Org Capacity Tool new (Excel) by xuyuzhu


									Seeds of Change Initiative
Organizational Capacity Assessment Tool 1

The Organizational Capacity Assessment Tool is a self-assessment instrument that helps organizations identify capacity
strengths and challenges and establish capacity building goals. As such, it is primarily a diagnostic and learning tool. Results
from the Assessment will help Heifer International's U.S. Program deepen its understanding of the current capacity of its
grantees as well as track their growth in capacity over time.

You will be rating your organization on a variety of capacity elements. The capacity elements are clustered into four
dimensions of organizational capacity 2:
1. Leadership Capacity - the ability of organizational leaders to inspire, prioritize, make decisions, provide direction, and
2. Adaptive Capacity - the ability of the organization to monitor, assess, and respond to internal and external changes

3. Management Capacity - the ability of the organization to ensure the effective and efficient use of organizational resources

4. Operational Capacity3 - the ability of the organization to implement key organizational and programmatic functions

Who Should Complete the Assessment?
The Assessment is intended for self-guided use by organizations. The Executive Director/Chief Executive Officer and Board
President should first complete the Assessment individually. Many organizations will find it useful to have other staff, board
members, and/or constituents complete the Assessment as well. Upon completing the Assessment on an individual basis,
participants should gather to discuss their ratings and reach consensus on one set of ratings that best represents the
organization; this set of ratings is the one that should be submitted on behalf of your organization. Completing the
Assessment using a team approach both improves validity and reduces individual biases. This process also serves as a
catalyst for key people to engage in rich conversation about the organization.

Instructions for Completing the Assessment
This workbook contains eight separate worksheets -- one worksheet for each dimension of organizational capacity and
additional worksheets for these instructions, general information about your organization and persons involved with the
Assessment, a summary table, and a summary chart. You should see the various worksheet tabs at the bottom of the
screen; click on the tabs to view each worksheet.

To print multiple worksheets at once, press and hold the CTRL key while clicking on each of the worksheet tabs at the bottom
of the screen. After you have selected the worksheets you want to print, press CTRL-P or select the printer icon. When
finished, right-click on any one of the selected worksheet tabs, and select "Ungroup Sheets".

Step One: Rate Your Organization

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For each capacity element (on worksheets 1-4), identify the description that best describes your organization's status or
performance. You are likely to discover that, with some elements, your organization will not fully match any of the
descriptions; in these instances, simply identify the description that is most suitable for your organization. Your honestly is
essential. It is better to underestimate than overestimate your organization’s capacity. With an accurate portrait of the
capacity of its grantees, Heifer USA will be better equipped to provide appropriate assistance in the most critical areas.

To input your selections, select the yellow cell to the right of each capacity element. Then select the down arrow and choose
from the list that appears. If a capacity element does not apply to your organization (e.g., some organizations do not have
revenue generation activities nor the intention to create them), select "N/A". Please provide a capacity rating (or select
"N/A") for each capacity element, as failing to do so will impact your summary scores.

A section for comments about your ratings is included at the bottom of each capacity dimension worksheet.

Step Two: Select Priority Capacity Elements
The Assessment includes 59 capacity elements. On the Summary Table worksheet, you will notice a "priority" column. Use
this column to indicate the four capacity elements your organization is most interested in strengthening in the next one to two

For Additional Information
If you have questions, please contact:
1 (501) 907-8877

Please proceed to the General Information Worksheet to begin.
1 This Organizational Capacity Assessment Tool comes via the Marguerite Casey Foundation, which is a derivative product of the
Capacity Assessment Grid created by McKinsey and Company for Venture Philanthropy Partners (, and published in
Effective Capacity Building in Nonprofit Organizations (2001). It was modified, reorganized, and assembled in electronic format for the
Marguerite Casey Foundation ( by Blueprint Research & Design, Inc. (

2 As delineated by The Conservation Company: Connolly, P. & York, P. Building the Capacity of Capacity Builders: A Study of
Management Support and Field-building Organizations in the Nonprofit Sector. June 2003.

