eu-LISA CAF questionnaire 2021

CAF Questionnaire eu-LISA

Common Assessment Framework (2021) eu-LISA

CRITERION 1: LEADERSHIP – Consider what eu-LISA´s leadership is doing to achieve the following

SUBCRITERION 1.1. Provide direction for eu-LISA by developing its mission, vision and values.

Examples

a Set a clear direction for eu-LISA by developing the mission, vision and values, involving relevant stakeholders and employees (e.g.eu-LISA Strategy 2021-2027, founding regulations).

b Ensure that European public sector principles e.g. integrity, transparency, innovation, social responsibility and inclusion, sustainability, diversity and gender aspects are in the mainstream of eu-LISA’s strategies and activities.

c Ensure that mission, vision and values are in line with European agendas (e.g. highlevel EU documents and strategies in the domain of JHA, EU Security Union Strategy, Europe fit for the digital age, Commission’s Schengen Strategy, European Agenda on Security, Commission Regulation on a European approach to Artificial Intelligence, Revised Directive on Security of Network and Information Systems ).

d Ensure the wider communication and dialogue about the mission, vision, values, strategic and operational objectives to all employees in eu-LISA and to other stakeholders (e.g. communication strategy and communication campaigns as defined by the new strategy/roadmap and SPDs).

e Ensure organisational agility by periodically reviewing the mission, vision, values and strategies reflecting changes in the external environment (e.g. digitalisation, impact of smart technologies and social media, data protection).

f Prepare eu-LISA for the challenges and changes of digital transformation (e.g. automatisation of public administration, data protection etc.).

Examples

a Define appropriate managerial structures, processes, functions, responsibilities and competencies ensuring eu-LISA’s agility (e.g. ED decisions on the composition and functioning of the MC rules of procedure).

b Steer the improvement of eu-LISA’s management system and performance in accordance with the expectations of stakeholders and customers’ differentiated needs (e.g. KPIs, Efficiency Gains Strategy (draft), SPD and related tools).

c Define the management information system with input from the internal control and risk management system (e.g. SharePoint, Intranet, ARES, ICF - including the reports, Exceptions and non-compliances reports etc.).

d Set targets and use a balanced set of results and outcomes to measure and evaluate the performance and impact of eu-LISA, prioritising customers’ and citizens’ differentiated needs (e.g. eu-LISA Strategy 2021-2027, Strategy implementation Roadmap, KPIs, Balanced Scorecard (planned), Unit's Charters (planned), Efficiency Gains Strategy etc.).

e Ensure good internal and external communication in the whole eu-LISA and use new means of communication including social media (e.g. Communication Roadmap/Plan).

f Develop a management system that prevents corruption and unethical behaviour, but also supports employees by providing compliance guidelines (e.g. Ethical/Anticorruption procedures as requested by EC Staff regulation, eu-LISA Code of conduct etc.).

SUBCRITERION 1.3. Inspire, motivate and support people in eu-LISA and act as a role model.

Examples

a Inspire through an innovation-driven leadership culture based on mutual trust and openness.

b Lead by example, thus personally acting in accordance with eu-LISA mission, vision and values (e.g. integrity, sense-making, respect-fullness, participation, innovation, empowerment, precision, accountability, agility).

c Promote a culture of mutual trust between managers and employees with proactive measures to counter any kind of discrimination, encouraging equal opportunities and addressing individual needs and personal circumstances of employees.

d Inform and consult employees regularly on key issues related to eu-LISA (e.g. e-mail and intranet, newsletter, Dedicated policy review sand reports, 360/cultural project, Task force on COVID-19).

e Empower and support employees providing them with timely feedbacks in order to improve their performance (e.g. Tete-a-tete, appraisal and reclassification procedure, 360/cultural project etc.)

f Promote a learning culture, stimulate employees to develop their competences and to adjust to new requirements.

SUBCRITERION 1.2. Manage eu-LISA, its performance and its continuous improvement.

