by the Development Academy of the Philippines – Center for Quality and Competitiveness (DAP –
CQC). Self-assessment data and reports will be coded to protect the identity of your
agencyorganisation.

GECSGEC-SAT Instructions Page 3 of 9

 THE CRITERIA
GECSGEC-SAT assesses public sector agencies organisationsagainst the Government Criteria
for Performance Excellence (GCPE) as illustrated below. The same was patterned from the
Malcolm Baldridge National Quality Award Criteria, which is also adopted in twenty-two countries
to provide a robust guide for managers on how to achieve performance excellence.

Formatted: Condensed by 0.1 pt

Overview and Structure of the Government Criteria for Performance Excellence

GECSGEC-SAT Instructions Page 4 of 9

The CPE is divided into seven major Categories and 17 Items.

CPE Category CPE Item

 Leadership  Senior Leadership
 Governance and Societal Responsibilities
 Strategy  Strategy Development
 Strategy Implementation
 CitizensCustomers  Voice of the CitizensCustomer
 Citizen Customer Engagement
 Measurement, Analysis, and  Measurement, Analysis, and Improvement of Agency
Knowledge Management Organizational Performance
 Management of Information, Knowledge, and Information
Technology
 Human Resource  Human Resource Environment
 Human Resource Engagement
 Operations  Work Processes
 Operational Effectiveness
 Results  ServiceProduct and Process Results
 Citizen Customer-Focused Results
 Human Resource-Focused Results
 Leadership and Governance Results
 Financial, Sectoral and Societaland Market Results

GECSGEC-SAT Instructions Page 5 of 9

 OVERVIEW OF HOW GECSGEC-SAT WORKS
The self-assessment process is described below and by a GECSGEC-SAT Flowchart (next
page).

1. Appoint a Facilitator to lead the assessment. A Facilitator should have the following attributes:

 is respected within your agencyorganisation

 possesses a broad understanding of the agencyorganisation
 has good interpersonal skills
 has the ability to get things done and keep things moving
 experience in chairing or facilitating meetings

2. The Facilitator reads all the documentation and uses the GECSGEC-SAT Facilitator’s Guide
to assist him/her in facilitating the assessment and action planning process.
3. The Facilitator selects a GECSGEC-SAT Team of typically 4–8 people, usually most are
senior personnel, to complete the assessment (see the GECSGEC-SAT Facilitator’s Guide
on how to select Team Members and alternative approaches to conducting the self-
assessment).
4. The Facilitator holds a briefing meeting with the GECSGEC-SAT Team to explain the purpose
of the self-assessment and the process that needs to be followed.
5. The Facilitator gives a copy of the GECSGEC-SAT Team Member’s Guide, GECSGEC-SAT
Team Member’s Questionnaire, and the GECSGEC-SAT Team Member’s Scorecard to
each Team Member and asks them to individually complete the questionnaire and the
Strengths and Opportunities Forms (in the Team Member’s Guide) in preparation for the Team
Consensus Meeting. The Facilitator does not complete the questionnaire but provides support
for Team Members.
6. The Team Members return their completed GECSGEC-SAT Team Member’s Scorecard, and
Strengths and Opportunities Forms to the Facilitator. The Facilitator transfers the scores of
each Team Member to the GECSGEC-SAT Consensus Spreadsheet and groups together
the Strengths and Opportunities by each CPE Category.
7. The Facilitator plans for the Team Consensus Meeting and completes the Consensus Meeting
Time-Plan (as described in the Facilitator’s Guide). The Facilitator, through consultation with
senior management, also decides on the action planning approach to use so that this can be
communicated at the Consensus Meeting. In some cases it may be decided to have a new
team set up for Action Planning consisting of those people who will be responsible for
overseeing or undertaking the actions.
8. A Team Consensus Meeting is held, led by the Facilitator.
9. The Facilitator updates the GECSGEC-SAT Consensus Spreadsheet as the meeting
progresses and completes the Facilitator Questions provided in the GECSGEC-SAT
Facilitator’s Guide.
10. The GECSGEC-SAT Consensus Spreadsheet is sent to the Development Academy of the
Philippines for analysis.
11. A GECSGEC-SAT Score Report is issued by DAP to the Facilitator. This report provides an
overall business excellence score and benchmark comparisons against other organizsations.
12. An Action Planning meeting is held to agree on what needs to be done to address the
opportunities for improvement that have been identified in the GECSGEC-SAT Score Report.
In this meeting it is helpful to review the responses to the GECSGEC-SAT questions, and
information collected on the Strengths and Opportunities Form. Action plans should be linked
to your agency’s organisatannual strategic planning process to ensure that appropriate
resources can be released.

GECSGEC-SAT Instructions Page 6 of 9

 THE GECSGEC-SAT PROCESS
 Commitment by senior leaders to undertake a self
Develop assessment
commitment  Obtain a GECSGEC-SAT pack
to self-  Read the GECSGEC-SAT Instructions
assessment  Appoint a Facilitator to champion the self-assessment process

 The Facilitator becomes familiar with GECSGEC-SAT and

Plan in particular the GECSGEC-SAT Facilitator’s Guide
self-assessment  The Facilitator selects and appoints a GECSGEC-SAT Team
(usually 4 to 8 people) to take part in the assessment

 The Facilitator holds a briefing meeting with the GECSGEC-

Team SAT Team and explains the assessment process and its
understandnding purpose
and commitment Team Members are given the GECSGEC-SAT Team
to self- Members Guide, GECSGEC-SAT Team Member’s
assessment Questionnaire, and the GECSGEC-SAT Team Member’s
Scorecard.

