OCA For USAID Funded Organizations - Participants Tool PDF

Organizational Capacity Assessment Tool:
Participant’s Copy
For Organizations Funded by USAID
July 2014
The Organizational Capacity Assessment (OCA) Tool was originally developed in 2009 by Initiatives Inc. and John Snow, Inc. (JSI) under the
Technical Assistance for New Partners Initiative (TA-NPI) project. This document has been supported by the President’s Emergency Plan for AIDS
Relief (PEPFAR) through the United States Department of Health & Human Services—Centers for Disease Control and Prevention (CDC) under the
terms of Contract No: 200-2004-05316/Task Order 0002.
In 2012, the Organizational Capacity Assessment (OCA) Tool was revised by a team led by CBM-US with funding from Health Resources and
Services Administration (HRSA), an agency of the U.S. Department of Health and Human Services under grant award number U64HA11466. JSI
and Handicap International (HI) provided valuable input into the OCA Tool revisions. In the 2012 revisions, language was added to this tool to
assess the capacity of organizations to provide meaningful involvement and equitable participation of people with disabilities within the organization
and the programs and services offered by the organization.
In 2014, the Organizational Capacity Assessment (OCA) Tool was further revised by JSI to incorporate the topics covered by the United States
Agency for International Development (USAID) Non-US Organization Pre-Award Survey (NUPAS).
© 2014 John Snow, Inc.
John Snow, Inc.

44 Farnsworth Street
Boston, MA 02210-1211
Phone: 1.617.482.9485
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Organizational Capacity Assessment Tool
Goal
The goal of this tool is to assist organizations in assessing the critical elements for effective organizational management, and identifying those
areas that need strengthening or further development.
Purpose
The OCA tool was designed to enable organizations to define a capacity-building improvement plan, based on self-assessed need. This
Organizational Capacity Assessment (OCA) was initially designed to measure overall capacity of organizations funded by President’s Emergency
Plan for AIDS Relief (PEPFAR) under the New Partners Initiative (NPI). This OCA tool provides organizations with a set of criteria to assess their
current management capacity to implement quality health programs, and to identify key areas that need strengthening.
Although many capacity assessments exist, the structure and process of this tool distinguishes it from others. Multi-level and multi-department
involvement fosters team building and organizational learning. Inclusion of management, compliance, and program components ensure a holistic
understanding of the organization’s strengths and challenges and the guided self-assessment by skilled facilitators instills ownership on the part
of the organization for its improvement plan.
The OCA tool assesses technical capacity in seven domains, and each domain has a number of sub-areas.
OCA Domains
1. Governance
2. Administration
3. Human Resources Management
4. Financial Management
5. Organizational Management
6. Program Management
7. Project Performance Management
Using This Tool
This Organizational Capacity Assessment tool is designed to enable organizational learning, foster team sharing, and encourage reflective self-
assessment within organizations.
Recognizing that organizational development is a process, the use of the OCA tool results in concrete action plans to provide organizations with a
clear organizational development road map. The OCA can be repeated on an annual basis to monitor the effectiveness of previous actions,
evaluate progress in capacity improvement, and identify new areas in need of strengthening.
The OCA is an interactive self-assessment process that should bring together staff from all departments at implementing organizations, both at
headquarters and in the field, for the two- to three-day assessment.
Not intended to be a scientific method, the value of the OCA is in its collaborative, self-assessment process. The framework offers organizations
a chance to reflect on their current status against recognized best practices. Lively discussions are also an opportunity for management,
administration, and program staff to learn how each functions, strengthening the team and reinforcing the inter-relatedness of the seven OCA
components.
Each page of this tool examines one area. A range of examples of services available is provided along a continuum, from 1-4.
The methodology is a guided self-assessment that encourages active participation. The facilitator and participants meet and discuss each area to
determine where the organization sits along the continuum of implementation. Facilitators ask open-ended, probing questions to encourage group
discussion, and take notes on participant responses. These notes are later used for the action planning.
Sample questions which might help the facilitator to probe further into the content areas are presented on each page.
The scores that are arrived at are designed to set priorities for the actions and are not used to judge performance. Facilitators use the information
from the scoring and rationale sheets to define the issues and actions. The organization reviews or adjusts the problem statement and builds on
the suggested actions to define action steps, responsibilities, timeframe, and possible technical assistance needs.
The ability to identify areas to be addressed will strengthen the organization and in subsequent years, enable it to view improvement and note
where progress is still needed.
Incorporation of Disability Inclusion
This tool is designed with flexibility to reach various key populations and broaden the impact of the OCA. Throughout this tool, key populations will
be defined as people with disabilities (PWD). This tool serves as guidance on how effective programs can integrate disability inclusion. While this
tool’s examples focus on people with disabilities and inclusive practices for PWD, it is important to remember that other key populations should be
considered when implementing this tool.
People with physical and/or mental disabilities can be highly functional, but still require adequate assistance to meet their individual needs.
Organizations and programs must be highly sensitive to the needs of PWD to ensure this population is provided with adequate opportunity for
success.
Definitions:
 The International Classification of Functioning, Disability, and Health define disability as a broad spectrum of impairments and
limitations that restrict participation.
 Physical disabilities are defined as impairments to the body that limit either gross (e.g., running, walking, etc.) and/or fine (e.g.,
writing, holding a cup, etc.) motor actions. These kinds of disabilities are often noticed due to physical appearance, but this may not
always be the case. For example, physical disabilities can be hidden by clothes or prostheses.
 Mental disabilities are defined as impairments to thought and emotional processes that impact functional ability, personal
interactions, and relationships. These types of disabilities are often not noticed due to appearance. Examples include depression,
mental retardation, and disorders caused by substance abuse.
 Inclusion is the practice of ensuring that people of all ability levels are provided with equal opportunity to participate in a welcoming
environment. It is important for the organization to be sensitive to needs of PWD and promote disability inclusion throughout the
organization.
 Accessibility is the practice of ensuring physical space, organizational tools, and communication strategies are adapted to meet the
needs of PWD, when necessary. Examples include wheelchair ramps, braille, communication equipment for the hearing impaired, and
many others.
Table of Contents
Governance .................................................................................................................................................................................................... 1
Vision/Mission .................................................................................................................................................................................................................................................................................................... 1
Organizational Structure ................................................................................................................................................................................................................................................................................ 2
Board Composition and Responsibilities ................................................................................................................................................................................................................................................ 3
Legal Status ........................................................................................................................................................................................................................................................................................................ 4
Succession Planning ....................................................................................................................................................................................................................................................................................... 5
Administration ................................................................................................................................................................................................ 6
Operational Policies, Procedures and Systems................................................................................................................................................................................................................................... 6
Travel Policies and Procedures .................................................................................................................................................................................................................................................................. 7
Procurement ....................................................................................................................................................................................................................................................................................................... 8
Fixed Asset Control.......................................................................................................................................................................................................................................................................................... 9
Information Systems ...................................................................................................................................................................................................................................................................................... 10
Human Resources Management ................................................................................................................................................................11
Job Descriptions .............................................................................................................................................................................................................................................................................................. 11
Recruitment ....................................................................................................................................................................................................................................................................................................... 12
Staffing Levels and Retention ................................................................................................................................................................................................................................................................... 13
Management and Staff Diversity .............................................................................................................................................................................................................................................................. 14
Personnel Policies .......................................................................................................................................................................................................................................................................................... 15
Staff Time Management............................................................................................................................................................................................................................................................................... 16
Staff Salaries and Benefits ......................................................................................................................................................................................................................................................................... 17
Staff Performance Management .............................................................................................................................................................................................................................................................. 18
Staff Skills Development .............................................................................................................................................................................................................................................................................. 19
Volunteers and Interns ................................................................................................................................................................................................................................................................................. 20
Financial Management ................................................................................................................................................................................21
Accounting System ........................................................................................................................................................................................................................................................................................ 21
Internal Controls .............................................................................................................................................................................................................................................................................................. 22
Financial Documentation ............................................................................................................................................................................................................................................................................. 23
Budgeting ........................................................................................................................................................................................................................................................................................................... 24
Financial Reporting ........................................................................................................................................................................................................................................................................................ 25
Audits ................................................................................................................................................................................................................................................................................................................... 26
Financial Policies and Procedures .......................................................................................................................................................................................................................................................... 27
Cost Share ......................................................................................................................................................................................................................................................................................................... 28
Organizational Management ......................................................................................................................................................................29
Strategic Planning .......................................................................................................................................................................................................................................................................................... 29
Operational Planning ..................................................................................................................................................................................................................................................................................... 30
Resource Mobilization .................................................................................................................................................................................................................................................................................. 31
Financial Sustainability ................................................................................................................................................................................................................................................................................. 32
Communication Strategy ............................................................................................................................................................................................................................................................................. 33
Knowledge Management ............................................................................................................................................................................................................................................................................. 34
Stakeholder Involvement ............................................................................................................................................................................................................................................................................. 35
Internal Communication ............................................................................................................................................................................................................................................................................... 36
Decision-Making .............................................................................................................................................................................................................................................................................................. 37
Change Management ................................................................................................................................................................................................................................................................................... 38
Program Management .................................................................................................................................................................................39
Donor Compliance .......................................................................................................................................................................................................................................................................................... 39
Sub-grant Management ............................................................................................................................................................................................................................................................................... 40
Technical Reporting ....................................................................................................................................................................................................................................................................................... 41
Referral................................................................................................................................................................................................................................................................................................................ 42
Community Involvement .............................................................................................................................................................................................................................................................................. 43
Culture, Gender, and Disability ................................................................................................................................................................................................................................................................. 44
Project Performance Management ............................................................................................................................................................45
Standards ........................................................................................................................................................................................................................................................................................................... 45
Quality Assurance .......................................................................................................................................................................................................................................................................................... 46
Monitoring and Evaluation (M&E) ............................................................................................................................................................................................................................................................ 47
Field Oversight Activities ............................................................................................................................................................................................................................................................................. 48
Supervision ........................................................................................................................................................................................................................................................................................................ 49
Organizational Capacity Assessment (OCA)-USAID 1
Governance
Objective: To assess the organization’s motivation and stability by reviewing its guiding principles, structure and oversight.
Vision/Mission
Subsection Objective: To review the organization’s vision and/or mission statements, learn what drives the organization, how the
statements reflect what it does and how they are communicated and understood by staff.
Resources: Vision and/or mission statements, anonymous staff and board questionnaires (see Facilitator’s Guide)
Vision/Mission ●
1 2 3 4
The vision and/or mission is The vision and/or mission is The vision and/or mission is The vision and/or mission is
 Not a clearly stated description  A moderately clear or specific  A clear, specific statement of what  A clear, specific and forceful
of what the organization understanding of what the the organization aspires to become understanding of what the
aspires to achieve or become. organization aspires to become or achieve. organization aspires to become or
or achieve.  Well-known to most but not all staff. to achieve.
 Not widely held.  Sometimes used to direct actions  Well-communicated and broadly
 Rarely used to direct actions or and to set priorities. held within the organization.
to set priorities.  Consistently used to direct actions
and to set priorities.
Governance July 2014