SUBCRITERION 1.4. Manage effective relations with political authorities and other stakeholders.

Examples

a Analyse and monitor the stakeholders’ needs and expectations including relevant political authorities (e.g. Training Needs Analysis for the MS).

b Assist the relevant political authorities in defining the public policies related to eu-LISA (e.g. COM cooperation and interactions, Agencies network-especially in the JHA domain).

c Align eu-LISA’s performance to EU policies and political decisions (e.g. MB, eu-LISA Strategy 2021-2027, eu-LISA legal framework etc.).

d Maintain proactive relations with the political authorities from the appropriate executive and legislative areas (e.g. Work of ESU, Liaison Office, MB and AG (RoP) etc.).

e Manage partnerships with key stakeholders (e.g. Member States, Commission, Council, industry, ESU RoP, eu-LISA founding regulations, JHA Agencies network, industry roundtables, working groups etc.).

f Raise public awareness, reputation and recognition of eu-LISA focused on stakeholders’ needs (e.g. Communication campaign/strategy).

CRITERION 2: STRATEGY & PLANNING – Consider what eu-LISA is doing to achieve the following

SUBCRITERION 2.1. Identify the needs and expectations of stakeholders, the external environment and the relevant management information. Examples

a Observe and analyse the external environment regularly (e.g. including legal, political, digitalisation etc.) as inputs for strategies and plans.

b Identify and analyse stakeholders current and future needs, expectations and satisfaction (e.g. Stakeholder's Management Strategy, broad systems specific support to the users/Member States, as well as training plans and their delivery).

c Review eu-LISA strategy in line with political/legal framework modifications.

d Analyse the performance and capabilities of eu-LISA, focusing on internal strengths, weaknesses, opportunities and threats/risks (e.g. Efficiency Gains Strategy (draft), KPIs, eu-LISA Strategy and Strategy Implementation Roadmap monitoring and evaluation).

SUBCRITERION 2.2. Develop strategies & plans based on gathered information. Examples

a Develop the strategy by defining long- and short-term priorities and goals in line with the vision and the national and EU strategies and legal framework (e.g. eu-LISA Strategy 2021-2027, Strategy Implementation Roadmap, SPDs, Unit specific "strategies & policies").

b Involve stakeholders and use information about their differentiated needs and views to develop strategies and plans.

c Integrate aspects of sustainability, social responsibility, diversity and gender mainstreaming in the strategies and plans of eu-LISA.

d Develop plans by defining priorities, objectives, deliverables (products and services provided) and outcomes in line with the eu-LISA mission and legal mandate (e.g. Strategy implementation Roadmap, SPDs etc.)

e Develop plans for the resources needed and ensures their effective use.

SUBCRITERION 2.3. Communicate, implement and review strategies and plans.

Examples

a Translate the strategies of eu-LISA into relevant plans, tasks and targets for units and individuals (e.g. SPDs, individual work objectives, Unit's Charters (in preparation), review of Unit's "strategies and policies" (in preparation) etc.).

b Develop plans and programmes with targets and results for each organisational unit with indicators for the expected results (e.g. SPDs, ACMP, Project management -EPMO etc.)

c Communicate "strategies", performance and intended/achieved results of eu-LISA internally and to all relevant stakeholders (e.g. Consolidated Annual Activity Report, Interim Report, Strategy implementation Report (planned), project reports (EPMO) etc.).

d Monitor and evaluate the performance of eu-LISA at regular intervals at all levels to control efficiency, effectiveness and the strategies’ implementation levels (e.g. SPDs, KPIs, Efficiency Gains Strategy (draft), Balanced Scorecard (in preparation), CAAR, IR etc.).

SUBCRITERION 2.4. Manage change and innovation to ensure the agility and resilience of eu-LISA.

