2015 08 MSH Ocat Tool

BLC Organizational Development Capacity Assessment Tool
Building Local Capacity for the Delivery of

HIV Services in Southern Africa Project
(BLC)
Cover Sheet Page 1

Description of Scale Scores

Number Stage Description
1 Embryonic The tree is a vulnerable seed trying to penetrate the soil.

The seed has penetrated the soil to benefit from sunlight
but is still vulnerable, with the roots not yet deep
2 Emerging enough.
The tree is becoming stronger and developing deeper
3 Growing roots.
The roots are now strong and deep, with fruit production
4 Well-developed beginning and the tree able to withstand most threats.
The tree continually bears large quantities of fruit and
has become a viable and permanent part of the
5 Mature landscape.
Acronyms Definitions
AGM Annual General Meeting
AIDS Acquired Immune Deficiency Syndrome
BLC Building Local Capacity
CEO Chief Executive Officer
CSO Civil Society Organization
CV Curriculum Vitae
GAAP Generally Accepted Accounting Procedures
HIV Human Immunodeficiency Virus
HR Human Resources
IT Information Technology
KM Knowledge Management
KPI Key Performance Indicator
M&E Monitoring and Evaluation
MSH Management Sciences for Health
OD Organizational Development
PAYE Pay As You Earn
PMP Performance Monitoring Plan
USAID United States Agency International Development
VAT Value Added Tax
Definition of Key Terms Source
MSH, 2012, Challenges Encountered in Capacity

Any action that improves the effectiveness of Building: Review of Literature and Selected Tools,
Capacity individuals, organizations, networks, or systems – Position Paper No 10, April 2010, accessed at:
building including organizational and financial stability, http://www.msh.org/resource-center/publications/challe
program service delivery, program quality, and nges-encountered-in-capacity-building.cfm [29 May
growth. 2012].
A comprehensive system for M&E, usually

M&E developed during the design phase of a
framework project/program, which usually includes a log Adapted from International Fund for Agriculture
frame/logic model/results chain, indicators, data Development (IFAD), 2001, Managing for Impact in
collection instruments, a data management Rural Development: A Guide for Project M&E, IFAD,
system and reporting templates. Rome.
Performance A plan which outlines the M&E requirements for

Monitoring Plan a program/project (i.e. indicators, data sources, Adapted from International Fund for Agriculture
(PMP) / M&E data collection instruments, data analysis Development (IFAD), 2001, Managing for Impact in
plan methods, reflection/learning events) with roles, Rural Development: A Guide for Project M&E, IFAD,
responsibilities, timeframes and a budget. Rome.
Organizational An emerging discipline aimed at improving the Business Library, What is Organization Development? –
development effectiveness of organizations and their members, Brief Article, accessed at:
(OD) by means of systematically planned interventions http://findarticles.com/p/articles/mi_m4467/is_8_54/ai_
and a planned process of developing an 64705692/ [13 June 2012]; DCT, Organizational
organization to become more effective in Development Portfolio, accessed at:
accomplishing desired goals. http://www.dct.co.za/portfolio-1.htm [13 June 2012]
Accronyms & Definitions Page 2

Basic Information on Organization, Setting the Context and Assessment
Name of organization
Who constitutes your community?
Who are your stakeholders?
Date of OD capacity assessment
Type of assessment (check one)

Baseline
Assessment #2
Assessment #3
Assessment #4
Participants
Number Name Position Sex
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Evaluators
Number Name Position Sex
1
2
3
4
5
Basic Org Info Page 3

Name of Organization 0
Date of Assessment 30-Dec-99
OD Capacity Assessment
Average Indicator Score
Comments
Percentage: Stage: Percentage: Stage:

Components Sub-components Participants Evaluators Participants Evaluators Action Items
Participants Participants Evaluators Evaluators
1.1 Organization
goal vision and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
mission
1.2 Strategic plan #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
1.3 Strategic plan

aligned to National
HIV and AIDS
Strategy and/or #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
regional and
1. Leadership international
& Governance strategies
1.4 Board
#DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
composition
1.5 Board
functioning and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
governance
Leadership,
Governance &
#DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0!
Sustainability
TOTAL
2.1 Organogram
(organizational #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
chart)
2.2 Organizational
policies and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
procedures
2.3 Consultation
and decision- #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
2. Structures & making
Systems 2.4 Internal
communication
2.5 Accountability
and transparency
2.6 Office and
equipment
2. Systems &
Structure TOTAL
3a.1 Recruitment,
staff diversity and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
expertise
3a.2 Roles,
responsibilities and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
job descriptions
3a.3 Personnel files #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
3a.4 Time sheets #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
3. Human 3a.5 Volunteer/

Resources Intern management
3a.6 Discipline,
grievance and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
conflict resolution
3b.7 Staff
performance #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
evaluation
3b.8 Staff
development
3 Human
Resources TOTAL
Summary Results Page 4

4.1 Financial
accounts/ #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
accounting system
4.2 Bank account #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
4.3 Bank and cash

management
4.4 Bank
reconciliation
4.5 Financial record
keeping
4.6 Budgets and
cash flow planning
4.7 Cost
4. Financial effectiveness
Management 4.8 Finance staff
levels and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
competency
4.9 Financial
reporting
4.10 Annual
financial statements
4.11 Financial
compliance to #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
statutory regulations
4.12 Financial
Policies
4. Financial
Management #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0!
TOTAL
5.1 Grants
Management #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
System
5.2 Grant
Management Staff
5. Grant 5.3 Grants
Management Monitoring and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
Reporting
5. Grant
TOTAL
6.1 HIV and AIDS
information,
knowledge and
skills
6.2 Program design
and modification
6.3 Program
implementation #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
review
6. Program
Management 6.4 Service delivery #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
6.5 Program
sustainability
6.6 Resource
mobilization and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
sustainability
Program
TOTAL

7.1 Annual work

plan
7.2 M&E plans and
framework
7.3 M&E tools and
data collection #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
system
7. Planning, 7.4 M&E data

M&E analysis,
dissemination and
use
7.5 Evaluation
contributes to
organizational
learning
Planning, M&E
TOTAL
8.1 Partnerships,
networking and #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
collaboration
8.2 Community
presence and
involvement
8. 8.3 External
Partnerships, communication #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
External strategy
Relations and
Networking 8.4 Communication #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
materials
8.5 Advocacy and
policy engagement
Partnerships,
External Relations
& Networking
TOTAL
9.1 Knowledge
exchange
9.2 Knowledge
9. Knowledge #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0
management (KM)
Management
9. Knowledge
TOTAL
Overall Score #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0!
Participants Evaluators Staging Category
Number and Percent of 52 Components at each Stage of % of 52 % of 52

Stage count components at this Stage count components at
Development by Participants and Evaluators
stage this stage Stage 1 < 21
Number of Components at Stage 1 0 0% 0 0% Stage 2 21 - 40
Number of Components at Stage 4 0 0% 0 0% Stage 5 > 80
Number of Components at Stage 5 0 0% 0 0%
Total 0 0% 0 0%

Overall Percentage Score by Component: ../Organization Name

Score
Participants Evaluators
Leadership & Governance

Scores
1.1 Organization 1.2 Strategic plan 1.3 Strategic plan 1.4 Board composi- 1.5 Board function- Leadership, Gov-
goal vision and aligned to National tion ing and governance ernance & Sustain-
mission HIV and AIDS ability TOTAL
Strategy and/or re-
gional and interna-
tional strategies
Structures and Systems

Scores
2.1 Organogram 2.2 Organiza- 2.3 Consultation 2.4 Internal 2.5 Accountabil- 2.6 Office and 2. Systems &
(organizational tional policies and decision- communication ity and trans- equipment Structure
chart) and procedures making Participants parency
Evaluators TOTAL
Human Resources
Scores
3a.1 Recruit- 3a.2 Roles, 3a.3 Personnel 3a.4 Time 3a.5 Volunteer/ 3a.6 Discipline, 3b.7 Staff per- 3b.8 Staff 3 Human
ment, staff di- responsibili- files sheets Intern man- grievance and formance development Resources
versity and ties and job agement conflict resolu- evaluation TOTAL
expertise descriptions Participants tion
Evaluators