Organizational Structure
Subsection Objective: To determine if the organization’s structure—most often depicted in an organogram but also perhaps in a narrative—
is in line with its mission, goals and programs and if systems exist to ensure strong coordination among departments or functions.
Resources: Organizational diagram, organogram or narrative
Organizational Structure ●
1 2 3 4
The organization has The organization has The organization has The organization has
 No formal structure.  A basic structure, but it is  A well-designed structure  A well-defined structure relevant to
 An unclear description of its incomplete and/or undocumented. (e.g., organogram) relevant its mission/goals and programs.
departments and their  A structure that is not aligned with to its mission/goals and  Clearly defined and
functions. its mission/goals and programs. programs. appropriate functions and
 Unclear definitions of  Identified the functions and responsibilities of
department functions. responsibilities of departments.
 Somewhat clear lines of departments.  Clear, appropriate lines of
responsibility and communication  Clearly defined and appropriate communication and
among departments. lines of responsibility and coordination among
communication among departments.
departments.  A narrative description of
the structure if appropriate.

Board Composition and Responsibilities
Subsection Objective: To assess the board’s composition, terms of reference (TOR), procedures and oversight to ensure that the board is
capable of providing adequate guidance to the organization.
Resources: Board membership, board TOR, board meeting minutes, anonymous board questionnaire
Board Composition and Responsibility ●

1 2 3 4
The board The board The board The board
 Is drawn from a narrow  Is drawn from a somewhat  Has membership which is  Has membership which is
spectrum; members have little broad spectrum; some minimally diverse with respect to diverse with respect to ethnicity,
or no relevant experience. members have relevant ethnicity, gender, culture, gender, culture, disability, and
 Has term limits that are not experience. disability, and age and members age and members have relevant
defined or are unreasonably long  Has term limits that are not defined have relevant experience. experience.
or short. or are unreasonable.  Is drawn from a broad spectrum;  Has term limits that are defined
 Has no process for electing  Has no process for electing officers. all members have relevant and reasonable.
officers.  Has well-planned meetings at experience.  Has officers
 Has infrequent or poorly regular intervals, but attendance  Has term limits that are defined elected/appointed according
attended and undocumented and/or documentation is irregular. and reasonable. to board procedures.
meetings.  Has TOR, but they are incomplete  Informally elects officers.  Has regular, well-planned,
 Does not have TOR or a clear and/or do not provide appropriate  Has well-planned, documented documented meetings with good
understanding of its key separation of roles from the meetings held at regular intervals attendance.
functions. executive management team. with good attendance.  Has clear TOR and a good
 Has some understanding of its  Has clear TOR reflecting understanding of its functions, all of
functions as defined in the TOR, appropriate separation of roles which are consistently carried out
but they are inconsistently from the executive management with appropriate separation from
carried out. team. the executive management team.
 Is rarely or not at all involved in  Has a good understanding of its  Displays willingness and a proven
strategic planning/policy functions as defined in the TOR track record to learn about the
formulation. and mostly carries them out. organization, to participate in
 Is involved in strategic strategic planning/policy formulation
planning/policy formulation, but and to address organizational
participation is not always issues.
consistent.

Legal Status
Subsection Objective: To assess the organization’s legal standing—and therefore sustainability—by checking legal registration and
compliance with local tax and labor laws.
Resources: Registration, where possible and feasible, local tax laws, local labor laws
Legal Status ●
1 2 3 4
The organization is The organization is The organization is The organization is
 Not legally registered,  Not currently a legally  Legally registered and aware of its  Legally registered and aware of its
registration has expired, or the recognized entity in the country tax status. tax status.
organization does not know its in which it operates but has  Not always compliant with  Fully complies with tax obligations
legal status and local labor applied for legal status. tax obligations and/or labor and labor laws.
laws.  Aware of its tax status and local laws.  Fully complies with statutory audit
 Not aware of its tax status and/or labor laws but is not fully  Not always compliant with and reporting requirements.
is not paying taxes. compliant. statutory audit and reporting
 Not aware of statutory audit  Aware of statutory audit and requirements.
and reporting requirements. reporting requirements but is not
fully compliant.

Succession Planning
Subsection Objective: To assess the organization’s ability to continue smooth operations and to manage programs in the event of an
absence of, or shift in, leadership.
Resources: Job descriptions of senior management, succession plan, organizational chart
Succession Planning ●
1 2 3 4
The organization The organization The organization The organization
 Is very dependent on the Chief  Is dependent on the CEO/ED.  Has limited dependence on  Is reliant but not dependent on
Executive Officer  Would continue to exist without CEO/ED; s/he does not have sole the CEO/ED.
(CEO)/Executive Director (ED). the CEO/ED but most likely in a control of, for example, finances  Has a clear, documented succession
 Would cease to exist or very different form, or with and planning. plan.
function without the CEO/ED. significantly less capability and  Would continue in a similar way  Has the potential for a smooth
 Has no plan for how it reduced program quality. without the CEO/ED, but transition to a new leader; fundraising
would continue if the  Has a very basic succession fundraising and/or program and program quality would not be
CEO/ED left. plan describing how the quality would suffer significantly. major problems.
organization will continue if the  Has a documented plan for how  Would handle transition by having a
CEO/ED leaves. it would continue should the senior management team fill in or one
CEO/ED leave, but no member or more members of the
of management could take on management team would take on the
the CEO/ED role. CEO/ED role.