3 Originally called technical capacity.

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Seeds of Change Initiative
General Information


Name of Person Compiling Final Assessment Ratings

Title of Person Compiling Final Assessment Ratings

Phone Number of Person Compiling Final Assessment

Email of Person Compiling Final Assessment Ratings

Date Final Assessment Ratings Completed

                                                         Who Should Complete the Assessment?

Others Involved with the Capacity Assessment Process











                                                           Please proceed to Worksheet 1.

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Seeds of Change Initiative
1. Leadership Capacity

                                                                                                                                                     Input capacity
                            LEVEL ONE                     LEVEL TWO                    LEVEL THREE                        LEVEL FOUR                  rating in this
1.01    Mission       No written mission or        Some expression of            Clear expression of            Clear expression of
                      limited expression of        organization’s reason for     organization’s reason for      organization’s reason for
                      the organization’s           existence that reflects its   existence which reflects       existence which describes an
                      reason for existence         values and purpose, but       its values and purpose;        enduring reality that reflects its
                      (lacks clarity or            may lack clarity; held by     held by many within            values and purpose; universally
                      specificity); either held    some within organization      organization and often         held within organization and
                      by very few in               and occasionally              referenced                     frequently referenced
1.02    Vision        No clear vision              Somewhat clear or             Clear and specific             Clear, specific, and compelling
                      articulated; little shared   specific understanding of     understanding of what          understanding of what
                      understanding of what        what organization aspires     organization aspires to        organization aspires to become
                      organization aspires to      to become or achieve;         become or achieve; held        or achieve; universally held
                      become or achieve            held by only a few, or “on    by many within the             within organization and
                      beyond the stated            the wall,” but rarely used    organization and often         consistently used to direct
                      mission                      to direct actions or set      used to direct actions         actions and set priorities
                                                   priorities                    and set priorities
1.03    Overarching Vision (if it exists) not      Vision translated into a      Vision translated into         Vision translated into clear,
        Goals       explicitly translated into     concrete set of goals;        small set of concrete          bold set of (up to three) goals
                    set of concrete goals,         goals lack at least two of    goals, but goals lack at       that organization aims to
                    though there may be            following four attributes:    most two of following four     achieve, with specific time
                    general (but                   clarity, boldness,            attributes: clarity,           frames and concrete measures
                    inconsistent and               associated measures, or       boldness, associated           for each goal; goals are
                    imprecise) knowledge           time frame for measuring      measures, or time frame        universally known within
                    within organization of         attainment; goals known       for measuring                  organization and consistently
                    overarching goals and          by only a few, or only        attainment; goals are          used to direct actions and set
                    what it aims to achieve        occasionally used to          known by many within           priorities
                                                   direct actions or set         organization and often
                                                   priorities                    used by them to direct
                                                                                 actions and set priorities

1.04    Overarching Strategy is either non-     Strategy exists but is           Coherent strategy has     Clear, coherent medium- to
        Strategy    existent, unclear, or       either not clearly linked to     been developed and is     long-term strategy that is both
                    incoherent (largely a set   mission, vision, and             linked to mission and     actionable and linked to overall
                    of scattered initiatives);  overarching goals, or            vision but is not fully   mission, vision, and
                    strategy has no             lacks coherence, or is not       ready to be acted upon;   overarching goals; strategy is
                    influence over day-to-      easily actionable; strategy      strategy is mostly known, universally known and
                    day behavior                is not broadly known and         and day-to-day behavior   consistently helps drive day-to-
                                                has limited influence over       is partly driven by it    day behavior at all levels of the
                                                day-to-day behavior                                        organization
1.05    Shared        No common set of basic Common set of basic                 Common set of basic       Common set of basic beliefs
        Beliefs &     beliefs and values (e.g., beliefs and values exists        beliefs and values held   and values exists and is widely
        Values        social, cultural, etc.)   in some groups within            by many people within     shared within organization;
                      exists within             organization, but is not         organization; helps       helps provide a sense of
                      organization              shared broadly; beliefs          provide a sense of        connection to organization and
                                                and values are only              connection to             a clear direction for behavior;
                                                partially aligned with           organization; beliefs and beliefs and values embodied by
                                                organizational purpose           values are aligned with   leader but are also timeless
                                                and constituents' norms,         organizational purpose    and stable across leadership
                                                or are rarely harnessed to       and constituents' norms, changes; beliefs and values
                                                produce impact                   and are occasionally      clearly support organizational
                                                                                 harnessed to produce      purpose, are in line with
                                                                                 impact                    constituents' norms, and are