Financial Management
Scores
4.1 Financial 4.2 Bank 4.3 Bank and 4.4 Bank 4.5 Financial 4.6 Budgets 4.7 Cost ef- 4.8 Finance 4.9 Financial 4.10 Annual 4.11 Finan- 4.12 Finan- 4. Financial
accounts/ ac- account cash man- reconciliation record keep- and cash fectiveness staff levels reporting financial cial compli- cial Policies Management
counting sys- agement ing flow plan- and compe- statements ance to statu- TOTAL
tem Participants ning
Evaluators tency tory regula-
tions
Grant Management
Scores
5.1 Sub-Grants Management 5.2 Grant Management Staff 5.3 Grants Monitoring and
System Reporting
Program Management
Scores
6.1 HIV and 6.2 Program de- 6.3 Program 6.4 Service de- 6.5 Program sus- 6.6 Resource mo- Program Man-
AIDS informa- sign and modi- implementation livery tainability bilization and sus- agement TOTAL
tion, knowledge fication review tainability
and skills
Scores
Planning, M&E
7.1 Annual work 7.2 M&E plans and 7.3 M&E tools and 7.4 M&E data anal- 7.5 Evaluation con- Planning, M&E
plan framework data collection sys- ysis, dissemination tributes to organiza- TOTAL
tem and use tional learning
Partnership, External Relations and Networking

Scores
8.1 Partnerships, net- 8.2 Community 8.3 External commu- 8.4 Communication ma- 8.5 Advocacy and pol- Partnerships, External
working and collabora- presence and nication strategy terials icy engagement Relations & Networking
tion involvement Participants Evaluators TOTAL
Knowledge Management
Scores
9.1 Knowledge exchange 9.2 Knowledge management 9. Knowledge Management

(KM) TOTAL

Unweighted Score Weighted Score

Component Weights (%)
Participants Evaluators Participants Evaluators
Leadership &
#DIV/0! #DIV/0! 20 #DIV/0! #DIV/0!
Governance
Structures & Systems #DIV/0! #DIV/0! 15 #DIV/0! #DIV/0!
Human Resources #DIV/0! #DIV/0! 10 #DIV/0! #DIV/0! Comparison of unweighted and weighted score
Financial
#DIV/0! #DIV/0! 15 #DIV/0! #DIV/0! for both Participants and Evaluators
Management
Scores
Grant Management #DIV/0! #DIV/0! 5 #DIV/0! #DIV/0!
Program Management #DIV/0! #DIV/0! 15 #DIV/0! #DIV/0!

Planning, M&E #DIV/0! #DIV/0! 10 #DIV/0! #DIV/0!
Partnership, External
Relations and #DIV/0! #DIV/0! 5 #DIV/0! #DIV/0!
Networking
Knowledge 1 2
#DIV/0! #DIV/0! 5 #DIV/0! #DIV/0! Unweighted Weighted
Mangement
Overall Score #DIV/0! #DIV/0! 100 #DIV/0! #DIV/0!

OD Capacity Assessment - Individual Scoring Sheet

Name of organization
Participant's Name: Participant's Number:
Position: Participant's Sex:
Components Sub-components Score Participants comments
1.1 Organization goal vision and mission
1.2 Strategic plan
1. Leadership & Governance 1.3 Strategic plan aligned to National HIV and AIDS
Strategy and/or regional and international strategies
1.4 Board composition
1.5 Board functioning and governance
2.1 Organogram (organizational chart)
2.2 Organizational policies and procedures
2.3 Consultation and decision-making

2. Structures & Systems
2.4 Internal communication
2.5 Accountability and transparency
2.6 Office and equipment
3a.1 Recruitment, staff diversity and expertise
3a.2 Roles, responsibilities and job descriptions
3a.3 Personnel files

3. Human Resources
3a.4 Time sheets
3a Human Resource
Management
3b Human Resource 3a.5 Volunteer/ Intern management
Development
3a.6 Discipline, grievance and conflict resolution
3b.7 Staff performance evaluation
3b.8 Staff development
4.1 Financial accounts/ accounting system
4.2 Bank account
4.3 Bank and cash management
4.4 Bank reconciliation
4.5 Financial record keeping
4.6 Budgets and cash flow planning

4. Financial Management
4.7 Cost effectiveness
4.8 Finance staff levels and competency
4.9 Financial reporting
4.10 Annual financial statements
4.11 Financial compliance to statutory regulations
4.12 Financial Policies
5.1 Sub-Grants Management System
5. Sub-Grants Management 5.2 Grant Management Staff
5.3 Grants Monitoring and Reporting
6.1 HIV and AIDS information, knowledge and

skills
6.2 Program design and modification
6.3 Program implementation review

6. Program Management
6.4 Service delivery
6.5 Program sustainability
6.6 Resource mobilization and sustainability
7.1 Annual work plan
7.2 M&E plans and framework
7. Planning, M&E 7.3 M&E tools and data collection system
7.4 M&E data analysis, dissemination and use
7.5 Evaluation contributes to organizational learning
8.1 Partnerships, networking and collaboration
8.2 Community
presence and
8. Partnerships, External involvement
8.3 External communication strategy
Relations and Networking
8.4 Communication materials
8.5 Advocacy and policy engagement
9.1 Knowledge exchange

9. Knowledge Management
9.2 Knowledge management (KM)
Individual Scoring Sheet Page 10

Component 1. Leadership & Governance

DESCRIPTIONS OF SCALE SCORES
SUB-COMPONENT DESCRIPTIONS
Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

1.1 Organization Organization has a clear written vision There is no vision or mission There is an informal idea of the There is a written vision and mission There is a clear written vision and mission There is a clear written vision and mission statement.
goal vision and and mission statements which are statement. vision and mission of the statement, but it is vague and is not statement. Vision and mission statement is widely known by staff at all levels,
mission widely known, guide the work of the organization, but nothing formally specific about the organization's Vision and mission statement is widely known by who refer to it regularly and are able to explain it.
organization and are reviewed annually. agreed upon. purpose. staff at various levels, who refer to it regularly. Vision and mission statement is reviewed annually and updated as
OR an outdated vision and mission Vision and mission statement is not However, it is not reviewed annually. required.
statement which was written long ago widely known by staff at various organization consults vision and mission statement regularly and
and is not relevant to their current work. levels. makes reference to it in their work.
1.2 Strategic plan Organization has a clearly written There is no plan for strategic There is an informal idea of the There is a written strategic plan, but There is a strategic plan, which is in line with the There is an up-to-date strategic plan with explicit links to the vision
strategic plan in line with the vision and direction. strategic direction of the organization, it is vague and does not give specific organization's vision and mission statement. and mission which outlines the types of programs to be implemented.
mission statement which guides work organization works on whatever but nothing formally agreed upon. ideas about desired type of The plan was developed in a participatory manner, The plan was developed in a participatory manner, in consultation
and is reviewed annually. activities present themselves or OR a strategic plan was written long programming. in consultation with board members and staff at with board members and staff at various levels and reflects
for which there is donor funding. ago. Strategic plan is not widely known various levels and is generally well known. beneficiaries needs.
OR there is only a strategic plan by staff at various levels. The strategic plan guides many programs and The strategic plan guides programming and actions and
because of donor insistence but it actions but some actions are done outside of this implementation is monitored.
has not been followed and is not framework. The strategic plan is reviewed at least annually.
relevant to their current work.
1.3 Strategic plan Organization's strategic plan responds The strategic plan does not The strategic plan makes reference to The strategic plan makes reference The strategic plan makes reference to the current The strategic plan is aligned with the current National HIV and
aligned to National to specific elements in the National HIV make any reference to nor an outdated National HIV and AIDS to the current National HIV and AIDS National HIV and AIDS strategy, with clear AIDS strategy. The specific elements it responds to are clearly
HIV and AIDS and AIDS Strategy.* respond to the National HIV and strategy. strategy, but the specific response is responses to specific elements. However, there are stated. There are no deviations from it.
Strategy and/or AIDS strategy. not clear. some deviations.
regional and
international
strategies
1.4 Board Organization has a diverse Board Organization does not have a Organization has a board who mainly Organization has a board selected Organization has a board selected from experts in Organization has a board selected from experts in the community
composition comprising individuals with relevant Board. are friends, relatives and associates from experts in the community and the community and beyond. They represent most of and beyond. They represent the wide range of knowledge and
knowledge and expertize. and do not have the requisite beyond. They represent some of the the range of knowledge and expertize (e.g. finance, expertize (e.g. finance, tax, legal, M&E, beneficiary program delivery,
knowledge and expertize (e.g. finance, range of knowledge and expertize tax, legal, M&E, beneficiary program delivery, fund fund raising, etc) required to lead the organization.
tax, legal, M&E, beneficiary program (e.g. finance, tax, legal, M&E, raising, etc) required to lead the organization. Women, children and communities reached are well-represented at
delivery, fund raising, etc) to lead the beneficiary program delivery, fund Some efforts have been made to ensure that board level.
Organization. raising, etc) required to lead the women and vulnerable groups are represented at
organization. board level.
1.5 Board Organization has a fully functional Organization board does not Organization has a board that meets Organization has a board that meets Organization has a board that meets quarterly. Organization has a board that meets quarterly. Board meetings are
functioning and Board that meets quarterly (either face- meet. occasionally. Board meetings are at least annually. Board meetings are Board meetings are purposeful, well attended and purposeful, well attended and firm decisions are always taken at
governance to-face or virtually), provides direction poorly attended and lack purpose. reasonably well attended and firm decisions are usually taken at board meetings. board meetings.
and support and is accountable for the The board does not have terms of decisions are usually taken at Board The board has clear terms of reference which they The board has clear terms of reference which they adhere to and
organization's work.* reference. meetings. adhere to. members have a set time to serve on the board.
The board has terms of reference The board reviews the organization's The board reviews the organization's implementation and
however these lack clarity. implementation performance, reviews and performance, reviews financial and activity reports quarterly,
The board provides some direction approves the annual budget and work plan and approves the annual budget and work plan, and assesses the
and support to the Organization. provides direction and support to the organization. performance of the CEO and also its own function as a board.
The board provides substantial direction and support to the
organization.
* If 1.2 is stage 1 or 2 skip to next question
* If 1.4 and is stage 1 skip to next question
1. Leadership & Governance Page 11

