ocat self assessment tool

7/25/2019 OCAT Self Assessment Tool

1/54

Organisational Capacity

Assessment Tool

CSO Self Assessment Tool

July 2012


2/54

Organisational Capacity Self Assessment Tool

FANIKISHA Institutional Strengthening Project P a g e | 2

Copyright Management Sciences for Health 2012

This work is copyright. Apart from any use under fair use provisions no part may be reproduced by

any process without prior written permission from Management Sciences for Health - FANIKISHA

Project.

Revision History

Date Author Version Authorised By

July 2012 Tony Abbott Draft


3/54



Table of ContentsTable of Contents .................................................................................................................................... 3

Introduction ............................................................................................................................................ 4

Use of this Tool ....................................................................................................................................... 6

Scoring Guidelines ................................................................................................................................... 7

Category 1: Governance ......................................................................................................................... 8

Category2: Organisational Planning & Resource Mobilisation ............................................................. 12

Category 3: Financial Planning & Management .................................................................................... 16

Category 4: Grants & Sub-Grant Management ..................................................................................... 22

Category 5: Human Resource & Change Management ........................................................................ 25

Category 6: Communication, Information & Records Management .................................................... 31

Category 7: Project Management ......................................................................................................... 37

Category 8: Advocacy, Networking & Alliance Building ........................................................................ 41

Category 9: Institutional Strengthening ................................................................................................ 44

Category 10: Monitoring & Evaluation, Reporting & Knowledge Management .................................. 46


4/54



IntroductionThis Organisational Capacity Assessment Tool (OCAT) has been developed by the FANIKISKA

Institutional Strengthening Project. It draws from and builds upon existing institutional

strengthening tools such as the Management Control Assessment Tool (MCAT), Management and

Organizational Sustainability Tool (MOST), Financial Management Assessment Tool (FINMAT),

QUICKSTART, Kenya Civil Society Organisations Capacity Assessment Tool by VIWANGO, the

Southern Africa Building Local Capacity Civil Society Organisation (BLC CSO), OCAT by Pact Inc, OCAT

by AED-Capable Partners; and others.

The FANIKISHA OCAT aims to assist national Civil Society Organisations (CSOs) in Kenya to identify

the areas where they require institutional support using a participatory approach thereby enhancing

their ability to achieve their organisational goals. It also aims to provide baselines for the major

institutional capacity areas on which measurement of the impact of institutional strengthening

programs can be anchored.

The FANIKISHA OCAT is best used in self assessment scenarios where an external facilitator leads the

various stakeholders in the organisation to assess their own institution against the global

organisational or process standards that have been accepted as critical to overall effectiveness. The

evaluator also triangulates the responses based upon a pre-workshop onsite system review process.

The administration of this OCAT is a first step in FANIKISHAs institutional strengthening framework

and forms the baseline for its technical assistance programs.

The assessment is conducted through a triangulated approach combining a review of background

documents (desk review), interviews, onsite organisational systems review and focus group

discussions to collectively provide scores for the various capacity areas through consensus of the

CSO participants with input from the FANIKISHA facilitator based upon the findings from the reviews.

The assessment is generally conducted in the following steps;

Desk Review: This is done both onsite and offsite. The offsite review is done first as part of the

engagement process. The CSO are requested to share any preliminary information that they have

with the assessor with a view to assist the assessor to learn as much as possible as they can about

the CSO beforehand. The assessor requests the CSO to only submit documents that are relevant to

the capacity assessment and that the CSO is comfortable sharing electronically. The assessor then

conducts an onsite review of documents that the CSO may have deemed too confidential or are too

bulky to send. This exercise also provides the assessor with the opportunity to observe the

availability of documents as well as their usage and application.

Onsite System Review:The assessor observes and reviews the relevant organisational systems

against the technical benchmarks provided in the respective systems and documents checklist. The

assessor also conducts key informant reviews with staff and stakeholders who have been identified

during the initial assessment process. These interviews are informed by the checklist.

OCAT Workshop Forum:The assessor and the CSO organise a forum to be attended by the staff and

key stakeholders on the second day of the site visit. During the forum the assessor facilitates the

stakeholders to score the organisation using the OCAT. The results are captured and projected on an

ongoing basis with the participants. The use of dashboards which display the ongoing scores in real

time is encouraged.


5/54



Reporting:The assessor compiles a report on all of the elements of the assessment. The report

specifically focuses on the capacity gaps identified and is shared with the CSO for consensus and

verification.


6/54



Use of this ToolThis assessment tool is offered for the use of CSOs as a tool for a self assessment of the CSOs own

institutional capacity.

When used in this manner outside of the normal FANIKISHA review framework the CSO isencouraged to attempt to follow the steps outlined in the introduction above as a part of their own

internal review process.

Once this tool has been used for self assessment by a CSO gaps in organisational practices may

become apparent. The CSO is encouraged to use the knowledge base and forums available on the

Kenya Civil Society Portal for Health (KCSPH) or to contact FANIKISHA project staff for guidance.

An online version of this tool is available on the Kenya Civil Society Portal for Health. Use of the

online version will compute reference scores for the assessment and will store these for future

reference. CSOs are encouraged to use this document to conduct their own in-house assessments

and to then update their results within the KCSPH portal.

This tool and its online version will change for time to time as FANKISHA standards for institutional

capacity assessment change and evolve.


7/54



Scoring GuidelinesScore Criteria

1 Documentation and/or function:Absence of expected function in reference or no

documented policies or guidelines2 Documentation and/or function:Expected function exists but requires

improvement, document or guideline exists but requires improvement.

Quality:Expected minimum technical quality standard wanting.

Application:The policy or guideline and/or the function based on current function

that requires improvement.

3 Documentation and/or function:Documentation is present and/or the expected

function exists.

Quality:The function or documentation has the relevant or expected minimum

standard and all key elements of the function or documentation are present.

Application:The policy or guideline and/or the function has not been fullyoperationalised and is not adhered to due to lack of systems to enhance compliance

or lack of staff awareness of the function, policy, guideline in reference.

4 Documentation and/or function:Documentation is present and/or the expected

function exists.

Quality:The function or documentation has the relevant or expected minimum

standard and all key elements of the function or documentation are present.