Administration
Objective: To assess the organization’s capacity to develop and apply policies and procedures, the existence and quality of its
administrative systems and its staff knowledge of the systems.
Operational Policies, Procedures and Systems
Subsection Objective: To assess the availability of and adherence to operational policies.
Resources: Policy and procedures manual, anonymous staff questionnaires, related payment vouchers
Operational Policies, Procedures and Systems ●

1 2 3 4
 No documented operational  Documented some operational  Documented most or all operational  Complete and comprehensive
policies and procedures. policies and procedures, but they policies and procedures and they operational policies and
are incomplete or not compliant are compliant with national and procedures.
with national and donor regulations. donor regulations.  Policies and procedures that
 Policies and procedures that are  Policies and procedures that are are known and understood by
not well-known or understood by known but not consistently staff.
staff and are not consistently adhered to.  Policies and procedures that are
adhered to.  Oriented or trained staff in the consistently adhered to, reviewed,
policies and procedures. and updated.
 No process for regularly reviewing
and updating operational policies
and procedures.
Administration July 2014

Travel Policies and Procedures
Subsection Objective: To assess the availability of and adherence to travel policies and procedures, including compliance with donor rules
and regulations.
Resources: Travel manual, staff questionnaires, related payment vouchers
Travel Policies and Procedures

1 2 3 4
 No documented travel  Documented some travel policies  Documented most or all travel  Complete and appropriate written
procedures (i.e., per diem and procedures, but they are policies and procedures, and travel policies and procedures that
levels, forms, approval incomplete or noncompliant with they comply with donor comply with donor requirements.
procedures). donor requirements. requirements.  Policies and procedures that are
 Policies and procedures that are  Policies and procedures that are known and understood by
not well-known or understood by generally known and understood trained staff.
staff and not consistently by staff but not consistently  Policies and procedures that are
adhered to. adhered to. consistently adhered to, reviewed,
and updated.

Procurement
Subsection Objective: To assess the availability of and adherence to procurement policies and procedures.
Resources: Procurement policies, procurement files, related payment vouchers, procurement plan
Procurement
1 2 3 4
 No documented  Documented some  Documented most or all  Complete and appropriate written
procurement procedures. procurement policies and procurement policies and procurement policies and procedures
 No documented procurement plan. procedures, but they are procedures, and they are that incorporate donor-specific
incomplete or inappropriate. appropriate. policies as required.
 Policies and procedures that  Policies and procedures that are  Policies and procedures that are
are not well-known or generally known and understood known and understood by
understood by staff and by staff but inconsistently trained staff.
inconsistently adhered to. adhered to.  Policies and procedures that are
 No documented procurement  A documented procurement plan. consistently adhered to, reviewed,
plan, but is aware of and updated.
procurement regulations.  A documented procurement plan that
is annually revised/updated.

Fixed Asset Control
Subsection Objective: To assess the availability of and adherence to policies and systems for managing fixed assets.
Resources: Fixed asset policies, fixed asset register, physical inventory reports
Fixed Asset Control

1 2 3 4
 No documented fixed asset  Documented some fixed asset  Documented most or all fixed  Complete and appropriate written
procedures (i.e., inventory of policies and procedures, but they asset policies and procedures, fixed-asset policies and
assets and systems for stock are incomplete or inappropriate. and they are appropriate. procedures that incorporate donor
control).  Policies and procedures that are  Policies and procedures that policies as required.
 No fixed asset register. not well-known or understood by are known and understood by  Policies and procedures that
staff and not consistently adhered staff but inconsistently adhered are known and understood by
to. to. trained staff.
 A fixed-asset register that is  A fixed asset register that is  Policies and procedures that are
not complete. complete but not regularly consistently adhered to, reviewed,
updated. and updated.
 A fixed-asset register that is
regularly updated and confirmed
through a physical inventory at
least every two years.

Information Systems
Subsection Objective: To assess the functionality of the organization’s information systems and its documentation of information system
policies and procedures.
Resources: Information system policies and procedures, staff interviews
Information Systems ●
1 2 3 4
 No documented information  Documented some information  Documented most or all  Complete and appropriate
system policies and procedures. system policies and procedures, information system policies and information system policies
 An insufficient information system but they are incomplete or procedures. and procedures.
to manage operations and/or inappropriate.  An information system that  An information system that
programs.  An information system that adequately supports operations effectively and efficiently supports
 No one designated to manage supports operations and and programs at a good level of operations and programs at a high
the information system. programs at basic levels of functionality without major inputs. level of functionality and
functionality.  A staff member (or outside maintenance.
 No one designated to manage provider) designated to manage  A staff member (or outside
the information system. the information system. provider) designated to manage
the information system.

Human Resources Management
Objective: To assess the organization’s ability to maintain a satisfied and skilled workforce, to manage operations and staff time
and to implement quality programs.
Job Descriptions
Subsection Objective: To review the systems for developing, disseminating, following and updating job descriptions (JDs) to ensure that
staff roles and responsibilities are clearly defined and understood and that they are relevant to the needs of the organization.
Resources: Sample job descriptions for each position or level (depending on size of organization)
Job descriptions ●
1 2 3 4
 No JDs for staff, volunteers or  JDs for each staff member, but  Clear JDs for each staff member  JDs for each staff member that
interns. not all key sections are covered. that include all sections. cover all sections.
 Staff, volunteers and interns who  Staff, volunteers and interns with  Staff, volunteers and interns
are not aware of or do not have copies or access to copies of their with copies of or access to
copies of their JDs. JDs. their JDs.
 JDs that are not  JDs that are respected/adhered
respected/adhered to reviewed to, reviewed, and updated.
or regularly updated.
Human Resources Management July 2014

Recruitment
Subsection Objective: To assess the organization’s systems for recruiting staff and consultants including confirming and documenting
professional and salary history.
Resources: Recruitment manual/guidelines or policy, recruitment guidelines, documentation of employment history, personnel manual
Recruitment ●
1 2 3 4
 Neither guidelines nor a  Basic guidelines for  Clear, transparent recruitment  Clear, transparent, and
consistent approach to recruitment, but they are not guidelines, but they are consistent recruitment guidelines
recruiting staff. consistently applied or neither consistently applied which are consistently applied
 No system for verifying reviewed. nor regularly reviewed. and reviewed and include access
employment history for staff or  No process for verifying staff  Has a process for verifying to employment for people with
consultants. or consultants’ employment employment history but does not disabilities.
history. file or update the information.  A process for verifying, updating
 Not oriented or trained HR staff  Not consistently oriented or and filing employment history.
in applying the guidelines. trained HR staff in applying the  Consistently oriented and
guidelines. regularly trained/updated HR
staff in applying the guidelines.

Staffing Levels and Retention
Subsection Objective: To assess the organization’s management of staffing—positions available, positions filled, vacancies—for the
program and for the organization as a whole and the means for ensuring staffing levels are and remain adequate.
Resources: Staffing plan and/or organizational diagram, vacancy and turnover data, attendance information, retention policy
Staffing Levels ●
1 2 3 4
 No formal staffing plan.  A formal staffing plan.  A formal staffing plan.  A formal staffing plan.
 Positions/vacancies that are  Documented positions and  Documented and available  Documented positions and
not documented. vacancy data. vacancy data. vacancy data.
 Many key management and  Some key positions filled with  Qualified and skilled staff in all  Qualified and skilled staff in
technical positions open or filled qualified and skilled staff. key positions (technical, all positions.
by staff without the right  No system to ensure that administrative, finance).  Active recruitment to fill gaps.
qualifications or skills. positions are filled quickly.  A system to ensure that positions  A system for rapidly filling new
 No system to ensure that  High turnover rate or staff are filled quickly. positions where staff turnover is
positions are filled quickly. attendance problems affecting  Moderate turnover or high.
 High turnover and severe program implementation. minor attendance  Minimal turnover and no
problems with staff attendance  Not conducted or documented problems. attendance problems.
affecting program exit interviews.  Conducted and documented  Conducted and documented exit
implementation.  Not provided opportunities for exit interviews. interviews and used the
 No retention procedures. career advancement.  Not provided opportunities for information.
career advancement.  Provided opportunities for career
advancement for employees of
all ability levels.

Management and Staff Diversity

Subsection Objective: To assess the gender, demographic, social and cultural composition of the staff.
Resources: Hiring and retention records, employee files, census data
Management and Staff Diversity ●

1 2 3 4
 Little diversity in the gender, ethnic,  Some diversity in the gender,  Significant diversity in the gender,  Good diversity in the gender,
religious, and cultural composition ethnic, religious, and cultural ethnic, religious and cultural ethnic, religious and cultural
of management and staff. composition of management and composition of management and composition of management
 Made no active efforts to diversify staff, but some groups are staff, but some groups remain and staff.
its management and staff. significantly under-represented. under-represented.  Made active efforts to
 Made limited active efforts to  Made active efforts to diversify diversify its management and
diversify its management and staff, its management and staff, but staff that have been
but these have not been these have been partially successful.
successful. successful.