Component: 2. Structures & Systems


2.1 Organogram Organogram which defines There is no organogram. There is an informal idea of an There is a written organogram, but There is an organogram with clearly defined There is an organogram with clearly defined units,
(organizational reporting lines exists. It is in line organogram, but nothing formally agreed reporting lines and supervisory relationships reporting lines and supervisory relationships. reporting lines and supervisory relationships.
chart) with the strategic plan, is upon. are not entirely clear. The organogram is not widely known by all The organogram is widely known by all staff at all
reviewed and updated regularly Lines of reporting, authority and Authority and accountability is centered on staff at various levels. levels.
and is used consistently . accountability are centered on the a few individuals. The organogram is in line with the strategic The organogram reflects the current strategic plan.
Director/Chief Executive Officer (CEO) The organogram is not widely known by plan. The organogram is reviewed and updated regularly
staff at various levels. The organogram is not reviewed and updated and used consistently.
regularly nor consistently used.
2.2 Organizational Clear organizational policies and Organization does not have any Organization has informal policies and Organization has some basic policies and Organization has organizational policies and Organization has organizational policies and
policies and procedures exist for all relevant organizational policies and procedures. procedures which have not been procedures manuals which cover some procedures manuals which cover most procedures manuals which cover all relevant
procedures operational areas [programs, documented. Organization talks about the relevant operational areas (programs, relevant operational areas (program, finance, operational areas (program, finance, procurement,
finance, procurement, human importance of documenting its policies and finance, procurement, human resources procurement, human resources and IT). human resources and IT).
resources and information procedures and it is committed to doing so and IT). Most staff have been trained on the policies All staff have been trained on the policies and
technology (IT)]. Staff have been in the future. Staff have not been trained on and procedures and they are usually procedures and they are always adhered to.
trained on and adhere to them. organizational policies and procedures and adhered to with some minor deviations. The policies and procedures are reviewed and
Organizational policies and there are often deviations in practice. Some organizational policies and procedures updated annually.
procedures are reviewed Organizational policies and procedures are were reviewed within the last two years.
regularly. somewhat outdated.
2.3 Consultation Clear, structured process in place Only the top leader(s) make all important There is an informal process of There is a formal process of consultation There is a formal process of consultation There is a formal process of consultation and/or a
and decision- for consultation and decision- decisions on their own and without consultation by top leadership for and/or documented structure for and/or a formal structure for delegation of formal structure for delegation of important decisions
making making which is understood and consulting others. important decisions with a few trusted delegation of important decisions, that important decisions that includes all staff. that involves staff and beneficiaries.
adhered to. Staff and The leaders are not open to new ideas. colleagues, and/or some delegation of includes some staff. This process is clear and is followed most The process is clear, widely known about and
program/project beneficiaries are important decision making. However, this process is not entirely clear of the time. corrective action is taken if it is not followed.
consulted over issues which However, this process is not systematic and and is only followed some of the time. Staff are consulted over most issues which Staff are consulted over issues which affect them and
affect them. occurs at the whim of the top leaders. Staff are consulted over some decisions affect them and some effort is made to effort is made to ensure that beneficiaries, including
which affect them. consult beneficiaries. women, children and vulnerable groups are included
in decision making.
2.4 Internal Organization has well-developed Organization has no communication Organization has an informal internal Organization has a basic internal Organization has a functional internal Organization has a good internal communication
communication system for communication system. communication system. communication system. communication system. system.
between individuals, units and Individuals, units and programs work There is minimal or dysfunctional Interactions between individuals, units and Individuals, units and programs function Individuals, units and programs function seamlessly
programs and uses a range of independently. Internal communication communication and coordination between programs hinges on personal relationships. effectively together and share information and communication is determined by organizational
appropriate internal tools do not exist OR exist but are not individuals, units and programs. Staff meetings are planned, but are and resources. need rather than personal relations or politics.
communication tools (face to face used. There may be occasional and unplanned frequently postponed or cancelled. Other There are regular staff meetings with There is a schedule for regular staff meetings,
meetings; emails, newsletter, staff meetings. internal communication tools may exist but written agendas and minutes. agendas and minutes are circulated and action items
shared folders, intranet, etc). are rarely used. Other internal communication tools exist and are followed-up on.
are used. A range of other internal communication tools exist
and are regularly used.
2.5 Accountability Organization has a systematic, There is no mechanism for communicating There is an informal process for informing There is a formal process for informing There is a formal process for informing staff, There is a formal process for informing staff, donors,
and transparency transparent process (e.g.. important decisions or results. There are no staff about important decisions and results. staff and donors about important decisions donors and beneficiaries about important beneficiaries and other stakeholders about important
community forums, stakeholder plans to change this situation. Occasionally, important decisions and and results, but it is not routinely followed. decisions and results and this process is decisions and results and this process is always
meetings Annual General results are discussed and some staff feel Leaders sometimes report on decisions usually followed. followed. Corrective action is taken if the process is
Meetings (AGMs),etc) for informed about them. and results through appropriate and open Leaders report on decisions and results not followed.
disseminating decisions and forums (community forums, stakeholder regularly through appropriate open forums Leaders report on decisions and results regularly
results clearly, so that staff, meetings, AGMs etc). (community forums, stakeholder meetings, through appropriate open forums (community forums,
beneficiaries and other Beneficiaries are not informed about AGMs etc). stakeholder meetings, AGMs etc) and effort is made
stakeholders can understand important decisions and results. to ensure the communication is suitable for the
them. audience.
There is a high level of upward, downward, sideways,
internal and external accountability.
2. Structures & Systems Page 12

2.6 Office and Organization has sufficient office, There is no office or equipment There is no office space. There is office space and equipment There is adequate office space, equipment The organization has sufficient office and equipment
equipment meeting and storage space and Equipment is borrowed from others or which fulfills some needs but leaves major and storage, but with some gaps. and an adequate plan for maintenance and
equipment to handle its business improvised. gaps. There are not enough resources to seriously replacement.
and maintains an up-to-date There is no inventory system. There is a basic inventory system in place. consider replacement, improvement or Inventory system exists, is updated regularly and
inventory. maintenance. has been audited.
Inventory system exists but has not been
updated in the past year.
2. Structures & Systems Page 13