Application: The policy or guideline and/or the function has been fully

operationalised and is adhered to. This is due to the existence of systems to

enhance compliance and staff awareness of the function, policy, guideline in

reference.


8/54



Category 1: Governance

Governing Body Formation

Q1. How was the current governing body formed?

1 2 3 4 Score

Current governing

body was formed

by the founding

members with no

consultation.

Current governing

body was formed

by the founding

members with

limited

consultation.

The current

members of the

governing body

were selected by

the founding

members after a

transparent and

wider consultative

process.

The current

governing body

members were

identified and

recruited by the

previous non-

governing body

after completion of

tenure of office.Comments:

Q2. Does the organisation have a functional governance manual?

1 2 3 4 Score

The organisation

does not have a

manual for thegoverning body.

The organization

has an incomplete

manual for thegoverning body.

The organisation

has a complete

manual for thegoverning body and

it is being partially

used.

The organisation

has a manual for

the governing bodythat incorporates

policy and

procedures; and it

is used as a point of

reference for all

decisions. Manual is

also updated from

time to time

Comments:


9/54



Governing Body Operations

Q1. Does the governing body and the management have clear roles and responsibilities?

1 2 3 4 Score

There are no

defined roles

between the

governing body and

the management

structure.

The governing body

and the

management roles

are overlapping.

The roles of the

governing body and

the management

are clear but they

are not being

adhered to.

The governing

body and the

management have

clear roles and

responsibilities and

also have clear

insights on shared

responsibilities.

They are adhered

to full extent in

practice.

Comments:

Q2. Does the governing body have the capacity to mobilise resources?

1 2 3 4 Score

The governing

body's capacity to

mobilise resourcesis unknown.

The governing body

has members with

skills and someexperience in

resource

mobilisation but

not utilised.

The governing

body has members

with skills andopportunities that

have resulted in

some resource

mobilisation for

the CSO.

The governing body

possesses key skills,

knowledge, andnetworks for

fundraising and

members with

significant results in

mobilising

resources for the

organisation.

Comments:


10/54



Q3. Does the governing body address conflict of interest, legal requirements, and organisational

ethics?

1 2 3 4 Score

No documented

evidence of thegoverning body's

function in

addressing conflict

of interest, legal

requirements, or

organisational

ethics.

The governing

body's role inaddressing conflict

of interest , legal,

and ethical issues is

only documented in

the policy

document.

The governing body

has demonstratedsome guidance to

relevant

organisational

ethics and policy

documents in

addressing conflict

of interest, legal,

and organisational

ethics in the past.

The governing body

always adheres toconflict of interest,

legal, and ethical

policies. It also

regularly evaluates

them in line with

the organisation's

fundamental

mission and

purpose.

Comments:

Governing Body Development

Q1. Does the organization have a plan to develop the skills and competencies of its governing body

members ?

1 2 3 4 Score

The organisation

does not have any

plan for the

learning and skills

development of the

members of the

governing body.

The organisation

has an incomplete

plan for developing

capacities for the

governing body.

The organisation

has a complete

development plan

for the governing

body members that

is partially funded.

The organisation

has a development

plan for the

governing body

members that has a

budget with

sufficient allocation

of funds.

Comments:


11/54



Q2. Does the governing body have operational learning and skills development opportunities?

1 2 3 4 Score

The organisation

does not have any

learning and skillsdevelopment

opportunity for

members of the

governing body.

The organisation

has unstructured

opportunities fordeveloping

capacities for the

governing body.

The organisation

has an operational

development planfor the governing

body members that

is inconsistently

applied.

The organisation

has a fully

implementedgoverning body

development plan.

It conducts

governing body

capacity needs

assessments,

orients and inducts

members, educates

them on roles and

responsibilities,

encourages their

developmentthrough seminars,

workshops, and

exchanges.

Comments:


12/54



Category2: Organisational Planning &

Resource Mobilisation

Organisational Planning

Q1: Does the organisation have clear mission and vision statements?

1 2 3 4 Score

No mission and

vision statements

exist for the

organisation.

The mission and

vision statements

are defined.

The mission and

vision statements

are defined but not

fully internalised

(practised).

The mission and

vision statements

are defined and are

fully internalised

(practised).

Comments:

Q2: Does the organisation have a strategic plan?

1 2 3 4 Score

There is no

strategic plan.

There is a strategic

plan but it is not

updated.

There is a current

strategic plan but it

is only partially

operational.

There is an up-to-

date strategic plan

with explicit links to

the mission andvision, and it is

costed. The plan is

developed in a

participatory

manner. The CSO

makes reference to

it and reviews it

regularly.

Comments:


13/54



Q3: Does the organisation have a current annual operational plan that supports the strategic plan?

1 2 3 4 Score

No annual

operational plan

exists.

There is an annual

operational plan

but it has nolinkage to the

strategic plan.

The organisation

has an annual

operational planthat has a linkage

to the strategic

plan but it is not

adhered to.

The annual

operational plan is

complete and it isadhered to with a

clear linkage to the

strategic plan.

Comments:

Q4: Does the organisation involve stakeholders meaningfully in the making of the strategic plan?

1 2 3 4 Score

Stakeholders are

not involved in the

planning process.

A few stakeholders

are involved in the

planning process.

The organisation

carries out

participatory

planning by

involving staff and

other relevant

stakeholders.

The organisation

involves all the key

stakeholders in the

planning process.

The board, staff,

service recipients,

donors, partners

and affiliates

participate in the

strategic planningprocess at all levels.

Comments:


14/54



Resource Mobilisation

Q1: Does the organisation have an operational and current resource mobilisation plan?

1 2 3 4 Score

No resource

mobilisation plan is

in place.

The existing

resource

mobilisation plan is

incomplete.

There is a written

plan that guides the

resource

mobilisation

process and that is

partially used.

A well documented

resource

mobilisation plan

detailing potential

donors, methods of

fund-raising and an

action plan for

resource

mobilisation exists,

is used, understood

by staff, monitored

and documented.

Comments:

Q2: Does the organisation have a team or a person with competency and skills who is specifically

mandated to carry out resource mobilisation?

1 2 3 4 Score

The organisationhas neither a team

nor a staff

dedicated to

resource

mobilisation.

Resourcemobilisation is

done arbitrarily by

the CEO and a few

staff members on

an ad hoc basis.