Examples

a Identify needs and drivers for innovation considering the opportunities and pressure of digital transformation (e.g. research activities, innovation hub and IA, and similar initiatives etc.).

b Communicate eu-LISA’s innovation and results to all relevant stakeholders (e.g. research activities, innovation hub and IA, and similar initiatives etc.).

c Build an innovation-driven culture and create space for cross-organisational development (e.g. HR/Training Strategy (draft), innovation and research activities etc.).

d Manage change effectively and inform and involve employees and stakeholders at an early stage (e.g. communication campaign, newsletter, trainings/capacity building, engagement of Staff Committee etc.).

e Foster/enable business environment for generating creative ideas and encourage innovative proposals from employees and stakeholders at all levels supporting exploration and testing.

CRITERION 3: PEOPLE – Consider what eu-LISA is doing to achieve the following.

SUBCRITERION 3.1. Manage and improve human resources to support the strategy of eu-LISA.

Examples

a Analyse current and future human resource needs in line with the eu-LISA Strategy (e.g. HR strategy (draft), eu-LISA Strategy 2021-2027, Strategy Implementation Roadmap etc.).

b Develop and implement a transparent HR policy based on objective criteria for recruitment, promotion, remuneration, development, delegation, responsibilities, rewards and the assignment of managerial functions, in accordance with eu-LISA’s HR principles.

c Implement the principles of fairness, political neutrality, merit based, equal opportunities, diversity, social responsibility and work–life balance in the HR policy and review the necessityfor promoting women’s careers and develop plans accordingly (e.g. HR strategy (draft), recruitment policy, internship policy etc.).

d Ensure the necessary competences and capabilities to achieve the mission, vision and values of eu-LISA are in place, especially focusing on social skills, agile mind-set, and digital and innovation skills.

e Support a performance culture by defining performance goals shared with the people and monitoring the performance systematically, and conduct performance dialogues with the people (e.g. appraisal and re-classification exercise and related documentation).

SUBCRITERION 3.2. Develop

and manage competencies of people. Examples

a Implement a human resource development strategy/plan based on identified current and future competence, skills and performance requirements of people (e.g. HR strategy (draft), recruitment policy, internship policy, eu-LISA 2021-2027 Strategy, SPDs, reports etc.).

b Attract and develop the talents necessary to achieve the mission, vision and objectives.

c Enable new and innovative forms of learning to develop competencies (design thinking, collaboration, labs, experiments, e-learning, on-the-job learning etc.).

d Establish individual competence development plans including personal skills (e.g. openness for innovation) as part of the regular personal performance review (regular performance reviews with line manager, appraisal and re-classification exercise), which provides a forum for mutual feedback and matching expectations (e.g. appraisal and reclassification exercise and related documentation).

e Create specific programmes and training for leadership development (e.g. Leadership development programme, HR Strategy (draft), 360/Cultural change programme etc.).

f Guide new people by means of mentoring, coaching and individual counselling.

g Develop and promote modern training methods (e.g. multimedia approach, on-the-job training, e-learning, using social media).

h Assess the impacts of training and development programmes on the organisational goals and transfer of content to colleagues (e.g. feedback, revision of the training strategy etc.).

SUBCRITERION 3.3. Involve and empower the people and support their well-being. Examples

a Promote a culture of open communication and dialogue, and encourage collaboration within and across teams, including the promotion of collaboration tools (e.g. platform, innovative working methods etc.).

b Involve employees and their representatives in the development of plans, strategies, goals, the design of processes, and in the identification and implementation of improvement and innovation activities (e.g. staff Committee RoP and related documents).

c Develop systematic approaches and systems solutions for gathering ideas and suggestions from employees (e.g. CSI, Staff Committee RoP, SharePoint/intranet, HR projects (like 360/Cultural change, eu-LISA 2.0), staff-surveys, newsletter, ad-hoc consultations, Hour with the ED etc.).

d Regularly and in a planned and systematic way conduct staff surveys, publish and give feedback on the results, their analysis and on the derived improvement actions (e.g. HR projects like 360/Cultural change, eu-LISA 2.0, staff-surveys etc.).

e Ensure good environmental working conditions throughout eu-LISA including taking into account all health and safety requirements (e.g. plans of the Corporate Services Unit, eu-LISA Strategy 2021-2027, Strategy implementation Roadmap etc.).

f Ensure that conditions are conducive to achieving a reasonable work–life balance for employees (e.g. the possibility to adapt working hours, part-time working, people on maternity or paternity leave).

g Pay particular attention to the needs of socially disadvantaged employees and people with disabilities.

h Provide adapted schemes and methods for acknowledging people in a non-financial way (e.g. supporting social, cultural and sport activities focused on people’s health and well-being).