3. Human Resources
3a Human Resource Management
Component: 3b Human Resource Development
SUB-COMPONENT
DESCRIPTIONS
3a.1 Recruitment, Organization has transparent, Organization does not have recruitment Organization has informal recruitment Organization has formal documented Organization has formal documented recruitment Organization has formal documented recruitment
staff diversity and competitive recruitment procedures. Organization is inadequately procedures which have not been recruitment procedures, but these are not procedures which are transparent and are usually procedures which are transparent, competitive and
expertise procedures and efforts are made staffed; the majority of positions are vacant. documented. entirely clear and are not always followed. followed, but with some deviations. are always followed.
to ensure that women and Organization is understaffed; many Organization has staff that represent some There are some efforts to ensure that women and Efforts have been made to ensure that women and
vulnerable groups have equal positions are vacant OR inadequately of the wide range of knowledge and vulnerable groups have equal recruitment opportunities. vulnerable groups have equal recruitment
recruitment opportunities. There filled (i.e. by volunteers or staff without the expertise (e.g. finance, admin, M&E, organization has staff that represent most of the wide range opportunities and are represented at all levels
are adequate, capable staff to knowledge and expertise required to implementation, fund raising, etc) required of knowledge and expertise (e.g. finance, admin, M&E, within the organization.
implement the organizations implement the strategy). to implement the strategy. implementation, fund raising, etc) required to implement the Organization has staff that represent the full range
strategy. Staff are mainly friends, relatives and strategy. of knowledge and expertise (e.g. finance, admin,
associates. M&E, implementation, fund raising, etc) required to
implement the strategy.
3a.2 Roles, Organization clearly organizes Staff in organization have no defined roles Organization has staff with different roles, There are formal written roles and There are formal written job descriptions which include roles There are formal written job descriptions which
responsibilities staff with different areas of and simply do whatever is needed. some of whom lead/manage the responsibilities for some staff. and responsibilities for all staff which are reviewed and include roles and responsibilities for all staff which
and job responsibility and staff have job organization, but roles have not been Roles and responsibilities are used to updated from time-to-time. are reviewed and updated annually.
descriptions descriptions. formally defined. decide how to allocate tasks. However, Roles and responsibilities are used to decide how to Roles and responsibilities are used to decide how to
there is sometimes deviation from these allocate tasks. allocate tasks.
norms (e.g., if a powerful person would like Job descriptions are not always consistently followed. Staff are aware of their and other's roles and
to take authority over an area that does not responsibilities and job descriptions and these are
"belong" to them, then this often occurs). consistently followed.
3a.3 Personnel Organization maintains and Organization has no personnel files and/or Organization keeps personnel documents Organization has a basic personnel filing Organization has a personnel filing system, and a file for Organization has a personnel filing system which is
files regularly updates personnel files filing system but these are not systematically filed. system. Personnel files are not complete each staff member which is kept securely (i.e. in a safe consistent with organizational policies and
that are kept securely. Organization talks about the importance of and are not kept securely (i.e. in a safe lockable filing cabinet or on a secure server). procedures. Files for each staff member are kept
keeping personnel files, and is committed lockable filing cabinet or on a secure Files contain signed employment contracts and some of securely (i.e. in a safe lockable filing cabinet or on a
to developing them in the future. server). the following documents - copies of academic certificates, secure server) and managed by a designated staff
Curriculum Vitaes (CV's), references, background checks, member.
records of performance appraisals and staff development Files contain signed employment contracts, copies
plans. of academic certificates, CVs, references,
background checks, records of performance
appraisals and staff development plans and any
other documents required by law and are updated
regularly.
3a.4 Time sheets Organization maintains time Organization has no time sheets. Organization has an informal system for Organization has time sheets but they are Organization has time sheets which staff use consistently. Organization has time sheets which all staff use
sheets for staff members which accounting for time. not used consistently by all staff. Work and project activities are coded and linked to the consistently.
are reviewed on a monthly basis; Organization talks about the importance of timesheets. Work and project activities are coded and linked to
work and project activities are time sheets and is committed to developing The payroll is linked to the time sheets. the timesheets.
properly coded. and implementing them in future. Time sheets are analyzed and the payroll is
generated based on the timesheets.
The time sheet system has been externally audited
and approved.
3. Human Resources Page 14

3. Human Resources
3a Human Resource Management
Component: 3b Human Resource Development
SUB-COMPONENT
DESCRIPTIONS
3a.5 Volunteer/ Volunteers and interns are Volunteers and interns are not supervised Volunteers and interns are supervised and Volunteers and interns are supervised and Volunteers and interns are adequately supervised and Volunteers and interns are well supervised and
Intern adequately supervised and or managed at all. managed informally on an ad-hoc basis. managed by staff members but not managed; their performance is monitored and they are managed, they have defined roles and
management managed, their contributions are consistently. given feedback. responsibilities, their performance is monitored
valued and they have access to Volunteers sometimes benefit from Volunteers and interns contributions to the Organization are and they are given feedback.
skills development opportunities. informal and formal skills development valued. Volunteers and interns' contributions to the
opportunities. Volunteers and interns benefit from informal and formal organization are highly valued.
skills development opportunities and some volunteers and Volunteers and interns have access to a wide range
interns may progress to become staff within the of informal and formal skills development
organization or obtain employment elsewhere as a result of opportunities and often progress to become staff
skills gained through volunteering. within the organization or succeed in obtaining
employment elsewhere as a result of skills
gained through volunteering.
3a.6 Discipline, Organization has a formal system There is no system for managing There is an informal system for managing Formal procedures exist for managing Formal procedures exist for managing disciplinary Formal procedures exist for managing disciplinary
grievance and for discipline, grievance and disciplinary procedures, grievances and disciplinary procedures, grievances and disciplinary actions, grievances and conflict procedures, grievances and conflict resolution which are in procedures, grievances and conflict resolution which
conflict resolution conflict resolution which is widely conflict resolution. conflict resolution which has not been resolution. compliance with local laws. are in compliance with local laws.
known about and consistently documented or formalized. However, they are not entirely clear or However, they are not well known by staff at all levels and They are widely known about by staff at all levels
applied and is in compliance with widely known about and are often are sometimes inconsistently applied. and are consistently applied.
local laws. inconsistently applied. There are mechanisms for recourse if the formal
procedures are not followed.
3b.7 Staff Staff performance is regularly Staff have not been allocated areas of Staff are occasionally informally There is a formal staff performance There is a formal staff performance evaluation system There is a formal staff performance evaluation
performance evaluated against Key accountability with deliverables and there is evaluated against broad areas of evaluation system which is sometimes which is usually followed. system which is always followed.
evaluation Performance Indicators (KPIs) to no system for reviewing staff performance. accountability. followed. Staff are formally evaluated against KPIs and a written All staff are formally evaluated annually against KPIs
enhance performance and service Performance evaluations are conducted record placed in their staff file. and reference is made to the previous year's
delivery. against areas of accountability and Staff performance evaluations have been conducted within performance evaluation.
deliverables, but not consistently for all the last two years. Staff development plans are formulated based on
staff at all levels. performance evaluations and the performance
evaluation may be linked to salary
increments/bonuses.
3b.8 Staff Organization has a policy and No staff development policy or system There is an informal staff development There is a basic written staff development There is a formal written staff development policy and There is a formal written staff development policy
development system for encouraging staff exists. policy OR there is talk of putting a formal policy in place that is used by some but system in place that is used by many staff. and system that is implemented and used by all
development and staff staff development system in place. not all staff. Management are committed to and value staff staff.
development is valued. development. Staff development is discussed during performance
evaluations and is highly valued.
The organization provides adequate resources for
staff development.
3. Human Resources Page 15