The organisationhas a team of board

members and

competent staff

employed with a

clear mandate to

help in resource

mobilisation.

The organisationhas skilled board

members and

competent staff

who assist in and

are well trained in

resource

mobilisation. Their

terms of references

(TORs) and job

descriptions clearly

stipulate their roles

and responsibilities

in mobilising

resources for the

organisation and

their performance

is measured on the

same.

Comments:


15/54



Q3: Does the organisation mobilise resources from multiple sources?

1 2 3 4 Score

The organisation

does not mobilise

resources fromdiverse sources.

Resource

mobilisation is

done at either localor international

levels.

Resource

mobilisation is

done both local andinternational levels.

The organisation

mobilises resources

at local,international and

internally

generated funds.

Comments:


16/54



Category 3: Financial Planning & Management

Financial Policies and Procedures

Q1: Does the organisation have operational financial policies, procedures and systems?

1 2 3 4 Score

Financial policies,

procedures not

documented.

Existing policies,

procedures and

systems are

incomplete (miss

some essential

elements, may

not be fully

compliant andnot officially

approved).

Established and

operationalised

policies,

procedures, and

systems exist but

are not

consistently used.

Established and

operationalised

policies,

procedures, and

systems exist

guiding all aspects

of financial

management,readily available,

and consistently

practised by all

staff members

and meet

generally

accepted

accounting

practices (GAAP).

Comments:


17/54



Budget

Q1: Does the organisation have budgeting and budget monitoring procedures?

1 2 3 4 Score

Budgeting and

budget

monitoring

procedures do

not exist.

Budgeting and

budget

monitoring

procedures are in

place but are

incomplete.

Budgeting and

budget

monitoring

procedures are

elaborate and

availed to staff

but not

consistently

applied.

Budgeting and

budget

monitoring

procedures is

available and

understood by all

staff and

application is

consistent and

monitored.

Comments:

Accounting and Record Keeping

Q1: Does the organisation have adequate accounting systems?

1 2 3 4 ScoreThe accounting

records, charts of

account, payment

vouchers, receipts

do not exist.

Only the

accounting

records, charts of

account, payment

vouchers, receipts

form supporting

document.

The accounting

records, charts of

account, payment

vouchers, receipts

form supporting

documents with

clear reference

numbers to

payment, deposit,

but without

proper approvals.

The accounting

records, charts of

account, payment

vouchers, receipts

form supporting

documents with

clear reference

numbers to

payment voucher,

deposit and dully

approved, closelymonitored and

safely guarded.

Comments:


18/54



Purchasing and Procurement

Q1: Does the organisation have an adequate purchasing and procurement system?

1 2 3 4 Score

Procurement and

purchasing

practice done but

no system exists.

A procurement

and purchasing

system is in place,

but it is

incomplete(lack

certain elements,

not fully

compliant , not be

fully responsive

to needs).

A complete

functional

purchasing and

procurement

system in place,

purchases

monitored

against budget

with approval but

not consistently

applied.

The purchasing

and procurement

system exists and

consistently

applied,

purchases

monitored

against budget

and approved by

the authorised

officials.Comments:

Payroll

Q1: Does the organisation have compliant payroll systems?

1 2 3 4 Score

No payroll

policies and

procedures.

Payroll policies

exist but requires

improvement.

Quality payroll

policies exist,

applied and staff

have written

terms on pay rate

and applicable

deductions but

adherence and

close monitoring

of non-payrollbenefits weak.

Written payroll

policies exist and

are applied, staff

have written pay

terms and

applicable

withholdings.

Close monitoring

of non-payroll

benefits such asmedical and

overtime. Payroll

is authorised

before all payroll

payments are

made.

Comments:


19/54



Financial Reporting

Q1: Does the organisation have operational financial reporting procedures?

1 2 3 4 Score

No financial

reporting policies

and procedures.

Written policies

and procedures

on reporting not

followed and no

financial reports

are provided to

the management.

Written policies

and procedures

on reporting

applied but not

consistently

followed and

financial reports

to management

only prepared on

request.

Written policies

and procedures

on reporting

applied

consistently and

financial reports

to management

prepared on a

regular basis with

close monitoring

of all internal andexternal financial

reporting.

Comments:

Cash and Bank Management

Q1: Does the organisation have adequate internal controls on cash and banking?

1 2 3 4 Score

No internal

controls on cash.

Internal controls

on cash are

incomplete.

Internal controls

on cash exist but

not consistently

applied and

monitored.

Internal controls

on cash exist, are

monitored and

applied

consistently.

Comments:


20/54



Audit

Q1: Does the organisation conduct annual audit, review the audit report and follow up on audit

recommendations?

1 2 3 4 Score

Audit is done and

no review of the

audit report.

Audit is done and

report reviewed,

recommendations

are not

implemented.

The audit done

and report

reviewed,

recommendations

discussed by

management

with no follow-up

action.

The audit done

report reviewed

and

recommendations

implemented

with follow-up

action monitored.

Comments:

Asset Management

Q1: Does the organisation have a responsive asset management system?

1 2 3 4 Score

No assetmanagement

policies and

procedures.

Assetmanagement

policies and

procedures exist

but require

improvement.

Policies andprocedures exist

and applied

though not

consistently, and

assets are

inventoried.

Policies andprocedures exist

and applied

consistently;

assets are

inventoried and

properly

safeguarded with

periodic

monitoring of the

asset register.

Comments:


21/54



Administration

Q1: Does the organisation have adequate and operational administrative procedures on office

management policies, travel and vehicle management?

1 2 3 4 Score

Administrative

policies and

procedures do

not exist.

Administrative

policies and

procedures

developed but

not

comprehensive.

Comprehensive

administrative

policies and

procedures

developed but

not fully

operationalised.

Comprehensive

administrative

policies and

procedures

developed,

readily available

to all staff and

fully

operationalised.

Comments:


22/54



Category 4: Grants & Sub-Grant Management

Grants Management and Planning

Q1: Does the organisation have an adequate grants management system, policies and guidelines?

1 2 3 4 Score

No grants

management

system policies

and guidelines

exist.

Grants

management

system policies

and guidelines

exist but are

incomplete.

Grants

management

systems, policies

and guidelines

exist, reflect

donor rules and

regulations, but

not fully applied.