Personnel Policies
Subsection Objective: To ensure that personnel policies document and verify staff time and that best practices in managing personnel are
adhered to.
Resources: Personnel manual, staff time records, work schedule policies, 2–3 personnel files, payment vouchers
Personnel Policies
1 2 3 4
 No personnel policy manual.  Basic personnel policies, but they  Good personnel policies that  Comprehensive and donor
are incomplete and/or include most or all appropriate compliant personnel policies.
inappropriate. components.  Policies that are adhered to
 Inconsistently applied the policies.  Policies that are generally and aligned with HR
 Not disseminated the policies to adhered to and aligned with practices.
all staff and/or required HR practices.  Disseminated policies to all staff
signature statements.  Not disseminated the policies to and required and filed signature
all staff or required signature statements.
statements.  Regularly reviewed and
 No process for updating updated policies, manuals.
personnel policies and manuals.  Policies are sensitive to the
needs of people with
disabilities.

Staff Time Management

Subsection Objective: The objective of this sub-section is to assess whether the organization actively uses timesheets for each staff member,
whether timekeeping practices meet USG requirements, and whether the organization has systems in place for reviewing timesheets and using
timesheet data for processing payroll.
Resources: Completed staff timesheets, work schedule policies, 2-3 staff files, payroll payment vouchers
Staff Time Management

1 2 3 4
 No policy or system for  A staff billing policy and time-  A billing policy and timesheets that  A billing policy and timesheets
documenting staff work sheets that do not meet USG conform to USG requirements. that conform to USG
hours. requirements.  A policy for review and signature requirements.
 Not based payroll and  No policy for review or signature on timesheets from a supervisor.  Trained staff and supervisors
labor billings on from a supervisor.  Oriented staff and supervisors to to complete the timesheets
timesheet data.  Not oriented staff and complete documents properly. properly.
supervisors to complete the  Timesheets that are not always  Timesheets that are
documents properly. completed and submitted in a completed and submitted in a
 Not based payroll or labor timely manner. timely manner and reviewed
billings on timesheet data.  Not based payroll or labor billings and signed by a supervisor.
on timesheet data.  Based payroll and labor
billings on timesheet data.

Staff Salaries and Benefits
Subsection Objective: To review the organization’s systems for setting and managing salaries and benefits and determine whether these
conform with legal and donor requirements.
Resources: Salary grades and ranges, 2-3 personnel files from different levels
Staff Salaries and Benefits

1 2 3 4
 No clear rationale/structure for  A clear rationale/structure for  A clear rationale/structure for staff  A clear rationale/structure for staff
staff salaries such as pay grades staff salaries, such as pay salaries such as pay grades and salaries such as pay grades and
and ranges or salary history. grades and ranges and salary ranges and salary history. ranges and salary history.
 Not clearly documented benefits history.  Consistently applied the  Consistently applied the
in a policy manual.  Not consistently applied, reviewed rationale/structure to all staff, but rationale/structure to all staff, and
 Salaries and benefits that are or updated the salary does not review or update it reviews it or updates it annually.
not equitably applied and/or rationale/structure. regularly.  A process for documenting salary
do not conform to national  No process for documenting  A process for documenting history.
labor requirements. salary history. salary history.  Benefits that are clearly documented
 Benefits that are clearly  Benefits that are clearly in a policy manual, known to staff,
documented in a policy documented in a policy manual, equitably applied and conform to
manual, but they are neither equitably applied and conform to national labor requirements.
equitably applied nor conform national labor requirements.  Pay increases that follow the
to national labor requirements.  Oriented/informed its staff on the salary structure and/or policy.
 Not oriented/informed its staff benefits offered to them  Pay increases coordinated
on the benefits offered to  Pay increases that do not with performance reviews.
them. consistently follow the salary
structure and/or linked to
performance reviews.

Staff Performance Management
Subsection Objective: To review the organization’s systems for managing staff performance including performance appraisals.
Resources: Samples of completed performance appraisals or a blank form
Staff Performance Management ●

1 2 3 4
 No process for regularly  A process for assessing staff  A process for assessing staff  A process for assessing staff
assessing staff performance. performance, but it does not performance that includes setting performance that includes setting
 No probationary period or include setting objectives, listing objectives, listing responsibilities/ objectives, listing responsibilities/
review process for new staff. responsibilities/tasks, supervision tasks, assessing performance on tasks, assessing performance on past
 Not updated or filed changes in or professional development. past activities, supervision and activities, supervision and
staff work status, salary and  A three-month probationary professional development. professional development.
benefits. period for new staff but no formal  A performance review process  Regularly reviews new staff
review. for new staff that is not timely or performance after the probationary
 A process that is not participatory consistently done. period.
and follows an auditing rather  A participatory process regularly  Regularly conducted appraisals
than a supportive approach. used for performance appraisals. for all staff at least once a year
 Inconsistently filed or updated  Conducted appraisals for some, through a participatory process.
changes in staff work status, but not all, staff.  Consistently filed, updated and
salary and benefits.  Consistently filed and updated made changes in staff work status,
changes in staff work status, salary and benefits.
salary and benefits.

Staff Skills Development

Subsection Objective: To review the organization’s systems and processes for assessing and developing staff skills.
Resources: Staff skills development plan, memoranda of understanding with skills development organizations, skills audit reports
Staff Skills Development ●

1 2 3 4
 No skills development program  No skills development program  A process for supporting staff to  A process for supporting staff to
for staff. but has a process for supporting identify and enroll in skills identify and enroll in skills
 No ability to periodically carry staff to identify and enroll in skills development programs of their development programs of their
out a skills audit and analysis development program of their choice. choice, including programs
for its staff’s future skills choice.  A clear skills development plan accessible to people with disabilities.
needs.  No ability to periodically carry out and system that is built around  A clear skills development plan and
a skills audit and analysis for its staff competencies and system that is built around staff
staff’s future skills needs. recognizes prior learning. competencies and recognizes prior
 No assessment tools to measure learning.
knowledge gained against criteria set  Assessment tools to measure
for successful performance of given knowledge gained against criteria set for
tasks. successful performance of given tasks.
 Little motivation to utilize the newly  A willingness to utilize the newly
acquired skills of its staff. acquired skills of its staff.

Volunteers and Interns
Subsection Objective: To review the organization’s systems for managing field and office volunteers and interns.
Resources: Volunteer/intern policy, samples of completed performance appraisals
Volunteers/Interns ●
1 2 3 4
 No policy for selecting or  A basic volunteer/intern policy  A comprehensive volunteer/intern  A comprehensive volunteer/intern
managing volunteers/interns. that includes guidance on policy that includes guidance on policy which includes selection from
 No training program for selection, supervision and selection, supervision and support. all groups of people including people
volunteers or interns. support.  Job descriptions. with disabilities, supervision, and
 No job descriptions.  Job descriptions.  Volunteers/interns appropriately support.
 No performance  Orientation and/or training for trained for their tasks.  Volunteers/interns who are
standards or feedback volunteers that is not  Performance standards but no appropriately and consistently trained
process. consistent. performance review. for their tasks.
 No supervisory guidance to  No performance standards or  Provided regular, consistent  Performance standards and
support volunteers/interns. regular review of performance. supervision and feedback. regular performance reviews.
 Inconsistent or irregular supervision.  Moderate turnover with limited  Provided regular, consistent
 High volunteer turnover that impact on program implementation. supervision and feedback.
affects program implementation.  Minimal turnover with no effect on
program implementation.
 Equal opportunity is given to applicants
regardless of culture, ethnicity, gender,
and/or disability.

Financial Management
Objective: To assess the quality of the organization’s financial system and policies and procedures and the staff’s knowledge of
the system.
Accounting System
Subsection Objective: To assess the existence and use of the accounting system, especially its ability to respond to management needs
and donor requirements.
Resources: Financial manual, accounting journals, chart of accounts, payment vouchers, staff training plan/curricula, staff interviews
Accounting System
1 2 3 4
 No formal accounting system.  A basic accounting system, but it  A good accounting system, but it  A fully operational and donor-
 Transactions that are either not is incomplete and/or not compliant is not compliant with donor compliant computerized
recorded or are recorded on an with accounting standards. regulations. accounting system.
ad hoc basis.  Not been consistently and/or  A computerized accounting  Been consistently and accurately
 A filing system that maintains accurately recording system that is not fully recording transactions in the
only invoices/receipts for all transactions in the accounting operational. accounting system
expenditures and incoming funds. system.  Been consistently and accurately  Recruited and trained qualified
 No qualified accounting staff.  Not recruited qualified recording transactions in the accounting staff.
accounting staff and/or accounting system.  A process for reviewing and
oriented accounting staff on  Recruited and trained qualified updating the accounting system.
the systems. accounting staff.  A narrative description of its
 No process for reviewing accounting system in its financial
and updating the manual.
accounting system.
 Not included a narrative
description of its accounting
system in its financial manual.
Financial Management July 2014

Internal Controls
Subsection Objective: To assess if internal controls adequately safeguard the organization’s assets, manage internal risk and ensure the
accuracy and reliability of accounting data.
Resources: Financial manual, signatory policy/authority matrix, payment vouchers, staff interviews, audit reports on internal controls,
insurance policies
Internal Controls
1 2 3 4
 No documented internal controls.  Some documented internal  Most or all documented  Complete and appropriately
 Improper segregation of duties controls, but they are incomplete appropriate internal controls. documented internal controls.
and checks and balances (1–2 and inappropriate.  Procedures that are generally  Procedures known and understood
people are responsible for all  Procedures that are not well- known by staff but not by trained staff.
steps in finance and/or known and understood by consistently adhered to.  Appropriate segregation of duties
procurement). staff and not consistently  Adequate segregation of duties among procurement and finance staff.
adhered to. among procurement and finance  Internal controls that are
 Inadequate segregation of duties staff. consistently adhered to, reviewed,
among procurement and/or finance  No process for reviewing and and updated.
staff. updating internal controls or for  A process for assessing financial risk.
assessing financial risk.

