simple capacity assessment tool and capacity grid

7/31/2019 Simple Capacity Assessment Tool and Capacity Grid

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Simple Capacity Assessment Tool

Below are two examples of tools that can be helpful in assessing capacity gaps and how to moveforward with a capacity building program to combat trafficking in persons:

The Simple Capacity Assessment Tool (SCAT)

A Simple Capacity Assessment Tool (SCAT)Zameer Noorali

The application of this organizational capacity assessment tool requires broad participation by

the organization that wishes to employ it. The Simple Capacity Assessment Tool (SCAT) hasbeen developed to 1) provide support organizations with procedures for assessing the

organizational capacity of potential partners; and, 2) provide a process through which relevant,context specific indicators can be developed in a collaborative manner. A support organization

working with the SCAT will identify appropriate indicators, develop an appropriate scoringnomenclature, and begin to develop a strategy for implementing a program of organizational

capacity assessments.

The SCAT includes seven organizational categories (e.g. Governance, Management Practices)which are further broken down into sub-components (e.g.. Board, Organizational Structure). For

each sub-component, criteria of organizational capacity or performance are developed incollaboration with staff from the organization that is being assessed. Support organizations can

help facilitate this process.

One illustrative example of performance criteria has been provided for each sub-component.Additional space has been provided for criteria that will be developed in the process of working

with the SCAT. When developing criteria, the following rules should be observed:

Present only one concept or attribute at a time. Criteria that have multiple attributespresent real problems during validation. For example, "strategies are realistic in the

context of the NGO's activities and can be translated into clear program objectives"should be presented as two separate criteria.

Follow polarity. All criterion should follow the same parallel structure so that a yesresponse is registered as uniformly desirable or uniformly undesirable. The same rule

holds true when you are using scaled responses such as 1=nascent, 2=emerging,3=expanding, 4=mature.

Develop neutral criteria. Avoid adjectives and adverbs such as "excellent" or "always,"which can make it impossible to rate organizational capacities as either very strong or

very weak. Criteria should be written in a neutral way so that the scoring method youselect has full value.

Develop organization-centered criteria. The assessment tool will be validated throughdata sources made available by the organization being assessed. For example, validation

of "the organization is seen as a full and credible partner by the government" wouldrequire consulting government sources. This is beyond the scope of this type of


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organizational capacity assessment. Separate sets of tools, however, can and should bedeveloped to pursue these external perspectives.

A rating scale of 1 through 4 (1=nascent; 2=emerging; 3=expanding; 4=mature) is used in the

SCAT. Scoring should be assigned to sub-components. To calculate average scores by major

category, sum all scores (elements) under each category and divide by the number of elements.Write the results in the category box provided next to the category heading.Support organizations should consider the following points before finalizing their own capacity

assessment tool:

1. Purpose of Evaluation: Identify the purpose(s) particular to this assessment.

2. Team Composition: Select an assessment team to include people who know the organizationand who will be in a position to carry out some of the recommendations that result from the

assessment. Also select people who are external to the organization and can bring objectivity andan independent perspective to the situation. One member of the team should have some expertise

in management and organizational development. It may be useful to include as many people onthe team as the management deems necessary, either because of their knowledge of the

organization or because of their need to be educated about its strengths and weaknesses. Arepresentative mix of management functions or divisions of the organization should be included,

as well as representatives of the membership or constituency served by the organization.

3. Identify Information Sources: Identify internal and external information sources andschedule individual interviews, group meetings and data collection sessions to gather

information. Determine who on the assessment team will interview the information sources andwho will be responsible for collecting data. Meeting with small groups of constituents, members

and staff representatives in focus groups (discussion groups) -- where a small group ofrespondents is guided by a facilitator into responding to questions at increasing levels of focus

and depth -- is an efficient way of gathering valuable information.

4. Interviews: Conduct interviews, meetings and data collection sessions according to a schedulethat has been submitted to respondents in advance. Each interview session should commence

with an explanation about the purposes of the assessment and the uses that will be made of theinformation. Specifically emphasize when the information source(s) will receive assessment

results and their involvement in the utilization of the information.Information should be gathered and recommendations presented in a way that emphasizes that

the organization being assessed is not being judged against an absolute set of standards as theonly form an organization can take. Rather, it is important to remind respondents that the

functions and factors being offered for comparative purposes are suggestions about possibleways of doing things that are derived from extensive experience in managing organizations in a

multiplicity of environments.

5. Developing Recommendations: The assessment team should be prepared to developrecommendations on how the organization can best address the issues identified in the

assessment and how to build upon the strengths highlighted.


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6. Transparency: Recommendations should be discussed with organization management andfront-line workers, not just those members of the organization who have participated in the

assessment.

Capacity Assessment Tool

Name of Organization: ________________________

Date of 1st Assessment: Conducted by:

Date of 2nd Assessment: Conducted by:

Date of 3rd Assessment: Conducted by:

Date of 4th Assessment: Conducted by:

Scoring: 1 = Nascent; 2 = Emerging; 3 = Expanding; 4 = Mature

1st 2nd 3rd 4th

Assess Assess Assess Assess

A. Governance

1. Board

a. Board provides appropriate level of institutional oversight.

b.

c.