Grants

management

system policies

and guidelines

exist, reflect

donor rules and

regulations, and

are applied andunderstood by all

staff.

Comments:

Q2: Does the organisation have tools for capacity assessment of grantees?

1 2 3 4 ScoreNo grants

assessment tools

exist.

Grants

assessment tools

exist but are

incomplete.

Grants capacity

assessment tools

exist but are not

consistently used.

Grants capacity

assessment tools

exist and are

updated and used

to assess the

grantees' capacity

before grants are

awarded.

Comments:


23/54



Administration

Q1: Does the organisation provide an orientation for the grantees?

1 2 3 4 Score

Orientation is not

provided for the

grantees.

Grantees'

orientation on

grants documents

and expectation is

done but on an

ad hoc basis.

Grantees'

orientation on

grants documents

and expectations

is done only if

requested by the

grantees.

Grantees'

orientation on

grants documents

and expectation is

part of grants

management

process and is

done at the start

of the project

with both parties

understandingtheir deliverables

and expectations.

Comments:

Q2: Does the organisation have a grants management tracking ( monitoring) system?

1 2 3 4 ScoreGrants

management

tracking system

does not exist.

A grants

management

tracking system

exists but is

incomplete.

Grants

management

tracking systems

exists but it is not

consistently used.

Grants

management

tracking systems

exist, meet

organisational

needs, and are

closely monitored

to ensure

compliance to

donor rules and

regulations.

Comments:


24/54



Grant Monitoring

Q1: Does the organisation have an adequate grants reporting ?

1 2 3 4 Score

Grants reporting

mechanism does

not exist.

An incomplete

grants reporting

mechanism

exists.

The grants

reporting

mechanism exists

but not well

complied to by all

staff and the sub-

grantees.

Grants reporting

mechanism exists,

is elaborated, and

is well

understood by all

the staff, and

reports are timely

and accurate.

Comments:

Q2: Does the organisation provide technical assistance follow-up in response to assessment?

1 2 3 4 Score

Follow-up

procedures are

not well

developed.

Technical

assistance follow-

up based on the

assessment is not

structured andwith no clear

procedure.

Technical

assistance follow-

up on the

assessment is

done but with noclear procedures

that the staff use

and apply.

Technical

assistance follow-

up on assessment

is structured, with

clear procedureson

implementation

and monitoring.

Comments:


25/54



Category 5: Human Resource & Change

Management

HR Policy and Procedures Manual

Q1: Does the organisation have HR policy and procedures manual?

1 2 3 4 Score

There is no HR

policy and

procedures

manual.

HR policy manual


detailed enough

to support

consistent

treatment ofstaff, fairness,

and transparency.

A detailed HR

policy manual

exists but

employees can

only access the

document fromimmediate

supervisors.

Comprehensive

HR policy manual

compliant with

the current

labour laws exists

and a copy isprovided to both

supervisors and

employees.

Comments:

Organisational Structure and Job Descriptions

Q1: Does the organisation have an organisational structure?

1 2 3 4 Score

There is no

organisational

structure.

There is an

organisational

structure but

supervisory

structures and

reporting lines

are not followed

strictly.

There is an

organisational

structure with

strictly followed

and clear

reporting lines,

supervisory

responsibilities.

There is a

detailed

organisational

structure with

staff names, job

titles, lines of

supervision, and

span of control

for eachdepartmental

function and

work unit. It fully

meets the current

organisation's

needs.

Comments:


26/54



Q2: Does the organisation have job descriptions prepared for each position?

1 2 3 4 Score

No job

descriptions have

been developed.

Job descriptions

exist but they are

scanty and notdetailed enough

to support the

development of

work plans.

All staff have job

descriptions

outlining jobtitles,

responsibilities,

and required

qualifications but

some require

revision.

Updated job

descriptions exist

detailingreporting lines,

responsibilities,

deliverables,

required

competencies

and

qualifications.

Comments:

HR Function and Capacity

Q1: Does the organisation have staff charged with the responsibility for HR function?

1 2 3 4 Score

There are no staff

specifically

charged with the

responsibility for

HR function.

There is a staff

member assigned

partial

responsibility for

HR function.

There is at least

one staff member

with full-time

responsibility for

HR function.

There is a fully-

fledged HR

function with

more than one

full-time staff.

Comments:

Q2: Does the organisation have budget allocated for the HR function?

1 2 3 4 Score

There is no

budget allocated

to fund HR

activities beyond

salaries and basic

legal

requirements.

There is a limited

budget ( beyond

salaries and legal

requirements) to

cover minimal

activities .

There is adequate

budget ( beyond

salaries and legal

requirements)

that is not

consistently

applied across the

organization.

There is adequate

budget ( beyond

salaries and legal

requirements)

that is

consistently

applied across the

organization.

Comments:


27/54



HR Data and Personnel Files

Q1. Is HR data documented?

1 2 3 4 Score

HR data is not

documented.

Some HR data


regularly

updated.

HR data is

documented,

regularly

updated, and

used to support

HR planning.

HR data is

accurate,

complete and

regularly updated

to facilitate HR

planning, policy

formulation, and

to ensure

statutory

compliance.

Comments:

Q2: Does the organisation maintain personnel files?

1 2 3 4 Score

Personnel files do

not exist.

Some personnel

files exist but they

are not regularlyupdated.

Personnel files for

all staff exist and

are occasionallyupdated as no

maintenance

schedule exists.

Personnel files for

all staff are

regularly updatedand used to

support decisions

on training,

transfer,

promotions,

leave, salary

progression,

among others.

Comments:


28/54



Staff Training and Development

Q1: Does the organisation invest in training to strengthen staff capacity?

1 2 3 4 Score

There is no

established

training strategy

and plan.

Training is offered

on an ad-hoc

basis but is not

based on

systematic

assessment of

training needs.

Training is a

formal

component of

HRM functions

and linked to staff

and

organisational

needs.

Training is part

and parcel of the

organisations

strategic plan.

Annual budget is

allocated to

upgrade

employee job

skills, improve

performance, and

ensureachievement of

set objectives

and targets.

Comments:

Q2: Does the organisation have in place a change management and leadership development

programme?

1 2 3 4 Score

There is no

established

program for

developing

management

capacity and

leadership skills.