Component: 4. Financial Management

4.1 Financial Organization keeps accurate No written accounts records are Account records exist, but are not properly filed Records are kept of money received and Records are kept of money received and spent. Accounts are accurately prepared according to GAAP and
accounts/ record of accounts, which can be kept. Cash flow remains and are not accurate or updated on a regular spent but it is difficult to know how much Accounts are systematically updated. are complete.
accounting system presented or substantiated on undocumented. basis. money is held at any one time as there is Balances and statements are prepared according to Accounts (in the form of balance sheets, income statements
demand. no systematic process for keeping records Generally Accepted Accounting Procedures and statements of cash flow) are reviewed by the
up to date. (GAAP), but there are some inaccuracies or there management team quarterly and presented to the board
Accounting system likely to be based on a is incomplete recordkeeping. annually for approval.
cash rather than an accrual basis. Accounts are reviewed by the management team
and board annually.
4.2 Bank account Organization has a bank account Organization has no bank account. An individual personal account is used for A bank account is registered in the A bank account is registered in the organization's A bank account is registered in the organization's name which
to hold its funds and safeguards It manages its funds in cash. organization funds. organization's name, which requires dual or name which requires dual or specific authorized requires dual or specific authorized check signatories or
are in place. specific authorized check signatories or online check signatories or online banking user online banking user authorizations. This practice is always
banking user authorizations. Signatories are authorizations, but there are sometimes deviations followed.
not aware of their authorization levels and from this practice. Signatories are aware of their authorization levels, and limits
no controls exist around authorization. Some other financial safeguards are also in place. are realistic given the needs of the organization.
No other financial safeguards are in place. Although multiple accounts may exist for different A range of other financial safeguards are also in place.
Multiple accounts may exist for different donors/project funds, the organization has Organization has strong internal controls related to funds
donors/project funds. improved its internal controls related to funds management and ably manages restricted funds through its
management. main bank account(s). Dedicated bank accounts are only
opened up and maintained for donors who require one for
projects/programs they fund.
4.3 Bank and cash Organization handles petty cash Organization has no system for Organization has an informal petty cash Petty cash, unused and presented checks Petty cash, unused and presented checks submitted Petty cash, unused and presented checks submitted by the
management and unused and presented checks managing or documenting for the management system, but petty cash, unused submitted by the bank are kept in a cash book by the bank are kept in a locked safe, with keys bank are kept in a locked safe. Keys or the combination are
safely and accountably. use of petty cash. and presented checks submitted by the bank are in a locked safe, with keys available to all available only to designated staff. available only to designated staff and the safe requires that
not kept securely. accounting staff. There is a limit to the amount of petty cash kept in no one person can fully open it.
There are no set limits for petty cash kept on There is no limit on the amount of petty cash the office or limits on petty cash purchases, but There is a limit to the amount of petty cash kept in office and
the premises. kept or a limit on cash purchases. there are occasional deviations. on cash purchases. This system is consistently used
No proper record is kept of petty cash use (i.e. Comprehensive petty cash records are not Records are kept in the form of a petty cash according to the organization's policies and procedures.
no register or vouchers are kept). kept. register and vouchers, however there is a lack of The petty cash checks are done periodically and petty cash
control OR poor record keeping. is audited.
There are no petty cash checks/audits.
4.4 Bank Organization undertakes regular, Organization has no records of Organization only has a manual record of A manual or computerized record of all A manual or computerized record of all payments A manual or computerized record of all payments (cashbook)
reconciliation accurate bank reconciliations. payments and bank reconciliations payments (cashbook) which is used to keep a payments (cashbook) is kept and compared (cashbook) is kept and compared with all bank is kept and reconciled with all bank statements on a monthly
are not done. rough indication of funds spent but is not with all bank statements. This record is not statements. basis.
reconciled with bank statements. well kept OR is not up to date. This record is up to date, but a complete bank This record has been confirmed as complete and accurate
reconciliation has not been done, with bank by an audit within the last two years.
charges incorporated as expenses in the books Bank reconciliation is approved by the Financial Manager or
of accounts. other delegated manager.
Outstanding items on the bank reconciliation are followed up
and complete records/documentation exists.
4.5 Financial record Organization maintains Organization does not keep any Receipts and invoices are kept to justify Receipts and invoices are required to justify Receipts and invoices are required to justify all All receipts and invoices and other supporting documents are
keeping supporting receipts and invoices original receipts or invoices. expenses when claiming money. all expenditures. expenditures. filed for three years and are regularly reviewed by an
for every expenditure to justify These are kept on file but are rarely These are kept on file and are reviewed monthly by authorized person.
disbursements. reviewed by the Finance Manager. the Finance Manager or other delegated manager. There is supporting documentation signed by authorized
The expenditure record (documents and There is supporting documentation signed by officials to justify the purchase of goods and services.
vouchers) is incomplete and is not authorized officials, to justify the purchase of Records have been audited within the last two years and
adequately controlled by the Financial goods and services. accepted as complete and accurate.
Manager or other delegated manager.
4.6 Budgets and Organization prepares, monitors, Organization does not have a There is a rough organizational budget which is There is an overall budget which is used to Budgets are prepared quarterly for the Budgets are prepared monthly for the organization and all
cash flow planning and reviews budgets and cash budget or cash flow projection. not reviewed regularly. decide how much to spend on organization organization and all projects and expenditure is projects, expenditure is compared to what was planned.
flow projections. No cash flow projections are prepared. costs and projects. In addition budgets are compared to what was planned. Budgets are presented for approval to the board or donors
Performance is not monitored against the prepared for some individual projects. Budgets are presented for approval to the board (as required by agreements).
budget. Budgets are presented for approval to the or donors (as required by agreements). Performance is closely monitored against the budget and
board or donors annually (as required by Performance is monitored against the budget budgets are fully integrated with the organization's annual
agreements). regularly. work plan.
Performance is monitored against the Budgets are linked to the organization's annual Budget and cash flow planning inform strategic decision
budget periodically. work plan. making.
4. Financial Management Page 16

Component: 4. Financial Management

4.7 Cost Cost effectiveness is analyzed Costs are not analyzed. Organization sometimes tracks costs to get a Organization often tracks the cost of activities Organization routinely tracks the cost of activities Organization always tracks the cost of activities and does a
effectiveness and guides management rough idea of cost effectiveness. and sometimes does a cost/benefit analysis and does a cost/benefit analysis of most activities; cost/benefit analysis of all activities; decisions are made
decisions. of activities. decisions are sometimes made based on these based on these analyses.
analyses. Organization ensures that costs and decisions conform with
donor rules regarding reasonable, allowed and allocable
costs for activities.
4.8 Finance staff Organization has adequate and Organization has no finance staff. Organization has a bookkeeper with some Organization has a Finance Manager. Other Organization has a qualified Finance Manager. Organization has a qualified Finance Manager with at least
levels and capable finance staff. experience and basic training. finance team members only have some basic Most but not all finance staff have adequate 5 years financial management experience. There is an
competency training and rely heavily on direction from training and certifications. adequate number of other capable finance staff.
the Finance Manager. Some transactions are handled by one finance team Duties are appropriately segregated so that no one
Finance staff often do not adhere to financial member from start to completion. transaction is handled by one finance team member from
policies and procedures. Finance staff usually adhere to financial policies start to completion.
and procedures. There is consistent adherence to financial policies and
procedures and GAAP.
4.9 Financial Organization produces proper There is no experience of preparing Organization has prepared and submitted Organization has prepared and submitted Organization usually prepares and submits Organization always prepares and submits reports on
reporting financial reports on-time and in and submitting financial reports (i.e. financial reports in the past, but not recently financial reports to donors or for internal use financial reports which meet internal and donor time that fulfill internal and donor requirements.
accordance with donor to donors or for internal use). (i.e. in the last year). within the last year. requirements. At times queries are made and Consistently no major queries are raised.
requirements; financial reports Some reports are prepared and submitted, but adjustments required. Reports have been audited within the last two years with no
are reviewed internally. are often incomplete, late and are routinely Reports are reviewed internally by management major findings.
queried. and the board. Reports are reviewed internally, at least quarterly, by
Reports are prepared only on the cash-basis Organization is capable of producing reports in management and the board.
of accounting and do not comply with GAAP compliance with GAAP, but not in full compliance. Reports are fully GAAP compliant.
or donor reporting requirements.
4.10 Annual Organization produces full set of Organization does not produce Organization's annual financial statements Organization's annual financial statements Organization's annual financial statements include a Organization's annual financial statements include a balance
financial financial statements which are in annual financial statements. comprise a basic balance sheet and an income comprise a balance sheet and an income balance sheet, an income statement and statement sheet, an income statement and statement of cash flows.
statements compliance with GAAP. statement. statement. of cash flows. The annual financial statements report information about
The annual financial statements report The annual financial statements report accurate expenses for specific projects, supporting services, and
information about income and expenses for information about expenses for specific projects, donors.
specific projects, supporting services and supporting services, and donors. The annual financial statements were reviewed by an
donors. However, there are some The statements are compliant with GAAP. independent auditor with no major findings.
inaccuracies. The statements are fully GAAP compliant.
The annual financial statements are partially
compliant with GAAP.
4.11 Financial Organization complies in all Organization has no compliance Organization has an informal compliance Organization has a sound compliance Organization has a sound compliance framework Organization has a sound compliance framework and
compliance to material respects to the laws and framework and does not comply to framework and procedures but materially does framework and procedures in place. and procedures in place which conforms with the procedures in place which conform with all relevant
statutory statutory regulations of the relevant regulations. not comply to relevant regulations. Framework is not always consistently applied. laws and statutory regulations of the countries regulations prescribed for the country in which it operates and
regulations country/countries where it where it operates. is in line with best practices deployed.
operates Framework is usually applied. Framework is consistently applied.
4.12 Financial Organization has written financial Organization does not have any Organization has informal financial policies and Organization has written financial policies Organization has written financial policies and Organization has a financial policies and procedures manual
Policies policies and procedures financial policies and procedures. procedures but they are not in written format OR and procedures, but they are not entirely procedures in the form of a manual, which is readily which is readily available and staff have been oriented to.
financial policies and procedures are outdated. clear. Financial practice is often not in available to staff. The policies and procedures are fully in compliance with
accordance with the policies and procedures. The policies and procedures are in conformance GAAP.
with GAAP. Financial practice is always in conformance with the financial
Financial practice is usually in conformance with policies and procedures.
the policies and procedures.
4. Financial Management Page 17