Financial Documentation
Subsection Objective: To assess if record keeping is adequate and if financial files are audit ready.
Resources: Financial files, finance manual, staff interviews
Financial Documentation
1 2 3 4
 No written financial  Some written financial  Written financial documentation  Complete and appropriate
documentation procedures. documentation procedures, but procedures that are mostly written financial documentation
 No filing system, and financial files they are incomplete and/or complete and appropriate. procedures that include back-up
are not readily available. inappropriate.  Procedures that are generally and recovery of financial
 No procedures for back-up and  Procedures that are not adhered to, known, and understood documentation.
recovery of financial consistently adhered to and/or by staff.  Procedures that are known
documentation. are not known to staff.  Financial files that are not regularly and understood by staff.
 A basic filing system, but financial updated or secure.  Procedures that are
files are not complete.  A staff member designated to consistently adhered to,
 No one designated to manage manage the financial files. reviewed, and updated.
the financial files.  Written procedures for back-up and  Up-to-date financial files in a
 Incomplete procedures for recovery of financial secure location.
back-up and recovery of documentation, but these are not  A staff member designated to
financial documentation. consistently adhered to. manage the financial files.

Budgeting
Subsection Objective: To assess the adequacy of the organization’s financial planning systems, budget monitoring systems and its ability
to determine additional funding requirements.
Resources: Organization’s budget, project budgets, budget worksheet, chart of accounts, budget tracking worksheet
Budgeting ●
1 2 3 4
 No formal organizational budgeting  A basic organizational budgeting  A good organizational budgeting  A complete and appropriate
process. process, but it is incomplete. process that includes most or all organizational budgeting
 Project budgets, but they are  A core-cost budget, but it is not required components. process
not clear and/or not aligned aligned with the strategic plan  A core-cost budget that is  A core-cost budget that is aligned
with project needs. and/or is not regularly reviewed to generally aligned with the with the strategic plan and regularly
 Not included core costs in address shortfalls. strategic plan, but is not reviewed; any shortfalls are
its project budgets.  Project budgets, but they are regularly reviewed to address addressed.
 No budget monitoring not always clear and do not shortfalls.  Clear project budgets that are
system. consistently align with project  Project budgets that are clear but reviewed regularly by senior
needs. not regularly reviewed nor management, and adapted to align
 An inconsistent methodology consistently aligned with project with project needs and donor
for including core costs in its needs requirements.
project budgets.  A consistent methodology for  A consistent methodology for
 A basic budget monitoring including core costs in project including core costs in project
system, but the financial data budgets, but the methodology is budgets that is documented and
is not reviewed by program not documented and does not ensures full cost recovery.
managers. ensure full cost recovery.  A complete and appropriate
 A good budget monitoring organizational budget monitoring
system where the financial data process where program managers
is reviewed by program consistently review the financial
managers, but corrective action data and take appropriate corrective
is not consistently taken. action.

Financial Reporting
Subsection Objective: To assess whether the organization’s routine financial reporting system allows it to meet statutory and donor
requirements and stakeholders’ needs for information.
Resources: Annual financial statements, financial reports to donors, donor grant agreements, management reports, senior management
meeting minutes, board meeting minutes
Financial Reporting
1 2 3 4
 No routine system for  A basic system for financial  A good financial reporting  A complete and appropriate financial
financial reporting. reporting, but reporting requirements system; reporting requirements reporting system; reporting
 No recent financial statements. and deadlines are not adhered to. and deadlines are generally requirements and deadlines are
 Not yet submitted a financial  Inconsistently delivered financial adhered to. consistently adhered to.
report to a donor and/or other reports to stakeholders (donor,  Regularly delivered financial  Regularly delivered accurate and
stakeholders. budget holders, senior reports to stakeholders (donors, complete financial reports to
 No one designated to management, and board budget holders, senior stakeholders (donors, budget holders,
prepare or approve reports members). management, board members), senior management, and board
or financial statements.  Designated staff to prepare but they are not always accurate members).
and approve reports and and/or complete.  A system for senior staff to regularly
financial statements.  A system for regular reviews review financial reports and to use
 Irregular reviews of financial reports of financial reports by senior the reports for decision-making.
by senior staff. staff, but the reports are not  Complete and appropriate
used for decision-making documented financial reporting
 Some documented financial procedures that are regularly
reporting procedures. reviewed and updated.

Audits
Subsection Objective: To assess whether the organization undergoes routine audits that meet statutory and donor requirements and has a
system for addressing audit findings.
Resources: Financial audit reports, post-audit management plans, financial manual staff interviews
Audits
1 2 3 4
 No internal or external  A basic audit/review system, but  A good system for managing  A complete and appropriate system
auditing system. auditing requirements and audits; audit findings and for managing audits; audit findings
 Not complied with statutory deadlines are not adhered to. recommendations are generally and recommendations are
and/or donor auditing  Completed a recent statutory addressed. systematically addressed.
requirements. and/or donor audit, but the scope  Consistently complied with its  Consistently complied with its
of the audit does not meet statutory and donor audit statutory and donor audit
requirements. requirements in a timely requirements in a timely manner.
 Not implemented previous manner.  Consistently shared audit reports
audit report  Not shared audit reports with with board members and other
recommendations. board members and other stakeholders.
 Not shared audit reports with stakeholders.  An internal audit function that
board members and other  No internal audit function that assesses risk and updates financial
stakeholders. regularly assesses risk or reviews management systems as needed.
and updates financial  A written narrative of its audit
management systems to reflect procedures in the finance manual.
the changing environment.

Financial Policies and Procedures

Subsection Objective: To assess the existence and use of financial policies and procedures and their ability to respond to management
needs and donor requirements.
Resources: Financial manual, accounting journals, chart of accounts, staff interviews, payment vouchers, staff training plan/curricula
Financial Policies and Procedures

1 2 3 4
 No documented financial  Some documented financial policies  Documented most or all financial  Complete and appropriate
policies and procedures. and procedures, but they are policies and procedures and they are financial policies and
incomplete and/or do not comply compliant. procedures.
with donor requirements.  Policies and procedures that are  Policies and procedures that are
 Policies and procedures that consistently adhered to. known and understood by staff.
are inconsistently adhered to.  Oriented or trained staff in the  Policies and procedures that are
 Not oriented or trained staff in the policies and procedures. consistently adhered to, reviewed,
policies and procedures  No process for regularly reviewing and updated.
and updating financial policies and
procedures.

Cost Share
Subsection Objective: To assess whether the organization has systems to track, report, and document cost share in compliance with donor
regulations.
Resources: Approved grant agreements/budgets, cost-sharing plan and procedures, cost-share vouchers
Cost Share
1 2 3 4
 No documented cost-  Documented some cost-  Documented most or all cost-  Complete and appropriately
share procedures. share procedures, but these share procedures and they are documented cost-share procedures,
 No cost-share plan. are incomplete and/or appropriate. including procedures for recording
inappropriate.  Procedures that are not known and tracking cost share in its
 No procedures for recording and to staff and are inconsistently accounting system.
tracking cost share in its adhered to.  Procedures known and understood
accounting system.  Procedures for recording and by staff.
 No cost-share plan. tracking cost share in its  Procedures consistently adhered
accounting system, but these to, reviewed, and updated.
are not consistently adhered to  A cost-share plan.
 A cost-share plan.