CRITERION 4: PARTNERSHIPS & RESOURCES – Consider what eu-LISA is doing to achieve the following

SUBCRITERION 4.1. Develop & manage partnerships with relevant organisations. Examples

a Identify and/or develop relationships with key partners from the private and public sector to build sustainable relationships based on trust, dialogue and openness (e.g. cooperation agreements, MB and AG members etc.).

b Manage partnership agreements taking into account the potential of different partners to achieve mutual benefit and to support one another with expertise, resources and knowledge (e.g. cooperation agreements/memorandums of understanding).

c Define each partner’s role and responsibilities (including controls, evaluations and reviews) and monitor results and impacts of the partnerships systematically.

d Secure eu-LISA’s principles and values by selecting providers with a socially responsible profile in the context of public procurement.

SUBCRITERION 4.2. Collaborate with citizens and civil society organisations. Examples

a Ensure transparency by a proactive information policy, also providing non-confidential information to the general public (e.g. Communication strategy, eu-LISA Strategy 2021-2027, Strategy Implementation Roadmap, Data protection strategies etc.).

b Actively encourage participation and collaboration with the stakeholders at local and regional level and, where possible and appropriate general public:

- co-design and co-decision: via Advisory Groups, Management Board, Working groups consultation;

- joint-planning: e.g. extension or new building (Strasbourg and/or Tallinn) and inclusion in the city/urban planning, design of visitors' centre, measures in emergency situations (e.g. Covid-19 pandemic).

c Actively seek ideas, suggestions and complaints of stakeholders (e.g. Member States, host country, other EU institutions) and collecting them by appropriate means (e.g. advisor/working/consultation groups, questionnaires etc.).

SUBCRITERION 4.3. Manage finances. Examples

a Ensure financial resilience through long-term budget planning, risk analysis of financial decisions and a balanced budget (e.g. AFR, SPDs, ABAC).

b Implement performance budgeting/activity based budgeting (integrate performance data in budget documents).

c Use effective financial cost accounting and controlling, and evaluation systems (e.g. spending reviews, AFR, SPDs, ABAC, Annual Audit Activity Report, Annual Accounts Report etc.).

d Delegate and decentralise financial responsibilities and balance them with central controlling.

e Ensure budgetary and financial transparency and publish the budget information in an easily understood way.

SUBCRITERION 4.4. Manage information and knowledge.

Examples

a Create a learning organisation providing systems and processes for managing, storing, and assessing information and knowledge to safeguard the resilience and flexibility of eu-LISA (e.g. Knowledge Management Strategy and System (draft), Learning Strategy (draft)).

b Use the opportunity of digital transformation and knowledge management tools to increase the knowledge of eu-LISA and empower digital skills.

c Establish learning and collaboration networks to acquire relevant external information and also to gain creative inputs (e.g. internal/external working groups and networks)

d Manage and monitor eu-LISA’s information and knowledge, ensuring its relevance, correctness, reliability and security (implementation of knowledge management policy in eu-LISA).

e Develop internal channels to ensure that all employees have access to the relevant information and knowledge.

f Promote knowledge management, especially knowledge, identification, knowledge sharing and knowledge transfer between people in eu-LISA.

g Ensure access to and exchange of relevant information and knowledge with external stakeholders, taking into account the specific needs.

h Ensure that key (explicit and implicit) knowledge of employees who are leaving is retained within eu-LISA.