Component: 5. Sub-Grants Management
5.1 Sub-Grants Organization has a Grants Organization does not have Organization has informal grants Organization has written Grants Organization has written Grants Management Organization has Grants Management Manual which
Management Management Manual that covers sub-grants policies and management policies and Management Manual, but the policies and Manual which is readily available to staff and is readily available and grants team staff have
System the roles, responsibilities, policies procedures. procedures OR grants procedures are vague and unclear. In contains basic roles, responsibilites, policies and been oriented to the Manual. The Manual is
and procedures for the full grants management policies and practice, the Manual is rarely used and staff procedures for sub-grants management. updated every six months and is aligned with the
cycle (from conception to close- procedures were written long ago regularly deviate from the written policies. The Manual is aligned with the organization's organization's financial and procurement policies.
out). and are now outdated. financial, procurement and other written policies. The Manual clearly references all donor
The Manual is updated at least annually and staff requirements, outlines staff roles and responsibilities
usually comply with the written policies. and includes sections on every stage of the grants
management cycle. The Manual contains Annexes
with templates and tools for grants management.
Grants staff is always in compliance with the policies
and procedures outlined in the Manual.
5.2 Grant Organization has adequately Organization has no grants Organization has a Grants Organization has a Grants Manager. Other Organization has a trained Grants Manager with at Organization has a qualified Grants Manager with
Management Staff trained and capable staff with staff. Officer with some relevant grants team members only have some least five years experience managing donor-funded at least 10 years grants management experience,
knowledge of the local context and experience and basic training. basic training and rely heavily on grants. Some grants team staff have adequate including adequate training in financial management,
donor regulations in order to direction from the Grants Manager. training, financial and administrative background. accounting and procurement. There is an adequate
responsibly manage the grants Grants staff often do not adhere to policies Some sub-awards from negotiation to close-out are number of other capable grants staff to meet the
cycle. and procedures. handled by one grants team member, including needs of the sub-grants management for the
payment approvals. organization.
Grants staff usually adhere to the organization's Duties are appropriately segregated so that no
financial and grants management policies and single sub-award is handled by one team member
procedures. from start to completion.
There is consistent adherence to the organization's
grants management, procurement and financial
policies and procedures.
5.3 Grants Organization has monitoring and Organization has no sub- A basic tracking system exists for Several tracking systems exist within the Organization has a systematic approach to Organization has a formal, systematic database for
Monitoring and evaluation, financial and technical grants management systems. financial, technical and M&E organization to track sub-grantee monitoring sub-grantees' performance financially, tracking the performance and implementation of sub-
Reporting reporting guidelines audit requirements for sub-grantees but performance and financial technically and for all other reporting requirements. grantees' awards from award through close out.
requirements and tracking is not adequate or kept up to date. responibilities/payments and audit System is kept reasonably up-to-date, managed by Database is updated regularly by competent staff
systems to ensure compliance and requirements are tracked. These are Excel a responsible person and reviewed quarterly by the and reviewed by the Grants Manager at least
adequate oversight during grant based files and are managed by multiple Grants Manager, it may contain some inacuracies. monthly; updates provided to senior management at
implementation. people so there is no way to determine least quarterly.
accuracy at any given time.
5. Sub-Grants Management Page 18

Component: 6. Program Management

SUB-COMPONENT DESCRIPTION

6.1 HIV and AIDS Organization staff and There are no mechanisms to access new HIV and AIDS is occasionally discussed New HIV and AIDS information is New HIV and AIDS information is regularly New HIV and AIDS information is regularly
information, volunteers have HIV and AIDS information. internally. discussed internally and some written discussed internally. Information is discussed internally to enable staff to share
knowledge and opportunities to access new Organization staff and volunteers have very A few Organization staff and volunteers materials are available. available from a range of sources (print knowledge and learn.
skills information and have low levels of HIV and AIDS knowledge and know basic facts about HIV and AIDS such Some Organization staff and volunteers and other media) which are widely Information is readily available from a wide range
sufficient HIV and AIDS skills. as methods of transmission, prevention, have adequate HIV and AIDS knowledge distributed. of sources (print and other media) which are widely
knowledge and skills to care and support. and skills which enable them to complete Staff and volunteers understand the causes distributed.
perform their duties well. their tasks competently. of vulnerability, effects of stigma, availability Organization is viewed as a valuable resource of
of treatment and other issues. HIV and AIDS information, knowledge and skills in
Organization seeks out new HIV and the community.
AIDS information to inform program Organization integrates new HIV and AIDS
design. information into program design.
6.2 Program design Organization undertakes Organization does not initiate new New programs are largely initiated or Organization undertakes some assessment Organization undertakes regular Organization undertakes continual assessment of
and modification assessment of gaps and programs or make any adjustments to existing ones adjusted in response to of gaps in the ability of existing programs to assessment of gaps in the ability of existing gaps in ability of existing programs to meet
adjusts existing programs existing programs. funding availability and donor preferences. meet community and beneficiary needs. programs to meet community and community and beneficiary needs and adjustments
and creates new ones in Organization has some ability to modify beneficiary needs. are continually made.
response to needs identified existing program and create new ones in Organization has the ability to modify and Organization creates new, innovative programs
by communities and response to community and beneficiary fine-tune existing programs and create new which meet the needs of communities and
beneficiaries. needs. programs to meet community and beneficiaries, based on evidence and best
beneficiary needs, subject to the availability practice.
of funding. There is a continuous pipeline of new ideas.
6.3 Program Organization implements Organization does not implement programs Organization has a strategic plan which is Organization usually implements programs Organization has a strategic plan which is Organization has a strategic plan which is used to
implementation programs in line with the in line with strategic plan and does not have occasionally used to guide program in line with the strategic plan, but there are used to guide program implementation, with guide program implementation.
review strategic plan and has review meetings. implementation. occasional deviations. occasional deviations. Review meetings occur frequently, involving staff,
periodic review meetings to Implementation is reviewed informally. Review meetings occur periodically, Review meetings occur regularly involving beneficiaries and other stakeholders, where
report results, share OR Review meetings have occurred in the involving staff, where learning, knowledge staff and beneficiaries, where learning, knowledge, experience and lessons learned are
knowledge, experience and past at the donor's behest, but not recently. and experience are discussed. knowledge and experience are discussed discussed and the strategic plan reviewed.
lesson learned and re- and strategic plan reviewed.
strategize.
6.4 Service delivery Organization has written Quality standards for service delivery do Quality standards for service delivery exist Written quality standards exist for some Written quality standards exist for most Written quality standards exist for all aspects of
quality standards for service not exist. only informally OR are outdated OR were aspects of service delivery but not all. They aspects of service delivery. These take service delivery which take community/beneficiary
delivery which adhere to Organization's service delivery is not developed only at donor behest and are are not entirely clear and are not community/ beneficiary needs into account needs into account and fully adhere to national
national (or regional) monitored. not monitored. monitored regularly. and are mostly in line with national standards.
standards and are Organization often falls short and Organization is believed to be making a standards. Organization is monitored regularly against quality
monitored. Communities beneficiaries are dissatisfied with service positive difference but is unable to Organization is monitored against quality standards.
and beneficiaries express delivery. demonstrate concrete results. Beneficiaries standards. Beneficiaries are consistently satisfied with
satisfaction with service are somewhat satisfied with service Beneficiaries are satisfied with service service delivery.
delivery. delivery. delivery.
6.5 Program Communities contribute and Programs are not "owned" by communities Communities feel limited ownership Communities feel some ownership of Communities feel strong ownership of Beneficiaries, including women and vulnerable
sustainability feel ownership of programs. and no efforts are made to ensure towards programs and may make a programs and express commitment/make programs and express their commitment groups, feel strong ownership of programs.
Organization has a clear exit sustainability. minimal commitment/contribution. contributions. through financial and/or in-kind Community commitment is expressed through
strategy and takes steps to Organization does not have an exit strategy Organization is starting to initiate skills contributions. financial and/or in-kind contributions.
ensure sustainability. or plan but appreciates the importance of transfer/capacity building activities which Organization is taking steps to build Skills transfer has taken place and exit strategies
having one. will form the basis of an exit strategy. community capacity to sustain programs have been discussed with communities and
(i.e. through skills transfer and other beneficiaries in all project/program areas, who are
capacity building activities) and has an exit prepared to sustain programs thereafter.
strategy for several programs.
6.6 Resource Organization understands Organization has a very poor Organization has limited understanding of Organization has a good understanding of Organization has a good understanding of Organization has an excellent understanding of the
mobilization and the local funding understanding of the local funding the local funding environment. the local funding environment. the local funding environment. local funding environment.
sustainability environment and has a environment and does not have a resource A resource mobilization strategy exists only A documented resource mobilization A documented resource mobilization A documented resource mobilization plan, with
resource mobilization mobilization strategy. informally. strategy exists, however it is not entirely strategy, with targets, tools and processes targets, tools and processes exists, and is being
strategy which is being There is heavy reliance on one donor. There is heavy reliance on a few donors clear and is not being monitored or fully exists, and is being monitored and monitored and implemented.
implemented. Organization OR one type of funding. implemented. implemented. The organization is on track to exceed targets for
has a diverse funding base. There is reliance on a few donors OR one There are a range of donors (i.e. some revenue generation to meet its vision and
type of funding but organization recognizes established and some new) and more than mission.
the need to diversify the resource base. one type of funding (i.e. grants, contracts, The resource base is diversified (i.e. covers a
cost-recovery-mechanisms and donor range of local and international donors and various
funding). funding types such as grants, contracts, cost-
recovery-mechanisms and donor funding) and
includes restricted and unrestricted funding.
6. Program Management Page 19