Management and

leadership

programs exist

but no proper

identification and

implementation

plan.

Formal

management and

leadership

program exists

including a proper

mechanism for

on-the-job

coaching and

mentoring.

Formal change

management and

leadership

training program

is linked to the

organisations

succession plan to

develop change

champions.

Comments:


29/54



Performance Management

Q1. Does the organisation have a functional staff supervision mechanism?

1 2 3 4 Score

Lines of authority

and supervision

are not clearly

defined.

Supervision

support is left at

the discretion of

individual line

managers.

Supervisors are

oriented and a

system for staff

supervision and

support exists.

Compliance is

however not fully

enforced.

Supervisors

create positive

work

environment,

manage conflict,

build effective

teamwork, and

ensure that work

unit goals and

objectives are

achieved. Staffsupport and

supervision

system is adhered

to by managers.

Comments:

Q2: Does the organisation conduct regular performance appraisal for staff?

1 2 3 4 Score

There is no formal

performance

planning and

review system in

place.

There is a non-

participatory

performance

appraisal system.

There is a formal

system where

supervisor and

employee agree

on work plan and

also meet to

review

performance.

There is a formal

system in which

supervisor and

employee jointly

agree on work

plan.

Performance

reviews

incorporates 360

degree feedback

and is used for

making HR

decisions and

developing staff

capacity.

Comments:


30/54



Salaries and Benefits

Q1: Does the organisation have a consistent and equitable salary and benefits structure?

1 2 3 4 Score

No formal

structure for

setting staff

salaries and

benefits exists.

Formal structure


informed by the

current market

information.

Formal salary

structure exists, it

is informed by

market rates but

it is not fully

implemented.

Formal structure

for consistent and

equitable salary

and benefits

informed by

market-based

salary surveys is

in place and

followed.

Comments:


31/54



Category 6: Communication, Information &

Records Management

Strategy and Planning

Q1: Does the organisation have and implement a communications policy and strategy?

1 2 3 4 Score

No

communication

policy and

strategy exists.

A documented

communication

policy and

strategy exists

but it needs to be

updated; theywere developed

over five years

ago.

An up-to-date

communication

policy and

strategy exists

but they are not

being usedconsistently.

An up-to-date

communication

policy and

strategy exists

and are being

used consistently.

Comments:

Q2: Does the organisation have an appropriate communication staffing arrangement?

1 2 3 4 Score

No staff assigned

the

communication

function.

There is a staff

member assigned

partial

responsibility for

communication

function.

There is one staff

member assigned

full time

responsibility for

the

communication

function

There is a fully

fledged

communication

function with

more than one

full time staff.

Comments:


32/54



Publications Branding and Marking

Q1: Does the organisation have a documented publications branding, marking and production plan

(including specifications)?

1 2 3 4 Score

The organisation

does not have a

documented

publications

branding, marking

and production

plan.

A documented

branding, marking

and production

plan exists but it

is out of date

because it was

developed more

than five years

ago.

An up-to-date

branding, marking

and production

plan exists but it

is not used

consistently.

An up-to-date

branding, marking

and production

plan exists and is

consistently used.

Comments:

Q2: Are the organisational publications produced and disseminated regularly and on time?

1 2 3 4 Score

No organizational

publication has

ever beenproduced.

Occasionally

publications are

produced.

Most of the time

but with

challenges onregular and

timely

dissemination.

Publications are

produced

regularly andaccording to the

schedule and

disseminated

appropriately.

Comments:


33/54



Internal Communications Management

Q1: Does the organisation have an operational plan for internal communication?

1 2 3 4 Score

No plan for

internal

communication

exists.

An incomplete

internal

communication

plan exists.

A complete

internal

communication

plan exists but it

is not fully

operational.

Yes, the

organisation has

and is using an

up-to-date and

fully operational

internal

communication

plan.

Comments:

Q2: How do staff members provide feedback and make suggestions about the organisation?

1 2 3 4 Score

There is no

mechanism for

collecting staff

suggestions and

providingfeedback.

There is one

mechanism for

collecting staff

suggestions but

no feedbackmechanism.

There is more

than one

mechanism for

collecting staff

suggestions withoccasional

feedback.

There are many

mechanisms

including a

suggestion box,

meetings,Intranet, open

door policy, and

staff newsletter,

among others

with regular

feedback.

Comments:


34/54



Q3: Is there an internal communication function within the organization ?

1 2 3 4 Score

There are no staff

specifically

assigned tomanage internal

communication.

There is assigned

partial

responsibilities oninternal

communication.

There is a full-

time staff

assigned toperform internal

communication.

There is a full-

time function

with more thanone officer

assigned on

internal

communication.

Comments:

ICT and New Media Systems

Q1: Does the organisation have relevant strategy and policy to maximize the potential of ICT and

new media systems?

1 2 3 4 Score

No policy or

strategy exists.

A documented

policy or strategy

exists but it

requires

updating.

An up-to-date

documented

policy and

strategy exists

but it is not usedconsistently.

An up-to-date

documented

policy and

strategy exists

and it isconsistently used.

Comments:

Q2: Does the organisation maintain a functional and updated intranet and website?

1 2 3 4 Score

No Intranet orwebsite exists.

The organisationhas a website but

no intranet.

The organisationhas both website

and intranet but

either of them

requires

improvement.

There arefunctional up-to-

date intranet and

website; staff use

and trust them.

Comments:


35/54



Q3: Does the organisation employ social media for both internal and external communication?

1 2 3 4 Score

No social media is

used for internal

or externalcommunication.

One social media

tool is used (e.g.,

Facebook orTwitter only).

The organisation

uses at least two

social mediatools.

Multiple (three or

more) social

media tools areused (e.g. Twitter,

RSS, Facebook,

YouTube, Flickr,

etc).

Comments:

Public Relations

Q1: Does the organisation have and implement a comprehensive public relations plan (covering all

the public sectors such as government, donors, community, beneficiaries, and media)?

1 2 3 4 Score

There is no public

relations plan.

An incomplete

public relations

plan exists.

There is a current

public relations

plan but it is not

consistently used.

There is a current

public relations

plan which is

implemented

fully by a publicrelations officer

working on a full-

time basis.

Comments:


36/54



Records Management and Documentation

Q1: Does the organisation have an operational institutional records management and

documentation policy?