Organizational Management
Objective: To assess the organization’s planning, management of external relations and information and means of identifying and
capitalizing on new opportunities.
Strategic Planning
Subsection Objective: To assess the organization’s ability to realize its mission and goals by reviewing its strategic plan.
Resources: Strategic plan
Strategic Planning ●
1 2 3 4
 No strategic plan.  A basic strategic plan that does  A written strategic plan that reflects  A comprehensive, written strategic
not reflect its vision, mission and its mission, vision and values. plan that reflects its mission, vision
values.  Based the plan on a review and values.
 Not based the plan on an analysis of strengths and  Based the plan on a review of
of strengths and weaknesses, the weaknesses, the external strengths and weaknesses, the
external environment, and client environment, and client external environment, and client
needs. needs. needs including people with
 A plan that does not include  Included priority areas, measurable disabilities.
priorities, measurable objectives or objectives, and clear strategies.  Included priority areas, measurable
clear strategies.  Not used the plan for objectives, and clear strategies.
 Not used the plan for management decisions or  Referred to the plan for
management decisions or operational planning. management decisions and
operational planning.  No process for regular reviewing the operational planning.
 No process for regularly reviewing plan.  Regularly reviewed the plan.
the plan.  Not defined its resource needs or  Clear resource needs
 Not defined its resource needs and does not have a corresponding and a corresponding
does not have a corresponding budget. budget.
budget.
Organizational Management July 2014

Operational Planning
Subsection Objective: To assess the contents, approval and reviews of the annual operational plan.
Resources: Operational plan
Operational Planning ●
1 2 3 4
 No operational plan.  A basic annual operational plan.  A good annual operational plan.  A complete annual operational plan.
 Included goals, measurable  Included goals, measurable  Included goals, measurable objectives
objectives and strategies, but no objectives and strategies, timelines, and strategies, timelines,
timelines, responsibilities or responsibilities, and indicators. responsibilities, and indicators.
indicators.  Linked the plan to  Linked the plan to
 Not linked the operational plan project/program workplans and program/project workplans and
to project or program workplans budgets. budget.
and budgets.  Not developed the operational  Developed the plan with
 Not developed the operational plan with staff participation. staff participation.
plan with staff participation.  No set dates for quarterly reviews.  Set dates for quarterly reviews
 Not set dates for quarterly reviews.  Not submitted the plan on time to  Submitted the plan on time to HQ
 Not submitted the plan on time HQ or donors (if required). or donors (if required).
to HQ or donors (if required).  No used the plan for management  Used the plan for management
 Not used the plan for decision-making. decision-making.
management decision-making.

Resource Mobilization
Subsection Objective: To assess the organization’s ability to identify and capitalize on new business opportunities through grants and
partnerships.
Resources: Business development plan, resource development plan, funding strategy
Resource Mobilization ●
1 2 3 4
 No business plan or funding  A business plan and has taken  A business plan based on an  A business plan based on an analysis
strategy. preliminary steps to estimate analysis of its programs and of its programs and resource needs
 Not estimated its future future resource needs based on resource needs and the activities and the activities in its strategic plan.
resource needs. an analysis of its programs in its strategic plan.  Identified resource providers.
 Taken no steps to identify and/or its strategic plan.  Identified resource providers.  Successfully bid for resources from
additional local, national or  Identified additional resource  Received support from at least one or more sources.
international resources or providers or opportunities and one source or has a clear plan  Sufficient funds to support its activities.
opportunities to support its their interests and potential for for fundraising or proposal
programs and activities, either support. writing.
directly or through partnerships.  Insufficient funds to support
its activities.

Financial Sustainability
Subsection Objective: To assess the organization’s finance strategy and its ability to secure a diversified revenue base, to generate
reserves and to sustain its operations without donor funds.
Resources: Organization’s budget, annual financial statements, strategic plan, finance strategy (business plan)
Financial Sustainability ●
1 2 3 4
 Full dependence on one  Almost full dependence on  A somewhat diversified funding  A diversified funding base with
external donor. external donor funds (more than base, but is too reliant on strong stakeholder relationships.
 No unrestricted funds. one donor). restricted income.  Income-generating activities
 Not enough liquidity to pay all  Limited unrestricted funds.  Limited reserves to operate and/or unrestricted sources of
outstanding financial  Not enough liquidity to pay without donor grants. income.
obligations. all outstanding financial  Enough liquidity to pay all  Enough reserves to run for a
 No documented financing obligations. outstanding financial obligations. few months without any donor
strategy.  A financing strategy that is not  A documented financing strategy funding.
fully documented. that is not fully in line with the  Enough liquidity to pay all
strategic plan and is not reviewed outstanding financial obligations.
regularly.  A documented financing strategy
in line with the strategic plan and
reviewed regularly.

Communication Strategy
Subsection Objective: To assess the comprehensive, completeness and effectiveness of the organization’s communication strategy.
Resources: Communication strategy, sample USAID-funded and non-USAID-funded publications
Communication Strategy ●
1 2 3 4
 No strategy for identifying  An incomplete strategy, lacking  A complete communication  A comprehensive communication
audiences, channels, objectives, responsibility, strategy, including objectives, strategy, including objectives,
materials, and dissemination timelines and dissemination responsibilities, timelines, responsibilities, timelines,
for promotion of technical/best mechanisms, with no attention to dissemination mechanisms but dissemination mechanisms, and
practice innovation, overall attracting additional resources. lacking attention to attracting attention to attracting additional
achievements, and to attract  Assigned responsibility for additional resources. resources.
resources. communication strategy  Tasked staff member(s) with  Tasked staff member(s) with
 No one assigned responsibility development. communication strategy communication strategy
for developing/overseeing  Basic process/tools for testing management including management, including
communication strategy and materials/messages. documentation oversight. documentation development and
products (written, oral and/or  Developed branding/marking  A process for testing oversight.
online). policies for projects as required materials/messages and revising  A process for testing and revising
 No process/tools for testing by USAID but does not have an based on test results. materials/messages based on
the materials/messages. organizational branding/marking  Developed its own test results.
 No branding/marking policies policy. branding/marketing policy  Developed its own branding
or procedures for documents (including appropriate USAID policy (including appropriate
or equipment. requirements) but it is USAID branding/marking
inconsistently adhered to. requirements), oriented staff, and
 Created templates for documents instituted a system to monitor
and a style guide. compliance.
 Created templates and a style
guide and trained staff on their
use.
 A communication strategy that is
sensitive to disability inclusion.

Knowledge Management
Subsection Objective: To assess the organization’s ability to link with other organizations (government, national, international, community,
technical, academic) and its system for sharing knowledge, experiences, technical expertise and best practices with staff.
Resources: Listing of association memberships and linkages with external organizations, staff reports on meetings attended, organizational
newsletters
Knowledge Management ●
1 2 3 4
 No technical linkages with  Basic technical linkages with  Essential and appropriate links with  Active links with appropriate
external organizations and other organizations to share other organizations to share best organizations to share best
government, national or best practices or program practices or program experiences. practices or program experiences.
international organizations) to experiences.  A process for routinely sharing  A process for routinely sharing
share best practices or program  Staff who are updated technical expertise and experiences technical expertise and experiences
experiences. on best practices, but with staff and stakeholders. with staff and stakeholders.
 No process for ensuring staff not regularly.  Not consistently applied new  Applied best practices to its program.
are continuously updated on  No process for ensuring knowledge or best practices to  Annual planning that includes reviews
best practices. learning is applied to the ongoing programs or shared them and integration of new/current
program. with stakeholders. knowledge and best practices.
 A basic process for reviewing/
integrating new/current knowledge and
best practices in annual planning.

Stakeholder Involvement
Subsection Objective: To assess the organization’s ability to coordinate programs and to involve stakeholders.
Resources: List of key stakeholders, stakeholder report
Stakeholder Involvement ●
1 2 3 4
 No information about key  Some information about  Mostly complete information about  Complete and up-to-date information
stakeholders and service stakeholders and service stakeholders and service providers about all key stakeholders, including
providers in the same providers in the same geographic in the same geographic and/or people with disabilities, DPOs, and
geographic and/or technical and/or technical areas in which it technical areas in which it service providers working in the same
areas in which it operates. operates. operates, but the information is not geographic and technical area and, if
 Information that is incomplete regularly updated. appropriate, collaborative agreements.
and out of date.  Identified what the stakeholders’  Regular (at least annually) meetings
expectations are and how/if they with stakeholders to review relevant
can collaborate, but no formal activities and their impact on the
agreements exist. organization’s area of operations.
 No regular meetings with
stakeholders to review relevant
activities.

Internal Communication
Subsection Objective: To review the organization’s approach to internal communication.