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1. Leadership Capacity

                                                                                                                                                 Input capacity
                            LEVEL ONE                   LEVEL TWO                    LEVEL THREE                        LEVEL FOUR                rating in this
Who     Board      Membership with               Some diversity in fields of   Good diversity in fields of    Membership with broad variety
Shoul   Compositionlimited diversity in fields   practice and expertise;       practice and expertise;        in fields of practice and
        &          of practice and               membership represents a       membership represents          expertise, and drawn from the
ete     Commitment expertise; drawn from a       few different                 most constituencies            full spectrum of constituencies
the                narrow spectrum of            constituencies relevant to    relevant to the                relevant to the organization;
Asses              constituencies relevant       organization; some            organization; solid            includes functional and issue
sment              to the organization; little   evidence of commitment        evidence of commitment         area expertise; proven track
?                  or no relevant                to organization’s success,    to organization’s success,     record of learning about the
                   experience;                   vision, and mission;          vision, and mission;           organization and addressing its
                   commitment to                 regular meetings are well-    regular, purposeful            issues; consistently
                   organization’s success,       planned and attendance        meetings are well-             demonstrated commitment to
                   vision, and mission is        is adequate; occasional       planned and attendance         the organization’s success,
                   unclear; meetings are         subcommittee meetings         is consistently good;          mission, and vision; regular,
                   sporadic and/or                                             regular subcommittee           purposeful meetings are well-
                   attendance is                                               meetings                       planned and attendance is
1.07    Board      Roles of legal board,      Roles of legal board,            Roles of legal board,          Legal board, advisory board,
        Governance advisory board, and        advisory board, and              advisory board, and            and management work well
                   management are             management are clear;            management are clear           together from clear roles; board
                   unclear; board rarely      board functions according        and function well; board       fully understands and fulfills
                   scrutinizes budgets,       to by-laws, reviews              reviews budgets, audits,       fiduciary duties; size of board
                   holds CEO/ED               budgets, and occasionally        IRS and state filings; size    set for maximum effectiveness
                   accountable, or            sets organizational              of board set for maximum       with rigorous nomination
                   operates according to      direction and targets, but       effectiveness with formal      process; board actively defines
                   formal procedures          does not regularly review        nomination process;            performance targets and holds
                                              CEO/ED performance,              board co-defines               CEO/ED fully accountable;
                                              monitor potential conflicts      performance targets and        board empowered and
                                              of interest, scrutinize          actively encourages            prepared to hire or fire CEO/ED
                                              audits, or review IRS and        CEO/ED to meet targets;        if necessary; board periodically
                                              state filings                    annual review of               evaluated
1.08    Board       Provide little direction, Provide occasional               Provide direction,             Provide strong direction,
        Involvement support, and              direction, support, and          support, and                   support, and accountability to
        & Support   accountability to         accountability to                accountability to              leadership and engaged as a
                    leadership; not fully     leadership; generally            leadership; fully informed     strategic resource;
                    informed about material informed about all                 about all material             communication between board
                    and other major           material matters in a            matters; input and             and leadership reflects mutual
                    organizational matters; timely manner; input and           responses actively sought      respect, appreciation for roles
                    largely “feel-good”       responses often solicited        and valued; full               and responsibilities, shared
                    support                                                    participant in major           commitment, and valuing of
                                                                               decisions                      collective wisdom