1 2 3 4 Score

No records

management and

documentation

policy exists.

A documented

but incomplete

records

management and

documentation

policy exists.

A documented,

up-to-date

records

management

policy exists but it

is not used

consistently.

A documented,

up-to-date

records

management

policy exists and

it is used

consistently.

Comments:

Q2: Does the organisation have an institutional facility (digital or physical) for storing and sharing

records, documents, etc.

1 2 3 4 Score

No facility exists

for storing and

sharing records,

documents.

A facility exists on

either digital or

physical platform

only.

A facility exists on

both digital and

physical

platforms.

A facility exists for

storing and

sharing records,

documents, etc.,on both digital

and physical

platforms and is

managed by a

professional.

Comments:


37/54



Category 7: Project Management

Project Design, Initiation and Planning

Q1: Are the organisation's project informed by needs assessments?

1 2 3 4 Score

Organisation does

not conduct

needs

assessments.

Organisation

relies on

secondary,

unverified

sources for needs

assessment.

Findings hardly

inform theproject design at

all.

Organisation

conducts needs

assessment but

the findings dont

consistently

inform the

project design.

Organisation

conducts needs

assessments and

the findings

consistently

inform the

project design.

Comments:

Q2: Are the staff familiar with the organisation's contractual obligations to donors?

1 2 3 4 ScoreThere is no

mechanism to

orient staff on

contractual

obligations with

donors.

There is unclear

mechanism to

orient staff on

contractual

obligations with

donors.

There is a

mechanism to

orient staff on

contractual

obligations with

donors but it is

not consistently

applied.

Clear mechanisms

to orient staff on

contractual

obligations with

donors exist and

is consistently

applied.

Comments:


38/54



Q3: Does the organisation have project work planning processes?

1 2 3 4 Score

Organisation does

not conduct

institutionalisedproject planning

process.

Organisation has

unclear project

work planningprocess.

Organisation has

clear work

planningprocesses but not

consistently

applied.

Organisation has

clear and

consistentlyapplied work

planning

processes.

Comments:

Q4: Does the project have a documented and operational risk plan?

1 2 3 4 Score

No documented

risk plan

Risk plan exists

but it is not

complete (lacks

mitigation plans)

Risk plan exists,

and is not

consistently

implemented.

Risk plan exists,

but consistently

implemented,

monitored and

information used

for decision

making.

Comments:


39/54



Project Execution or Implementation

Q1: Has the organisation put in place technical program management tools, such as work plan,

budget and program reporting tools?

1 2 3 4 Score

No technical

program

management

tools exist.

Technical

program

management

tools in place but

are not

comprehensive.

Technical

program tools

meet the

required

standards, but are

not consistently

adhered to.

Technical

program

management

tools such as

work plan, budget

and project

reporting meet

the required

standards, and

are consistentlyadhered to.

Comments:

Q2: Does the organisation involve the GOK structures and communities in the implementation of

programs?

1 2 3 4 ScoreThe organisation

does not involve

the GOK

structures, and

communities in

program

implementation.

The organisation

involves either

the GOK

structures or

communities in

program

implementation.

The organisation

involves both the

GOK structures

and communities

in

implementation

of programs but

their participation

is passive.

The organisation

involves both the

GOK structures

and communities

in the

implementation

of programs and

they are actively

participating.

Comments:


40/54



Q3: Does the organisation conduct internal and external program review meetings?

1 2 3 4 Score

Program review

meetings are not

conducted.

The organisation

only conducts

internal programreview meetings.

The organisation

conducts both

internal andexternal review

meetings. The

information is

however not fully

used for decision

making.

The organisation

conducts both

internal andexternal review

meeting,

information is

fully and

consistently used

for decision

making.

Comments:

Project Close Out

Q1: Does the organisation prepare close-out plans?

1 2 3 4 Score

Close-out plans

are not prepared.

Close-out plans

are incomplete.

Close-out plans

are prepared but

not consistentlyapplied and

communicated.

Close-out plans

are prepared ,

consistentlyapplied ,

communicated

and monitored.

Comments:


41/54



Category 8: Advocacy, Networking & Alliance

Building

Advocacy

Q1: Does the organisation have a skilled advocacy team or focal point?

1 2 3 4 Score

None of the

organisation's

staff has been

trained in

advocacy or has

experience inadvocacy

programming.

Staff understands

a few concepts

associated with

advocacy and

have limited

exposure toadvocacy

programming.

The organisation

has staff

experienced in

advocacy

programming

includingadvocacy skills

building but has

not engaged in

advocacy

mentorship.

The organisation

has experienced

staff in advocacy

programming

including

advocacy skillscapacity building

and mentorship

to partner

organisations and

stakeholders.

Comments:

Q2: Does the organisation have an updated advocacy strategy and programme?

1 2 3 4 Score

The organisation

has neither an

advocacy strategy

nor program.

The organisation

is in the process

of developing an

advocacy

strategy. Initial

drafts exist.

Advocacy

programming isconducted on an

ad hoc basis or

guided only by

identified needs

and objectives.

The organisation

has an advocacy

strategy in place.

It is, however, not

comprehensive

and updated. An

advocacy

portfolio exists.

The organisation

has an advocacy

portfolio, a

comprehensive

and regularly

updated advocacy

strategy.

Comments:


42/54



Q3: Does the organisation engage in a evidence based advocacy ?

1 2 3 4 Score

The organisation

does not conduct

governmentpolicy analysis to

inform advocacy

programming.

Evidence-based

advocacy is

lacking.

The organisation

implements

advocacy effortsbut not always

conducting a

government

policy gap

analysis and being

informed by the

available

evidence.

The organisation

conducts a policy

analysis,examines

available

evidence for

advocacy and

carries out

advocacy efforts

aimed at

implementing

government

policies or urging

their formulation.

The organisation

not only conducts

a policy analysisand calls for their

implementation

or formulation

based on

evidence, but

actively

participates in

actual policy

formulation.

Comments:

Networking and Alliance Building

Q1: To what extent does the organisation participate in networking forums ?

1 2 3 4 Score

The organisation

does not

participate in any

networking

forum.

The organisation

is only exposed to

a few networking

opportunities.

The organisation

is exposed to

many networking

opportunities.