Resources: Staff questionnaires (see Facilitator’s Guide)
Internal Communication ●
1 2 3 4
 Limited communication  Limited communication between  Open communication between  Open communication between
between and among and among management and and among management and and among management and
management and staff. staff. staff. staff.
 Few structured opportunities to  Opportunities for discussions  Regular opportunities for  Regular opportunities for
exchange ideas or to discuss between and among management discussing management, exchanging ideas or discussing
management, program or and staff, but they are rarely used. program or technical areas. management, program or
technical issues.  Sometimes encouraged staff ideas  Encouraged staff ideas and input. technical issues.
 Not encouraged staff ideas or and input.  Staff who are comfortable raising  Consistently encouraged and
input.  Staff who feel uncomfortable issues but find it more difficult to incorporated staff ideas and
 Staff who feel uncomfortable raising issues. raise challenging ones. input.
raising issues.  Staff who feel comfortable
initiating discussions, and
raising issues.

Decision-Making
Subsection Objective: To assess how the organization makes decisions, who is involved, and how decisions are communicated.
Resources: Staff questionnaires (see Facilitator’s Guide)
Decision-Making ●
1 2 3 4
 Not included staff in the  An unclear process for seeking  Encouraged staff ideas but  Sought, respected and incorporated
decision- making process. and including staff ideas in the seldom incorporated them into staff ideas into decision-making.
 Not communicated or explained decision-making process. decisions.  Staff with disabilities are given equal
decisions that affect the  Inconsistently communicated  Communicated and opportunity to participate in decision-
organization. or explained decisions to explained decisions to making.
 Staff who feel excluded. staff. staff.  Communicated and explained
 Staff who feel they play a minor  Not fully included staff participation decisions to staff.
role in making decisions. in making decisions.  Staff who feel a sense of
responsibility, accountability and
ownership of decision-making.

Change Management
Subsection Objective: To assess the organization’s sustainability and relevance by reviewing its systems and processes for responding to
internal or external emerging situations, reviewing programs and analyzing needs.
Resources: Policy review plan or timeline
Change Management ●
1 2 3 4
 No process for responding to  Basic processes for reviewing  Established processes for  Established effective and consistent
internal changes (staffing, internal changes, such as policy reviewing internal change. routines for planning and reviewing
leadership and budget issues). reviews or the funding  Established processes for and responding to internal and
 No process for planning for environment. planning for and external change.
or responding to external  A basic process for planning for responding to external  Consistently involved staff in
changes (government or responding to external change. reviewing the effectiveness of
policies or donor changes, such as regular reviews  Consistently involved staff in new/revised management systems
priorities/funding). of the operational plan and reviewing the effectiveness of and policies.
budget monitoring. new/revised management systems  Systems for monitoring whether
 Inconsistently involved staff in and policies, processes, programs. changes are implemented and lead
reviewing the effectiveness of  Few delays or major problems to improvements.
new/revised management systems encountered in response to  Ways to gauge staff comfort with the
and policies. change. way change is introduced and
 Significant delays or problems addressed.
encountered in response to
change.

Program Management
Objective: To assess the organization’s ability to implement comprehensive programs that respond to local needs and priorities by
reviewing compliance with donor requirements, management of sub-grants with partners, technical reporting and whether its
comprehensive health services meet the needs of specific target populations.
Donor Compliance
Objective: To assess the organization’s capability to respond to USG donor requirements; thereby ensuring the effective implementation of
its USG-funded programs.
Resources: Copy of the USAID A-122 Cost Principles, staff interviews (see Facilitator’s Guide)
Donor Compliance
1 2 3 4
 Is not familiar with the terms of the  Is knowledgeable of the terms of  Is knowledgeable of the terms of  Is knowledgeable of the terms of
cooperative agreement, A-122 the cooperative agreement, A- the cooperative agreement, A- the cooperative agreement, A-
Cost Principles (i.e., reasonable, 122 Cost Principles and Standard 122 Cost Principles and Standard 122 Cost Principles, and
allocable, and allowable) or Provisions. Provisions. Standard Provisions.
Standard Provisions.  Is aware of donor requirements,  Has systems in place to ensure  Has systems in place to ensure
 Has not listed and assigned has assigned responsibility, but compliance with donor compliance with donor
responsibility for all donor does not have systems in place requirements. requirements.
requirements. to ensure compliance.  Does not comply consistently.  Complies consistently.
Program Management July 2014

Sub-grant Management
Subsection Objective: To assess the organization’s ability to subcontract with other organizations, and monitor technical implementation
and financial management of sub-grants.
Resources: Sub-grants management and monitoring manual or written procedures, partner agreements, staff interviews, USAID approval
documentation, technical reports from grantees, supervisory trip reports, financial reports from grantees, financial tracking of grantees
Sub-grant Management
1 2 3 4
 No policies and procedures to  Some documented sub-grant  Most or all documented and  Complete and appropriate sub-
guide sub-grant management management policies and compliant sub-grant grant management policies and
and support. procedures, but these are management policies and procedures.
 No formal sub-grants with incomplete or non-compliant. procedures.  Formal sub-grants with all partners,
partner organizations.  Formal sub-grants with some  Formal sub-grants with all and they are oriented on their
partners, but they have not partners; some sub-grantees are responsibilities.
been oriented on their oriented on their responsibilities.  Sub-grantees who submit all
responsibilities.  Sub-grantees who do not required reports in a timely
 Sub-grantees who do not submit consistently submit financial and manner in accordance with their
regular financial and technical technical reports in accordance agreements.
reports in accordance with their with their agreements.  Solid policies and guidance for
agreements.  Policies and guidance for providing regularly scheduled
 Basic policies and guidance supervising and supporting sub- supervision and support.
for supervising and grantees, but not all staff are  Regular supervisory visits to assess
supporting sub-grantees. aware of or utilize the guidance. inventory and financial records and
 No regularly scheduled  Conducted infrequent implementation; feedback is shared
supervisory visits. supervisory visits. with partners and used for follow up
visits.

Technical Reporting
Subsection Objective: To review the organization’s ability to document technical activities and results for donors, program planning and
program development.
Resources: Most recent technical report, workplan
Technical Reporting
1 2 3 4
 Does not document quantitative  Documents both quantitative and  Documents both qualitative and  Documents both quantitative and
or qualitative progress on its qualitative progress on its quantitative workplan progress qualitative workplan progress, and
workplan or its objectives and workplan, including objectives and and reviews objectives and reviews objectives and strategies,
strategies, facilitating factors or strategies, facilitating factors and strategies, facilitating factors and facilitating factors and barriers.
barriers. barriers. barriers.  Documents lessons learned and
 Does not identify lessons  Does not identify lessons learned  Documents lessons learned and best practices.
learned and/or best practices. or best practices. best practices.  Reports on donor program and other
 Does not report on donor,  Does not report on donor program  Reports on donor program and program indicators.
government or other program and other indicators. other indicators.  Uses information to review/revise
indicators.  Does not use information to  Does not use information to strategies with staff and
 Does not use information to review/revise strategies with staff review/revise strategies with staff stakeholders.
review/revise its strategy with or stakeholders. and stakeholders.
staff and stakeholders.

Referral
Subsection Objective: To assess the organization’s systems and processes for directing clients to other providers, ensuring those providers
offer quality services and monitoring clients’ access to services.
Resources: Referral plan, memoranda of understanding with referral sites, referral reports or data
Referral ●
1 2 3 4
 Not mapped referral sites.  Mapped referral sites.  Mapped referral sites.  Mapped referral sites.
 Not established links for  Established links for referring but  A clear referral process, with  A clear referral process, with
referring clients for has no agreements with agreements, with government, agreements, and strong linkages
treatment or other government, private or NGO private or NGO health or social with government, private or NGO
health/support services. health or social service providers service providers to ensure that health, social service and/or
to ensure that clients requiring clients requiring treatment or disability service providers, self-
treatment or other health or other health or support services help groups, and DPOs to ensure
support services have access to have access to them. that clients requiring health or
them.  A process for following up support services have access to
clients and monitoring quality of them.
care.  A process for following up clients
 Clients who are not always and monitoring quality of care.
appropriately referred or who  Clients who are consistently
encounter problems at referral referred to appropriate locations
sites. and who do not encounter
problems at referral sites.

Community Involvement
Subsection Objective: To ensure the organization’s programs respond to and address community needs by reviewing how they involve
community members in planning and decision-making.
Resources: Community participation and/ or mobilization plan; if not documented, discuss approach with appropriate staff
Community Involvement ●
1 2 3 4
 No formal community  A basic community mobilization  A community mobilization plan  A community mobilization plan
mobilization plan. plan but it is not based on a that is based on a review of that is based on a review of
 Oriented communities and review of strengths and strengths and weaknesses, the strengths and weaknesses, the
leaders on its programs, but weaknesses, the external external environment, and client external environment, and client
does not actively include environment, and/or client needs. needs including people with
them. needs.  Oriented communities and disabilities.
 Oriented communities and leaders on its program and  Oriented communities and
leaders on its programs but inconsistently engages them in leaders on its program and
rarely engages them in in planning and decision-making. actively engages them in planning
planning and decision-making. and decision-making.