SUBCRITERION 4.5. Manage technology.

Examples

a Design technology management in accordance with the strategic and operational objectives, and monitor its effect, cost-effectiveness and impact systematically (e.g. existing standards and documents - CMMI, EPMO methodology, CP Framework, CSI, ITIL, ISTQB).

b Identify and use new technologies (big data, automatisation, robotics, AI, data analytics, etc.) relevant for eu-LISA.

c Use technology to support creativity, innovation, collaboration and participation, where feasible and possible

d Define how ICT can improve internal and external services and provide online services in an intelligent way to meet stakeholders’ needs and expectations. Reporting on improvements (including suggestions for improvement) of eu-LISA IT services are communicated, systematically collected, analysed, implemented and followed-up.

e Take actions to provide effective data protection and cyber security implementing the General Data Protection Regulation.

f Take into account the socio-economic and environmental impact of ICT, e.g. waste management of cartridges, reduced accessibility by non-electronic users.

SUBCRITERION 4.6. Manage facilities.

Examples

a Ensure effective, efficient and sustainable provision and maintenance of all facilities (e.g. buildings, offices, facilities, energy supply, equipment, means of transport and materials).

b Provide safe and effective working conditions and use facilities, including barrier-free access in order to meet customers’ needs.

c Apply a life cycle policy in an integrated facility management system (e.g. buildings, technical equipment, etc.), including their safe re-use, recycling or disposal.

d Ensure that the facilities of eu-LISA provide an added public value (by making example on public building resources use and management, use of green technologies that can be replicated across the EU).

CRITERION 5: PROCESSES – Consider what eu-LISA is doing to achieve the following

SUBCRITERION 5.1. Design and manage processes to increase value for citizens and customers.

Examples

a Design and implement checks that all eu-LISA services, processes and procedures are up to date.

b Ensure that customers' (Member States) needs and expectations, as well issues, related to the use of eu-LISA services, are collected, reviewed and followed up.

c Design and implement a system for managing processes exploiting the opportunities from digitalisation and new technologies (e.g. Service Catalogue, Agency’s Service and Process Management Framework etc.)

d Ensure that the processes support the strategic goals and are planned and managed, allocating the needed resources to achieve the targets established.

e Identify process owners (the people who control all the steps in the process) and assign responsibilities and competences to them (e.g. EPMO methodology, Financial circuitsAFR).

f Analyse and evaluate processes, risks and critical success factors regularly, taking into consideration the changing environment.

g Simplify the processes, wherever feasible and possible, on a regular basis, proposing changes in the legal requirements if necessary.

h Drive process innovation and optimisation forward by paying attention to national and international good practices, involving relevant stakeholders.

i Review and improve the processes to ensure the protection of personal data (e.g. General Data Protection Regulation, GDPR Guidance documents).

SUBCRITERION 5.2. Deliver products and services for customers, citizens, stakeholders and society.

Examples

a Design procedure and register of eu-LISA services and manage their full life-cycle change, including re-use (e.g. CSI, SP framework).

b Involve staff and key relevant stakeholders in the design and delivery of products and services, and in the development/management of quality standards (e.g. Quality policy, CSI, SP framework, EPMO, CMMI, ITIL, ISTQB etc.)

c Promote new eu-LISA services (products) among stakeholders (Member States), as well as establish and provide accessible and effective customers' support (e.g. Support services of eu-LISA (operations), Communication campaign for new and revised IT systems etc.).

d Promote accessibility of products and services of eu-LISA.

e Use customer surveys, complaint management procedures and other forms of feedback to identify potentials for optimising processes, products and services.

SUBCRITERION 5.3. Coordinate processes across eu-LISA and with other relevant organisations.

Examples

a Create a culture for working across the organisation and process management, getting out of a silo mentality (e.g. JHA Agencies, various working groups etc.)

b Define and/or review eu-LISA’s service delivery chains and its relevant partners.

c Involve employees, customers and stakeholders in cross-border design and collaboration.

d Use partnerships at different government levels to enable the improved delivery of coordinated services.

e Build in incentives (and conditions) for management and employees to create crossorganisational processes (e.g. shared services and common process development between different units).