Networking is

mainly with

affiliates and

sometimes does

not meet the

needs and

aspirations of the

organisation

The organisation

is exposed to

many networking

opportunities

beyond affiliates

to include diverse

stakeholders. The

networking meets

the needs and

aspirations of the

organisation.

Comments:


43/54



Q2: How experienced is the organisation in building alliances and convening advocacy initiatives?

1 2 3 4 Score

The organisation

has never

participated inthe founding of

any alliance or

convening

advocacy

initiatives. It has

never served as a

secretariat of any

advocacy alliance

or mentored its

affiliates.

The organisation

has participated

in establishingalliances. It has

been involved in

convening

specific advocacy

events on behalf

of the alliance but

has not mentored

affiliates.

The organisation

has had a lead

role in facilitatingthe founding of

an alliance(s). It

plays

coordination

role(s). Has

conducted

trainings without

a mentorship

component.

The organisation

has had a lead

role in facilitatingthe founding of

an alliance(s). It

plays

coordination

role(s) and

conducts

mentorship to

affiliates.

Comments:

Q3: Does the organisation have a networking budget?

1 2 3 4 Score

The organisation

does not have a

networking

budget.

The organisation

does not have a

networking

budget but

utilizes activity

funds from other

projects.

The organisation

has a networking

budget but is

however limited

to a few

networking and

alliance building

activities.

The organisation

has adequate

networking

budget that fully

caters for

networking and

alliance building

needs.

Comments:


44/54



Category 9: Institutional Strengthening

Organisations IS Capacity

Q1: Is there an organisational strategy or plan for the CSO's institutional strengthening, including

those of its affiliates?

1 2 3 4 Score

No IS strategy or

plan exists.

Incomplete

strategy or plan

exists.

Organisational IS

strategy or plan

exists but not

consistently used.

The organisation

has a complete

organisational IS

plan that includes

its IS vision, role

of change leaders

timeframe and abudget and is

consistently used.

Comments:

Q2: Is the institutional strengthening strategy or plan operational?

1 2 3 4 ScoreIS strategy is not

operational.

Individualised

attempts to

operationalise the

IS strategy.

Formal process

but inconsistent

attempts to

follow through on

the IS strategy.

IS strategy fully

operational and

mainstreamed in

organisations

work.

Comments:

Q3:Does the organisation have a budget for IS activities?

1 2 3 4 Score

No allocation of

funds for IS

activities.

Irregular

allocation of

budget for IS.

Regular allocation

of budget for IS

and adequate

budget to meet

the IS needs.

Regular allocation

of budget for IS

but inadequate to

meet the IS

needs.

Comments:


45/54



Affiliates IS Support Environment

Q1: Does the organisation conduct capacity assessment for its affiliates?

1 2 3 4 Score

Capacity

assessment for

affiliates is not

done.

Capacity

assessment of

affiliates is

irregular, not

comprehensive or

systematic.

Capacity

assessment of

affiliates is

regularly done

but it is not

comprehensive or

fully systematic.

Capacity

assessment of

affiliates is

regularly done

and is

comprehensive

and systematic.

Comments:

Q2: Does the organisation have a set of tools, resources for affiliates IS?

1 2 3 4 Score

The organisation

has no resources

or materials and

tools for IS.

Some resources,

tools, and

materials exists

but are not

customised to

meet affiliateneeds.

Significant

resources, tools

and materials

exists and are

almost fully

customised tomeet affiliate

needs.

There is an array

of affiliate-

tailored standard

tools, resources,

and materials for

capacity building.

Comments:

Q3: Is the CSO staff capacity to address the IS needs of affiliates identified ?

1 2 3 4 ScoreCapacity of CSO

staff to address IS

needs of affiliates

unknown .

Ad hoc informal

attempts to

gauge capacity of

CSO staff to

address IS needs

of affiliates.

Incomplete

process to gauge

capacity of CSO

staff to address IS

needs of

affiliates.

Professional

measure to gauge

and respond to

staff capacity to

address IS needs

of affiliates exists.

Comments:


46/54



Category 10: Monitoring & Evaluation,

Reporting & Knowledge Management

M&E Planning

Q1: Is there a monitoring, evaluation, and reporting plan?

1 2 3 4 Score

No M&E plan(s)

are in place.

An M&E plan(s)

are in place,

however it lacks

some key

elements.

There is an M&E

plan in place, with

clear indicators

and definitions;

however, it is not

consistentlyadhered to.

There is a

complete M&E

plan in place, with

clear indicators

and definitions,

baselinemeasures,

targets,

frequency of data

collection, data

sources, and

responsibilities; it

is fully used and

approved by the

donor.

Comments:

Q2: Is there an M&E operations manual in place?

1 2 3 4 Score

There are no

M&E operations

manual in place.

An M&E

operations

manual is in

place; however, itis incomplete as it

lacks the key

elements.

A comprehensive

M&E operations

manual is in

place, however itis not consistently

adhered to.

There is a

complete M&E

operations

manual in place,which is

consistently

adhered to and

regularly

updated.

Comments:


47/54



Q3: Is there an M&E action plan and a budget?

1 2 3 4 Score

No M&E budget

exists no M&E

action plan.

There is either an

M&E budget or

M&E action Plan.

There is an M&E

budget and M&E

action plan butnot adhered to.

There is an M&E

budget and an

action plan and itis consistently

adhered to.

Comments:

Q4: Are there M&E staff with relevant competence and clearly assigned responsibilities?

1 2 3 4 Score

The organisation

has no assignedM&E staff.

The organisation

has staff memberassigned partial

M&E

responsibilities

with limited

competence.

The organisation

has a full-timeM&E staff with

relevant

competence and

clear

responsibilities.

The organisation

has fully fledgedM&E function

with more than

one competent

staff with clear

responsibilities.

Comments:

Data Collection and Management

Q1: Are there relevant data collection tools?

1 2 3 4 Score

No data collection

tools exist.

There are data

collection tools

which are not

adequate in

measuring all

program or

project indicators

and are not

consistently used.

There exist data

collection tools

which are

adequate in

measuring all

program or

project indicators

but they are not

consistently used.

There are data

collection tools

which are

adequate in

measuring all

program or

project indicators,

which are

consistently used

and are

harmonized with

the relevant

national tools.