Component: 7. Planning, M&E


7.1 Annual work Organization has an annual work There is no annual work There is an informal idea of There is a written annual work plan for There is an annual work plan for the organization and There is an annual work plan for the organization and individual
plan plan linked to the strategy and plan. Organization works on an annual work plan, but the organization and/or individual individual programs which is linked to the strategy and programs which is aligned to the strategy and budget. It has
budget, with measurable results, whatever activities present nothing formally agreed programs. But it is vague and does not budget. It has activities, timeframes and measurable results measurable results, activities and indicators, due dates and
activities, timelines, responsibilities themselves. upon. have measurable results or indicators. but some aspects of the work plan are unclear. responsible people are clearly stated.
and indicators. The work plan was Priority activities are based The annual work plan was not The work plan was developed in a participatory manner The work plan was developed in a participatory manner involving
developed collaboratively, is on immediate needs OR developed in a participatory manner with staff. staff and beneficiaries.
monitored and informs decision- donor requests. NOR is widely known by staff. Implementation of the work plan is monitored and Implementation of the work plan is monitored on an ongoing basis
making. sometimes used to inform decision making. and consistently informs decision-making.
Program activities are synchronized to support and enhance one
another.
7.2 M&E plans and Sound M&E plans are used to There are no M&E plans for There are piecemeal M&E There are M&E plans for some There are sound M&E plans for the various programs and There are sound M&E plans for all programs and an overall M&E
framework monitor and evaluate progress the various programs and no plans for some programs programs. an overall M&E framework for the organization. framework for the organization.
towards desired results. The M&E M&E framework for the which were developed long The M&E plans contain some of the The M&E plans contain all of the following components The M&E plans contain all of the following components ("theory of
plans include a "theory of organization. ago because of donor following components ("theory of ("theory of change"/results framework, objectives, indicators change"/results framework, objectives, indicators and targets).
change"/results framework, insistence and have not change"/results framework, objectives, and targets) and are clear and logical. The M&E plans were developed in a participatory manner,
objectives, indicators and targets. been followed. indicators and targets) and are The M&E plans were developed in a participatory manner involving staff and beneficiaries.
The M&E plans are not reasonably clear and logical. involving staff and attempts were made to involve The M&E plans are current, staff members are familiar with them
clear nor logical. Attempts were made to involve staff in beneficiaries. and they are consistently utilized.
Few staff members are developing the M&E plans. The M&E plans are current but they are not consistently
aware of the M&E plans. The M&E plans may not have been utilized.
utilized.
7.3 M&E tools and M&E tools are used to collect data No M&E tools exist and no Organization has a few Organization has some standard M&E Organization has good M&E tools which are aligned to the Organization has good M&E tools which are aligned to the M&E
data collection in line with M&E plans. Data is M&E data is collected. basic M&E tools and collects tools which are used to collect data to M&E plans. plans.
system collected regularly and there is a M&E data if the donor meet donor requirements and for Data is collected by trained individuals. Data is collected by trained individuals.
robust system for storing and requires it. internal use. Data quality checks are sometimes done through spot Data quality checks are regularly conducted and mechanisms
managing it. Data is collected by Data is collected by individuals with checks. are in place to address data quality issues.
untrained individuals. some basic training but there are no M&E data is collected regularly in line with M&E plans. Data is collected regularly and meets all the requirements of the
Data is not collected quality control mechanisms in place. Data is stored securely in an electronic system. M&E plans.
regularly and is not stored. M&E data is collected in line with M&E Data is stored securely in an electronic system.
plans but is not always collected on
time.
Data is stored securely, the system is
paper based.
7.4 M&E data M&E data is analyzed and reported No M&E data is analyzed. Some basic analysis of M&E Organization has a basic system to Organization understands the importance of analyzing M&E Organization understands the importance of analyzing M&E data
analysis, to internal and external data is conducted for donors, analyze M&E data and produce reports. data and has a good system to do so. and has a good system to do so.
dissemination and stakeholders and used to inform but it is not transformed into Because of limited data analysis skills, Organization has staff who are competent in data analysis Organization has staff who are skilled in data analysis and
use decision making. knowledge for internal M&E reports are not produced regularly and produce reports which are timely and accurate. produce reports which are timely and accurate.
dissemination and decision and often contain inaccuracies. M&E reports are shared with donors and staff and some M&E reports are packaged in appropriate formats to share with
making. M&E reports may not meet donor efforts are made to share M&E information with donors, staff, beneficiaries and other stakeholders.
Staff do not have the requirements. beneficiaries. M&E information is used to inform program design,
requisite skills to conduct M&E reports are discussed internally M&E information is regularly used to inform decision implementation, management and strategic decision making.
data analysis. and sometimes used to inform decision making.
making.
7.5 Evaluation Programs are evaluated and No programs have been Programs are only evaluated Programs are evaluated at the request Organization values evaluation and programs are often Organization values evaluation highly and regularly conducts
contributes to evaluation findings are discussed, evaluated. if there is a donor of donors. evaluated. internal and external evaluations.
organizational disseminated and inform requirement. Evaluation findings are discussed Evaluations are conducted in a participatory manner Evaluations are conducted in a participatory manner involving
learning organizational learning. Evaluation findings are only internally in a limited manner by involving staff. staff and beneficiaries.
shared with the donor. some staff and decisions are rarely The evaluation findings are discussed internally and Evaluation findings are discussed internally and shared in
Organization does not taken as a result. shared with donors and beneficiaries. appropriate formats with donors, beneficiaries and other
understand the importance of Decisions are sometimes taken as a result of evaluation stakeholders.
evaluation. findings and evaluation contributes to organizational Decisions and adjustments always follow from an evaluation. The
learning. organization has been able to draw lessons learned from
evaluation.
7. Planning and M&E Page 20