Member’s Scorecard. Formatted: Indent: Left: 3.35", Hanging: 0.3", Bulleted +
Level: 1 + Aligned at: 0" + Tab after: 0.39" + Indent at:
0.39"
Formatted: Font: Bold
 Team Members independently complete the GECSGEC-SAT
Review Team Member’s Questionnaire and record their responses
progress on the GECSGEC-SAT Team Member’s Scorecard.
against action  Team Members complete the Strengths and Opportunities
plan and plan Forms (these are in the GECSGEC-SAT Team Members
for yearly self- Guide).
assessment  The Facilitator transfers the questionnaire responses to the
GECSGEC-SAT Consensus Spreadsheet, collates the
strengths and opportunities, and plans a Team Consensus
Conduct Meeting using the Consensus Meeting Time-Plan.
self-assessment  A Team Consensus Meeting is held at which all Team
Members reach consensus on the answer to each question.
The consensus decision is recorded in the GECSGEC-SAT
Consensus Spreadsheet.
 Strengths and opportunities are reviewed throughout the
meeting to help Team Members reach consensus.
 The Facilitator ends the meeting by explaining the next steps.
 The Facilitator completes the Facilitator Questions in the
GECSGEC-SAT Facilitator’s Guide and sends the
completed GECSGEC-SAT Consensus Spreadsheet to
DAP for analysis.

Analyse  A GECSGEC-SAT Score Report is issued by DAP and sent

Self-assessment to the Facilitator. This provides a business excellence score
Results and benchmark comparisons against other organisations.

 An Action Plan is developed to address the findings in the

Establish GECSGEC-SAT Score Report and build on the agency’s
an action plan organisation’s strengths and opportunities.
 The Action Plan is communicated and agreed upon.

Implement  The Action Plan is implemented and results are monitored.

the action plan

GECSGEC-SAT Instructions Page 7 of 9

 GECSGEC-SAT SCORE REPORT

A confidential GECSGEC-SAT Score Report will be issued by DAP which:

 shows your agency’s organisation’s business excellence score and performance relative to
world-class levels

 benchmarks your agency’s organisation’s score against other agencies organisations that
have undertaken the self-assessment.

The most value from the assessment will be obtained from analysing your agency’s
organisation’s relative strengths and opportunities across the 7 Categories and 17 Items. This
information will help you to determine strategic priorities and develop an Action Plan.

GECSGEC-SAT Instructions Page 8 of 9

 FREQUENTLY ASKED QUESTIONS
Is this type of assessment applicable to organizsations of any size? – Yes, however, you will
probably gain more from the assessment if your organizsation has more than 10 employees –
there is no upper limit on size.

If we have a number of operational units should they undertake separate self-assessments? –

Units that are financially autonomous and have full operational responsibility should undertake
separate self-assessments.

Are there any hidden costs? Do we need to hire external consultants to facilitate the self-
assessment process? No, there are no hidden costs. The self-assessment has been designed
as a stand-alone service and does not require the input of consultants. However, some
agencies organisations prefer to hire consultants to explain the self-assessment process and
facilitate the Consensus meeting and/or the Action Planning Meeting.

Is the self-assessment as good as the one used for assessing organisations for Philippine
Quality Award (PQA) based on the Government Criteria for Performance Excellence? –
Assessments for PQA are more rigorous as agencies organisations need to submit a 50 or 75
page report and are assessed on-site by highly trained independent assessors. evaluators. The
GECSGEC-SAT is less rigorous but will still give you a very good understanding of your
agency’s organisation’s strengths and opportunities for improvement and provide feedback on
your agency’s organisation's performance relative to others. Self-assessments can serve as a
more powerful change agent than independent assessments as they can involve more staff in
the process. High levels of staff involvement will lead to a greater understanding of business
excellence and your agency’s organisation’s challenges leading to a greater motivation for
change and a unified call and commitment for action.

How often should we repeat the self-assessment? - Once a year. Often, agencies organisations
undertake a more rigorous awards-style assessment every three to four years to obtain external
validation of their score and/or gain recognition from winning an award. Agencies Organisations
should undertake GECSGEC-SAT even in years when they undertake an award-style
assessment as this can help them prepare for an award-style assessment and provide
benchmark data to support their application.

How do I obtain commitment within our agency organisation to undertake a self-assessment? -

The design of the GECSGEC-SAT should overcome many commitment issues as the
instructions are clear and it is an inexpensive self-assessment to undertake in terms of time and
cost – therefore agencies organisations have little to lose by giving it a try. To help to gain this
commitment it is beneficial to have a strong advocate for agency organisational improvement
who can become the Facilitator of GECSGEC-SAT.

The Figure below may also help to gain commitment. This graph shows the spread of business
excellence scores of agencies organisations that have assessed themselves using GECSGEC-
SAT. It shows that if agencies organisations improve their management systems (as assessed by
the Criteria) their organizational and market results will improve. Statistically this relationship is
significant and the correlation is “strong”.

GECSGEC-SAT Instructions Page 9 of 9

 Relationship between Scores for Enabler Points and Business Results
(as assessed by the Baldrige Model - data from Club members)
250

200
Business Results

150

100

50

0
0 50 100 150 200 250
r. = 0.611, P = 0.000 Enabler Points
(points in Leadership, Strategic Planning, Customer & Market Focus, Measure ment, Analysis, &
Knowledge Management, Hu man Resource focus, & Process Management)

Note: - Published by “Mann, R.S. & Saunders, M (2005), Self-assessment in a Multi-Organisational Network,
International Journal of Quality and Reliability Management, Vol. 22, Issue 4”

GECSGEC-SAT Instructions Page 10 of 9