1.09    CEO/ED        Narrow background and      Background and range of       Broad background and           Extraordinarily diverse
        Experience    range of experiences;      experiences reflects some     range of experiences;          background and experiences;
        & Standing    limited experience in      depth; some relevant          significant experience in      extensive and varied
                      nonprofit management;      experience in nonprofit       nonprofit management;          experience in nonprofit
                      little evidence of         management; some              clear evidence of              management; exceptional
                      innovative thinking;       evidence of innovative        innovative thinking; solid     evidence of innovative thinking
                      limited recognition        thinking and                  understanding of the           and approaches;
                      among peer                 understanding of the          sector; some recognition       comprehensive and deep
                      organizations              sector; occasional            as a leader/shaper             understanding of the sector;
                                                 recognition among peer        among peer organizations       regularly recognized as a

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1. Leadership Capacity

                                                                                                                                                     Input capacity
                             LEVEL ONE                     LEVEL TWO                    LEVEL THREE                        LEVEL FOUR                 rating in this
1.10    CEO/ED         Some difficulty building     Responsive to      Actively and easily builds                Constantly establishing
        Organization   trust and rapport with                          rapport and trust with
                                                    opportunities from others                                    successful, win-win
        al             others; micromanages                            others; effectively
                                                    to work together; generally                                  relationships with others, both
        Leadership /   projects; shares little of                      encourages others to
                                                    confident in others’ ability                                 within and outside the
        Effectivenes   own experiences as                              succeed; shares relevant
                                                    to be successful; shares                                     organization; delivers
        s              developmental/coachin        own experience and experience and expertise,                 consistent, positive, and
                       g tool; inconsistent         expertise; visible yet gives others freedom                  reinforcing messages to
                       attention to                 commitment to      to work their own way, try                motivate people; finds or
                       organizational vision                           out new ideas, and grow;
                                                    organization and its vision                                  creates special opportunities to
                                                                       shows constant                            promote people’s development;
                                                                       commitment to                             lives the organization’s vision;
                                                                       organization and its                      compellingly articulates path to
1.11    CEO/ED       Somewhat                Able to cope with some    Quickly assimilates                       Possesses keen and
        Analytical & uncomfortable with      complexity and ambiguity; complex information and                   exceptional ability to synthesize
        Strategic    complexity and          able to analyze and       able to distill to core                   complexity; makes informed
        Thinking     ambiguity; some ability periodically generate     issues; welcomes                          decisions in ambiguous,
                     to analyze strategies   strategies                ambiguity and                             uncertain situations; develops
                                                                       comfortable dealing with                  strategic alternatives and
                                                                       the unknown; develops                     identifies associated rewards,
                                                                       robust strategies                         risks, and actions

1.12    CEO/ED         Difficulty considering       Draws appropriate              Uses sound financial          Exceptional financial judgment;
        Financial      financial implications of    conclusions after studying     judgment; solid               deep understanding of complex
        Judgment       decisions; limited           the facts; understands         understanding of              financial concepts; has keen,
                       understanding of basic       basic financial concepts;      financial concepts;           almost innate sense for
                       financial concepts           gives some consideration       regularly considers           financial impact of all decisions
                                                    to financial impact of         financial impact of all
                                                    major decisions                decisions

1.13    Board &      No explicit attention          Power issues occasionally      Power issues regularly        Power issues regularly
        CEO/ED       given to power issues          acknowledged and               acknowledged and              acknowledged and discussed;
        Appreciation (e.g., of race and class)      discussed; policies and/or     discussed; basic policies     well-established policies and
        of Power                                    procedures developed on        and/or procedures exist       procedures exist to address
        Issues                                      an ad hoc basis to             to address these issues       these issues, and are routinely
                                                    address these issues                                         reviewed and revised