Comments:


48/54



Q2: Is data collected on routine basis or as stipulated in the M&E plan or PMP or log frame?

1 2 3 4 Score

Data is not

collected.

Data is collected

but not as

stipulated in theM&E plan or PMP

or log frame.

Data is collected

as stipulated

M&E plan or PMPor log framebut

not consistently.

Data is collected

as stipulated

M&E plan or PMPor log frame and

is done

consistently.

Comments:

Q3: Is there a data management system (e.g. database) (Manual or computerised)?

1 2 3 4 Score

A data

management

system does not

exist (manual or

computerised).

A data

management

system exists but

it is not routinely

updated.

Data

management

system exists and

is routinely

updated but no

ease of retrieval.

Data

management

system exists and

is routinely

updated and

provides ease of

retrieval.

Comments:

Data Analysis and Use

Q1: Is data analysed?

1 2 3 4 Score

Data analysis is

not done.

Data analysis is

partially done.

Data is

systematicallyanalysed but not

regularly.

Data is

systematicallyand regularly

analysed .

Comments:


49/54



Q2: Is data used for decision making?

1 2 3 4 Score

Data is not used

for decision

making.

Data is partially

used for decision

making at projectlevel.

Data is used for

decision making

at project leveland institutional

level but not

consistently.

Data is used

consistently for

decision makingat all project and

institutional level.

Comments:

Data Quality

Q1: Are data quality checks conducted at all levels of the data flow cycle on routine basis?

1 2 3 4 Score

Data quality

checks are not

done.

Data quality

checks are done

but not in an

appropriate way

or on a routine

basis and

feedback is notprovided to the

source.

Data quality

checks are done

in an appropriate

way and on a

routine basis but

feedback is not

provided to thesource.

Data quality

checks are done

in an appropriate

way and on a

routine basis at

all levels of the

data flow cycle,and feedback is

provided to the

source sites

including sub-

reporting entities.

Comments:


50/54



Q2: Is periodic data quality assessment or audit conducted?

1 2 3 4 Score

Data quality audit

or assessment is

not done.

Data quality audit

or assessment is

done but notcorrectly or in an

appropriate

manner, not on a

regular basis and

there is no

mechanism to

address the

challenges.

Data quality audit

or assessment is

done correctlyand in an

appropriate

manner as well as

regularly but

there is no

mechanism to

address the

challenges.

Data quality audit

is done correctly

and in anappropriate

manner and

regularly,

challenges are

identified and

mechanisms are

put in place to

address the

challenges.

Comments:

Project Reporting

Q1: Does the organisation produce project reports as required?

1 2 3 4 Score

The organisationdoes not produce

project reports as

required.

The organisationproduces reports

that are

incomplete and

not timely but

only as a donor

requirement and

does not

implement

feedback from

recipients.

The organisationproduces

complete and

timely reports

and as per donor

requirements but

does not

implement

feedback from

recipients.

The organisationproduces reports

regularly, timely

and as required

and implements

feedback from

recipients.

Comments:


51/54



Q2: Is the reporting system linked to the national reporting system?

1 2 3 4 Score

Reporting system

is not linked to

the nationalreporting system.

Reporting is

linked to the

national reportingsystem but

reporting is not

done.

Reporting system

of the program or

project is linkedto the national

reporting system

and reporting is

done but not

regularly or on

schedule.

The reporting

system of the

program orproject is linked

to the national

reporting system

and reporting is

done regularly

and on schedule.

Comments:

Knowledge Management

Q1: Does the organisation produce and document lessons learned, best practices and success

stories?

1 2 3 4 Score

The organisation

does not produce

and documentbest practices or

success stories.

The organisation

produces reports

and documentsbest practices or

success stories

but they are

below expected

standard (not

appropriate) and

not shared with

relevant

stakeholders.

The organisation

produces and

documentsappropriate best

practices or

success stories

regularly but does

not share them

with relevant

stakeholders.

The organisation

produces and

documentsappropriate

success stories or

case studies and

consistently

shares with

relevant

stakeholders.

Comments:


52/54



Q2: Are project reports and knowledge products shared internally and externally?

1 2 3 4 Score

Project reports

and knowledge

products are notshared.

Sharing of reports

and knowledge

products is onlydone with the

donor but not

internally and to

other project

stakeholders.

Sharing of reports

and knowledge

products is donewith the donors

and internally but

no sharing with

other

stakeholders.

Sharing of reports

and knowledge

products is donewith the donors,

internally and

with other

stakeholders

including the

beneficiaries.

Comments:

Q3: Are project evaluations conducted according to M&E plan?

1 2 3 4 Score

Project

evaluations are

not done.

Project

evaluations are

done but not

according to M&E

plan.

Project

evaluations are

done according to

M&E plan but

findings not

disseminated.

Project

evaluations are

done according to

M&E plan and

findings are

disseminated.

Comments:


53/54



M&E Oversight and Supervision of Sub Reporting Entities

Q1: Is there an operational M&E supportive supervision mechanism in place?

1 2 3 4 Score

An M&E

supportive

supervision

mechanism does

not exist.

There is a plan for

M&E supportive

supervision plan

which is not

operational.

There is an

operational M&E

supportive

supervision

mechanism in

place but it is not

adhered to or

followed

consistently.

There is a

documented and

operational M&E

supportive

supervision

mechanism in

place.

Comments:

Q2: Is there a plan for ongoing training or capacity building for M&E staff?

1 2 3 4 Score

No training and

capacity building

plan exists for

M&E staff.

M&E training and

capacity building

is done in an ad

hoc manner anddoes not meet

acceptable

standards.

There is an M&E

training and

capacity building

plan which is notconsistently

adhered to.

There is a training

and capacity

building plan for

M&E staff whichis consistently

adhered to.

Comments:


54/54


Q3: Does the organisation conduct M&E capacity assessment for affiliates?

1 2 3 4 Score

M&E capacity

assessment for

affiliates is notdone.

M&E capacity

assessment of

affiliates is notcomprehensively

done and is not

systematic.

M&E capacity of

affiliates is

comprehensivelyassessed, but no

mechanism is in

place to address

capacity gaps.

There is a

mechanism to

assess the M&Ecapacity of

reporting entities,

identify areas of

capacity building

and capacity

building plan is

put up and

adhered to.

Comments:

ocat self assessment tool

Documents