Component: 8. Partnerships, External Relations and Networking


8.1 Partnerships, Organization is Organization works in isolation. They Organization has some knowledge of the Organization has good knowledge of the Organization has good knowledge of the Organization has good knowledge of the strategies and work of other
networking and knowledgeable have no knowledge of the strategies or strategies and work of other organizations strategies and work of other organizations strategies and work of other organizations in organizations in the local area and at other levels.
collaboration about the strategies work of other organizations. in the local area. in the local area. the local area and some knowledge of the Organization consults extensively when planning programmes and
and work of other Organization has had some informal Organization consults with other strategies and work of organizations at other activities to ensure there is no duplication.
organizations, discussions about collaboration of some organizations when planning programs to levels. Organization is implementing more than one programme in partnership
consults when kind. ensure there is no duplication. Organization consults with other organizations with other organizations and makes referrals to other organizations.
planning/ There has been at least one instance of when planning projects to ensure there is no Organization is active in organization/NGO networks.
implementing and collaboration with a partner in the last two duplication.
collaborates with years. There is at least one on-going program
partners. being conducted jointly with other
partners/stakeholders.
Organization has some contact with other
organization/NGO networks.
8.2 Community Organization is well Organization does not have a presence Organization’s presence in the community Organization’s presence is somewhat Organization is well known within community, Organization is widely known within the community. Organization is
presence and known and viewed in the community. is not recognized or generally regarded as recognized, and generally regarded as is viewed as a constructive presence and viewed as a constructive and empowering presence and perceived as
involvement as a constructive positive. positive within the community. perceived as being open and responsive to being extremely open responsive to community needs.
and empowering A few members of local community engage Some members of the local community community needs. There is downwards accountability to communities and beneficiaries.
presence by the with the organization. engage with organization. Members of the community are actively Members of the community, including women and vulnerable groups are
community. involved in the organization. actively and constructively involved in the organization (e.g. board,
fund-raising).
8.3 External External Organization has no communication Organization has an informal Organization has a basic communication Organization has a communication strategy Organization has a communication strategy which has been
communication communication strategy. communication strategy but nothing strategy which has been formalized/ which has been formalized/documented and formalized/documented, is comprehensive, widely known by all staff and
strategy strategy exists and formally agreed upon or documented. documented but is not comprehensive or is comprehensive and known by most staff. is reviewed regularly.
is used to widely known about. Key messages are identified for Key messages have been identified for communication to various
communicate Some efforts have been made to identify communication to stakeholders and these stakeholder groups and these are consistently communicated.
effectively with key and communicate key messages however are fairly consistently communicated. Organization has performed a stakeholder analysis and identified priority
stakeholders, there are often deviations from these. The organization has performed an informal stakeholders at local and national levels; the stakeholder analysis is
including the stakeholder analysis and identified priority updated regularly.
community. stakeholders at local levels.
8.4 Communication Appropriate Organization has no communication Organization has some basic Organization has some standard Organization has a range of communication Organization has a wide range of communication materials for different
materials communication materials. communication materials, which were communication materials such as leaflets materials for different purposes which are used purposes tailored for different audiences.
materials exist and developed some time ago and are and brochures, some of which are for internal and external communication. Communication materials are updated regularly and have a consistent
are used to outdated. outdated. "look and feel".
communicate
effectively with key
stakeholders.
8.5 Advocacy and Organization is Organization has no understanding of Organization has a basic understanding of Organization has some understanding of Organization has a good understanding of the Organization has a good understanding of the policy context.
policy engagement actively involved in the policy context and has not had any the policy context. the policy context. policy context. Short, medium and long term advocacy priorities have been
advocacy and policy advocacy or policy engagement. Advocacy is limited to basic awareness Some advocacy priorities have been Advocacy priorities have been identified identified and documented, based on local needs and informed by
engagement at raising about key issues at community identified based on local needs. and formally documented based on local evidence. There is a strategy and plan for policy engagement with
different levels (i.e. level. Organization is aware of some possibilities needs. targeted individuals/institutions.
local, district, Organization is not aware of possibilities to influence policy-making, possesses Organization is aware of possibilities to Organization influences policy-making at local and other levels and is
national or nor has the ability to influence policy- some of the skills to participate in policy influence policy-making and is sometimes often called on to participate in substantive policy discussions.
international). making. discussion and is occasionally invited to invited to participate in policy discussions at the
participate in local policy discussions. local and other levels.
8. Partnerships Page 21
Component: 9. Knowledge Management


9.1 Knowledge Staff generate, learn, share, and There are no mechanisms for Staff informally share and learn Some structured, formal mechanisms exist Structured, formal mechanisms exist for internal AND A range of appropriate, structured, formal mechanisms exist for
exchange use relevant knowledge for the knowledge exchange. from what they are doing on an for internal knowledge exchange (After external knowledge exchange (After Action Reviews, internal AND external knowledge exchange (After Action Reviews,
benefit of individuals, units and Staff do not have time set aside to learn ad-hoc basis. Action Reviews, training, workshops, training, workshops, seminars, presentations, meetings, training, workshops, seminars, presentations, meetings, mentoring,
the organization. Knowledge from what they are doing, share or act presentations, meetings, mentoring etc). mentoring, website, online learning etc). website, online learning, publications etc).
exchange is valued. A range of creatively and innovatively. Knowledge exchange mechanisms are not Knowledge exchange mechanisms are utilized by most Knowledge exchange mechanisms are utilized by all staff.
appropriate mechanisms exist utilized regularly. staff. Time is set aside roughly once a month to share and learn.
and are used for knowledge OR they are not utilized by all staff. Time is set aside roughly once every quarter to share Knowledge exchange is highly valued within the organization.
exchange (After Action Reviews, and learn.
training, workshops, Knowledge exchange is valued within the organization.
presentations, meetings,
mentoring, website, online
learning etc).
9.2 Knowledge Organization has a repository and No KM system exists. An informal KM system exists A formal KM repository and system exists, A formal KM repository and system exists, which is used A comprehensive KM repository and system exists and is used to
management (KM) system to capture, document, and but it is not well organized. which is used to capture and document to capture, document and disseminate knowledge gained capture, document, and disseminate knowledge gained from
disseminate knowledge for knowledge gained from program from program implementation and learning. The KM program implementation and learning (including lessons learned and
program improvement, implementation and learning. system does not capture ALL organizational knowledge. best practices) internally AND externally.
organizational learning and However, the KM system is not widely The KM system is widely known about and often used to Knowledge is used to improve program design, implementation,
sharing with external known about or well utilized. inform program design and for organizational learning. management and strategy and for organizational learning.
stakeholders (shared folders, Knowledge gained benefits the organization. Knowledge gained benefits the organization, beneficiaries and other
library and publication outlets- stakeholders.
print, electronic or face-to- face-
workshops, seminars etc).
9. Knowledge Management Page 22

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BLC Organizational Development Capacity Assessment Tool

Building Local Capacity for the Delivery of

Cover Sheet Page 1

Description of Scale Scores

1 Embryonic The tree is a vulnerable seed trying to penetrate the soil.

Definition of Key Terms Source

MSH, 2012, Challenges Encountered in Capacity

A comprehensive system for M&E, usually

Performance A plan which outlines the M&E requirements for

Accronyms & Definitions Page 2

Basic Information on Organization, Setting the Context and Assessment

Who constitutes your community?

Who are your stakeholders?

Date of OD capacity assessment

Type of assessment (check one)

Basic Org Info Page 3

Date of Assessment 30-Dec-99

Percentage: Stage: Percentage: Stage:

1.3 Strategic plan

3a.3 Personnel files #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0

3a.4 Time sheets #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0

3. Human 3a.5 Volunteer/

Summary Results Page 4

4.2 Bank account #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! #DIV/0! 0 0 0

4.3 Bank and cash

Summary Results Page 5

7.1 Annual work

7. Planning, 7.4 M&E data

Participants Evaluators Staging Category

Number and Percent of 52 Components at each Stage of % of 52 % of 52

Summary Results Page 6

Overall Percentage Score by Component: ../Organization Name

Leadership & Governance

Structures and Systems

Summary Results Page 7

Partnership, External Relations and Networking

9.1 Knowledge exchange 9.2 Knowledge management 9. Knowledge Management

Summary Results Page 8

Unweighted Score Weighted Score

Grant Management #DIV/0! #DIV/0! 5 #DIV/0! #DIV/0!

Program Management #DIV/0! #DIV/0! 15 #DIV/0! #DIV/0!

Summary Results Page 9

OD Capacity Assessment - Individual Scoring Sheet

1.2 Strategic plan

1.5 Board functioning and governance

2.1 Organogram (organizational chart)

2.2 Organizational policies and procedures

2.3 Consultation and decision-making

2.5 Accountability and transparency

2.6 Office and equipment

3a.1 Recruitment, staff diversity and expertise

3a.2 Roles, responsibilities and job descriptions

3a.3 Personnel files

3b.7 Staff performance evaluation

3b.8 Staff development

4.1 Financial accounts/ accounting system

4.2 Bank account

4.3 Bank and cash management

4.4 Bank reconciliation

4.5 Financial record keeping

4.6 Budgets and cash flow planning

4.8 Finance staff levels and competency

4.9 Financial reporting