Culture, Gender, and Disability
Subsection Objective: To evaluate the organization’s systems for assessing culture and gender issues among the populations it serves
and for integrating cultural and gender concerns into its programs.
Resources: Community or client assessments, program plans
Culture, Gender, and Disability ●

1 2 3 4
 Does not consider local  Does not consider local  Considers local culture or  Considers local culture, gender, and
cultural, gender or culture, gender and gender and disability disability issues in its programming.
disability issues in disability issues in its concerns in its  Has tools for assessing the cultural,
programming. programming. programming. gender, and disability issues relevant
 Does not have tools for  Does not have tools for  Has tools for assessing to programs.
assessing local cultural, assessing local cultural, local cultural, gender and  Has guidelines for culturally relevant
gender or disability gender or disability issues disability issues relevant to and gender and disability sensitive
issues. relevant to programs. programs. approaches and programming.
 Does not address the role of  Does not address the role of  Has guidelines for culturally  Trains staff on the tools, interpreting
local culture, gender or local culture, gender and relevant and gender and findings, and incorporating elements of
disability in program design disability in program design disability sensitive local culture, gender and disability in
with staff. with staff. approaches and program design.
programming.  Views successfully addressing
 Does not train staff on how cultural, gender, and disability issues
to use the tools or findings. as integral to program success.

Project Performance Management
Objective: To assess the organization’s systems for overseeing field activities, for setting standards and monitoring actual
performance against them and for setting indicators and monitoring progress toward achieving outcomes.
Standards
Subsection Objective: To assess the organization’s application of recognized standards in service delivery.
Resources: Standards/guidelines used, monitoring reports
Standards ●
1 2 3 4
 No standards for service  Minimal standards for service  Good standards for service  Solid standards for service delivery
delivery. delivery which do not include delivery. to all clients including people with
accessible services to people with  Made staff aware of the standards disabilities.
disabilities. and appropriately trained staff to  Made staff aware of the standards
 Not made staff aware of the apply and monitor the standards. and has trained staff to apply them.
standards.  A process for monitoring  A process for monitoring adherence
 Not applied the standards standards, but it is not consistently to standards that is consistently
appropriately. adhered to. adhered to.
 A process for improving adherence
to standards.
Project Performance Management July 2014

Quality Assurance
Subsection Objective: To assess the organization’s ability to identify and address root causes of gaps in meeting performance standards.
Resources: Quality monitoring tools (could be part of M&E tools)
Quality Assurance ●
1 2 3 4
 Unclear performance  Performance expectations, but  Performance expectations and  Performance expectations and a
expectations. no process to assess a process that assesses process that assesses performance
 No process for monitoring the performance against performance against standards. against standards.
quality of services it provides, standards.  Taken into consideration the  Taken into consideration the satisfaction
either through program  Not taken into consideration satisfaction of all clients. of all clients including people with
evaluations, quality monitoring or the satisfaction of all clients.  Included an analysis of disabilities.
supervision. gaps or weaknesses, but  Analyzed gaps or weaknesses to
does not address root identify root causes.
causes.  Identified an improvement plan to
 Not developed an improvement address root causes of gaps or
plan. weaknesses.
 Studied and incorporated the results
into the program.

Monitoring and Evaluation (M&E)

Subsection Objective: To assess how the organization collects and uses data to plan, monitor and evaluate its programs.
Resources: M&E plan, M&E tools, M&E reports
Monitoring and Evaluation

1 2 3 4
 No M&E plan.  A basic M&E plan.  A well-defined M&E plan.  A well-defined M&E plan.
 No process for monitoring  Identified outcome indicators.  Identified process and outcome  Identified process and outcome
program implementation.  Developed data collection tools indicators. indicators.
 Not identified indicators to monitor  Trained staff in M&E.  Trained staff to collect data, and  A process for using data for follow-up
program implementation.  No system for regularly data collection is consistently monitoring, program adjustments,
 No system for data processing: collecting, analyzing or done. planning and determining progress
tools, trained data collectors, data reporting data.  A process for consistently using towards achieving targets.
quality review or a plan for  No review of data quality. data/findings for follow-up  A process for data quality review.
analyzing and using information.  No process for reporting monitoring, support or planning  A strategy for reporting on progress
progress against targets. and reporting against targets. against targets and involving staff and
 No process for sharing results data collectors in reviewing and using
with field and stakeholders. findings.
 A strategy for regularly sharing
information with stakeholders,
including the community.

Field Oversight Activities
Subsection Objective: To assess the organization’s systems for overseeing field activities.
Resources: Field oversight policies and procedures, trip reports, management meeting minutes
Field Oversight
1 2 3 4
 Has no formal procedures  Has some documented field  Has most or all documented  Has comprehensive and documented
and processes for overseeing oversight policies, but they are field oversight policies and field oversight policies and procedures.
field administrative and incomplete. procedures.  Approves workplans and provides
programmatic operations.  Reviews annual workplans  Approves annual workplans feedback.
and progress reports, but on a regular basis.  Monitors compliance with program and
irregularly.  Monitors compliance with donor requirements.
 Monitors compliance with program and donor  Reviews and approves field-level HR and
program and donor requirements. finance manuals.
requirements.  Reviews and approves field-  Reviews quarterly program M&E data
level HR and finance manuals. and progress reports and provides
 Reviews quarterly program feedback.
M&E data and progress reports.  Provides technical and administrative
 Provides technical and guidance.
administrative guidance.  Makes at least semi-annual supervisory
 Makes irregular supervision visits. visits, and results are discussed with
management, technical and financial
staff.

Supervision
Subsection Objective: To assess the organization’s systems for supportive review of and feedback on staff performance and program
activities.
Resources: Supervision plan or guidelines, supervisors’ reports
Supervision ●
1 2 3 4
 Not developed a supervision plan  A supervision plan but no approach.  A clear supervision plan  A detailed supervision plan
or approach.  Detailed supervisory with a supportive approach. with a supportive approach.
 Not clarified responsibilities, but they are not  Detailed supervisory  Detailed supervisory responsibilities
supervisory followed. responsibilities that are followed. that are followed.
responsibilities.  Not trained supervisors or  Trained supervisors and  Trained supervisors and provided
 Not trained supervisors or provided tools. provided them with tools. them with tools.
provided tools.  An unclear process for supervision.  A process for supervision with  A process for supervision with a
 No process for carrying  No process for documenting logistical and program barriers. mechanism for carrying out
out supervision. and discussing findings with  A process for documenting or visits according to the timeline.
staff and management. discussing findings with staff  A process for documenting
and management, but does not and discussing findings with
follow-up. staff and management.
 A process for following up
and addressing issues.

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Organizational Capacity Assessment Tool:

© 2014 John Snow, Inc.

John Snow, Inc.

Governance July 2014

Resources: Organizational diagram, organogram or narrative

Governance July 2014

Board Composition and Responsibilities

Board Composition and Responsibility ●

Governance July 2014

Governance July 2014

Resources: Job descriptions of senior management, succession plan, organizational chart

Governance July 2014

Operational Policies, Procedures and Systems

Subsection Objective: To assess the availability of and adherence to operational policies.

Operational Policies, Procedures and Systems ●

Administration July 2014

Travel Policies and Procedures

Resources: Travel manual, staff questionnaires, related payment vouchers

Travel Policies and Procedures

Administration July 2014

Administration July 2014

Fixed Asset Control

Fixed Asset Control

Administration July 2014

Resources: Information system policies and procedures, staff interviews

Administration July 2014

Human Resources Management

Human Resources Management July 2014

Human Resources Management July 2014

Staffing Levels and Retention

Human Resources Management July 2014

Management and Staff Diversity

Resources: Hiring and retention records, employee files, census data

Management and Staff Diversity ●

Human Resources Management July 2014

Human Resources Management July 2014

Staff Time Management

Staff Time Management

Human Resources Management July 2014

Staff Salaries and Benefits

Staff Salaries and Benefits

Human Resources Management July 2014

Staff Performance Management

Resources: Samples of completed performance appraisals or a blank form

Staff Performance Management ●

Human Resources Management July 2014

Staff Skills Development

Staff Skills Development ●

Human Resources Management July 2014

Volunteers and Interns

Resources: Volunteer/intern policy, samples of completed performance appraisals

Human Resources Management July 2014

Financial Management July 2014

Financial Management July 2014

Financial Management July 2014

Financial Management July 2014

Financial Management July 2014

Financial Management July 2014

Financial Policies and Procedures

Financial Policies and Procedures

Financial Management July 2014

Financial Management July 2014

Resources: Strategic plan