CRITERION 6: CITIZEN/CUSTOMER-ORIENTED RESULTS – Consider what eu-LISA has achieved to meet the needs and expectations of customers and citizens through the results of the following

SUBCRITERION 6.1. Perception measurements. Examples

a General perception of eu-LISA (e.g. overall image, accessibility, customer orientation of staff, information provided).

b Perception of the services and products as well as quality standards of services delivered to customers/users.

SUBCRITERION 6.2. Performance measurements. Examples

a Results regarding the quality of products and services (e.g. processing time, waiting time, complaints).

b Results regarding transparency, accessibility and integrity (e.g. number of information channels, website users, opening hours, costs of services).

c Results regarding stakeholder involvement and innovation (e.g. suggestions from customers).

CRITERION 7: PEOPLE RESULTS – Consider what eu-LISA has achieved to meet the needs and expectations of its people through the results of the following

SUBCRITERION 7.1. Perception measurements.

Examples

a General perception of eu-LISA (e.g. image, involvement of staff, awareness for conflict of interests).

b Perception of the management and management systems (e.g. leadership skills, division of tasks, internal communication).

c Perception of the working conditions (e.g. working atmosphere, facilities, equal opportunities).

d Perception of the career and skills development.

SUBCRITERION 7.2. Performance measurements.

Examples

a General people’s results (e.g. loyalty, motivation, involvement, ethical dilemmas).

b Results regarding individual performance and capacities (e.g. individual performance, training, teamwork).

CRITERION 8: SOCIAL RESPONSIBILITY RESULTS – Consider what euLISA is achieving regarding its social responsibility, through the results of the following

SUBCRITERION 8.1. Perception measurements. Examples

a Surveys / studies are carried out ( e.g. on the impact of eu-LISA services to security, Schengen area functioning, effectiveness of justice system etc.).

SUBCRITERION 8.2. Performance measurements. Examples

a Internal indicators related to social responsibility are available (e.g. the number of euLISAs projects to increase living conditions, number of cooperation projects, number of programmes to prevent health risks and accidents for citizens/customers, number of programmes dedicated to socially disadvantaged and underprivileged citizens)

b Internal indicators are available: The amount and importance of positive and negative media coverage.

c Internal indicators are available: Support as an employer for a policy on diversity and on integration and acceptance of ethnic minorities and disadvantaged people.

d Internal indicators are available: Shared knowledge, information and data relevant to stakeholders (COM, JHA Agencies and bodies, workgroups, projects and initiatives).

CRITERION 9: KEY PERFORMANCE RESULTS – Consider the results being achieved by eu-LISA, in relation to the following

SUBCRITERION 9.1. External results: output and public value

Examples

a The results/outputs of the organisation are measured (e.g. KPIs, milestones and deliverables in Strategy Implementation roadmap, PlanView/EPMO, etc.).

b The effects/outcomes of the organisation are measured (e.g. KPIs, milestones and deliverables in Strategy Implementation roadmap, PlanView/EPMO, etc.)

c Results of external inspections and performance audits.

SUBCRITERION 9.2. Internal results: level of efficiency

Examples

a Internal indicators measure the efficiency of eu-LISA in managing the available resources including people, knowledge and facilities (e.g. KPIs, Milestones/deliverables in Strategy Implementation roadmap, PlanView/EPMO, Efficiency Gains Strategy (draft) etc.).

b Results of internal inspections and audits (e.g. Annual Audit Activity report, audit opinion etc.).

c Results of participation in competitions, quality awards and the quality management system certification.

d Results of benchmarking (comparative analysis).

e Results of joint activities and partnership agreements.

f Results of fulfilment of budgets and financial targets.

g Cost-effectiveness – achieving outcomes at the lowest possible costs.