2. Mission, Goals and Philosophy

a. Organization's mission is well defined.

b.

c.

3. Executive Leadership

a. Executive leadership has a clear vision of organization's mission.

b.

c.

4. Legal Status

a. Documentation related to legal status is in order.

b.


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c.

B. Management Practices

1. Organizational Structure

a. Lines of authority facilitate agile decision-making.

b.

c.

2. Information Systems

a. Timely information is available to support decision-making.

b.

c.

3. Administrative Procedures

a. Administrative tasks are systematized.

b.

c.

4. Planning

a. Organization develops operational plans that guide action.

b.

5. Program Development

a. Baseline data collected by organization guides program.

b.

c.

6. Program Reporting

a. Program reports accurately reflect strengths and weaknesses.

b.

c.

C. Human Resources


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1. Personnel Management

a. Program is in place to facilitate staff development.

b.

c.

2. Diversity Issues

a. Organization's work force is diverse.

b.

c.

3. Supervisory Practices

a. Supervisory practices facilitate staff growth and development.

b.

c.

4. Salary and Benefits

a. Salary and benefits are sufficient to retain skilled staff.

b.

c.

D. Financial Resources

1. Accounting

a. Accounting practices yield accurate financial data.

b.

c.

2. Budgeting

a. Budget process is integrated with program planning.

b.

c.

3. Financial/Inventory Controls

a. Independent audits are an integral part of the financial control

system.


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b.

c.

4. Financial Reporting

a. Financial reporting is timely.

b.

c.

E. Service Delivery

1. Sectoral Expertise

a. Organization has the experience necessary to accomplish its

mission.

b.

c.

2. Constituency Ownership

a. Stakeholders influence service delivery.

b.

c.

3. M&E Systems

a. Project implementation is monitored against benchmarks.

b.

c.

F. External Relations

1. Constituency Relations

a. Organization regards its constituency as a full partner.

b.

c.

3. Government Relations

a. Organization has mechanisms in place to influence relevant

government policies


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b.

c.

4. Donor Relations

a. Organization has practices and procedures for recognizingdonors.

b.

c.

5. Public Relations

a. Organization uses multiple channels for attracting support.

a.

b.

6. MediaRelations

a. Organization maintains diverse contacts with media outlets.

b.

c.

G. Partnering

1. Intra-sectoral partnering

a. Organizations engage in intra-sectoral partnerships to further

mission.

b.

c.

2. Inter-sectoral partnering

a. Organizations engage in inter-sectoral partnerships to further

mission.

b.

c.


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Capacity Assessment GridPlease fill out the grid below. It contains questions in connection with the structural, functionaland managerial circumstances of your organization.

1 Nascent

2 Emerging3 Expanding4 Mature

1 2 3 4

1. Board provides appropriate level of institutional oversight2. Board maintains financial resources.3. Board frequently receives comments from the constituencies concerning the social impact

of the programs.

4. The mission of the organization is well defined.5. The most important goals of the organization are listed in its PR materials (web site,

interviews, flyers, brochures etc).

6. Stakeholders influence service delivery.7. The organization frequently informs its constituencies about latest developments, ongoing

programs, new opportunities etc.

8. Board provides constituencies with opportunities for feedback in connection with ongoingprograms.

9. Organization performs advocacy for its constituencies.10.Organization employs civil servants.11.Organization deploys needs assessment tests before their new programs.12. The new programs are implemented according to well-defined work plans.

13.At the implementation of programs other projects delivered by different actors (civic orgovernmental) are also taken into account.

14.Lines of authority facilitate agile decision-making.15.Organization applies Code of Conduct.16.Organization develops operational plans that guide action17.Regular meetings for those working on the same project.


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18.Teamwork is the general method of work at the organization.19.Streamline of flow of information in the organization.20.Colleagues often share their suggestions about new programs with the responsible unit.21. Well defined salary scale in the organization.

22.Salary and benefits are sufficient to retain educated staff.23.Administration of financial affaires (donor reports, annual accounts, fundraising etc.) in

the organization.

24. Different fields of management (fundraising, HR, PR, administration etc) are well

detached from one another.

25.Stakeholders influence service delivery.26. The organization has all the means to reach constituencies and to learn their opinion about

their activities.

26.Satisfied with the decision-making skills of employees in the organization.28.Well structured system for the measurement of the social impact of the programs.29.New programs are identified and developed according to the results and experiences of

earlier programs.

30.Volunteers also offer their services to the organization.31.Volunteers working for the organization are encouraged to share their thoughts about the

programs of the organization.

32.Organization participates in joint programs with other local and external partnerorganizations.

33.The organization is considered well known among other actors in the same field ofactivity.

34.The media requests the organization to evaluate certain relevant issues.35.The organization can make use of the possibilities provided by the media in articulating

information to clients.

36.The organization has long term plans.37.Someone at the organization has expertise in fundraising.38.The organization provides services for fee too.

simple capacity assessment tool and capacity grid

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