1.14    Ability to     Those with potential to      Those with potential to be     Those with potential to be    Those with potential to be most
        Motivate &     be most affected by          most affected by               most affected by              affected by organization's work
        Mobilize       organization's work          organization's work have       organization's work are       see organization as inspiring
        Constituents   have limited knowledge       some knowledge of              knowledgeable and likely      and motivating; they are
                       of organization;             organization; meetings         to be engaged with            excited to be involved;
                       organization meetings        held regularly, but            organization; meetings        meetings held regularly and are
                       are sporadic and poorly      attendance varies widely;      held regularly and are        routinely well-attended;
                       attended; organization       organization has ability to    generally well-attended;      organization has ability to
                       has difficulty motivating    motivate a small core          organization has ability to   motivate a broad range of
                       members into action          group of community             motivate a segment of         community members into
                                                    members into action            community members into        action

                       Type comments here.

                                                                   Please proceed to Worksheet 2.

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Seeds of Change Initiative
2. Adaptive Capacity

                                                                                                                                                                               Input capacity
                                LEVEL ONE                           LEVEL TWO                            LEVEL THREE                             LEVEL FOUR                     rating in this
2.01   Strategic       Limited ability and tendency        Some ability and tendency to        Ability and tendency to develop        Ability to develop and refine
       Planning        to develop strategic plan,          develop high-level strategic        and refine concrete, realistic         concrete, realistic, and detailed
                       either internally or via external   plan either internally or via       strategic plan; some internal          strategic plan; critical mass of
                       assistance; if strategic plan       external assistance; strategic      expertise in strategic planning        internal expertise in strategic
                       exists, it is rarely or never       plan sometimes directs              or access to relevant external         planning, or efficient use of
                       referenced                          management decisions                assistance; strategic planning         external, sustainable, highly
                                                                                               carried out on a near-regular          qualified resources; strategic
                                                                                               basis; strategic plan used to          planning exercise carried out
                                                                                               guide management decisions             regularly; strategic plan used
                                                                                                                                      extensively to guide management

2.02   Evaluation / Very limited measurement               Performance partially               Performance measured and               Comprehensive, integrated system
       Performance and tracking of performance             measured and progress               progress tracked in multiple           (e.g., balanced scorecard) used for
       Measurement and progress; all or most               partially tracked; some             ways on a regular basis;               measuring organization’s
                    evaluation based on                    external performance                effective internal and external        performance and progress on
                    anecdotal evidence; no                 comparisons made;                   benchmarking occurs but may            continual basis; internal and
                    external performance                   organization regularly collects     be confined to select areas;           external benchmarking part of the
                    comparisons made;                      solid data on program               multiple indicators used in            organizational culture and used by
                    organization collects some             activities and outputs, and         evaluation, with primary focus         staff in target-setting and daily
                    data on program activities and         has begun to measure                on outcomes; some attention            operations; clear and meaningful
                    outputs (e.g., number of               outcomes                            paid to cultural appropriateness       outcomes-based performance
                    children served), but has no                                               of evaluation process/methods;         indicators exist in all areas; careful
                    measurement of outcomes                                                    social impact measured, but            attention paid to cultural
                    (e.g., the extent to which the                                             longitudinal (long-term) or            appropriateness of evaluation
                    drop-out rate has been                                                     independent nature of                  process/methods; measurement of
                    lowered)                                                                   evaluation is missing                  social impact based on longitudinal
                                                                                                                                      studies with independent

2.03   Evaluation & Performance data rarely used           Performance data                    Learnings from performance             Systematic staff and board
       Organizational to improve program and               occasionally used by staff and      data distributed throughout            practices of making adjustments
       Learning       organization; little experience      board to improve                    organization, and often used by        and improvements on basis of
                      with evaluation beyond               organization; some staff time       staff and board to make                performance data; resources are
                      capturing information to             devoted to evaluation efforts,      adjustments and                        devoted to thoroughly documenting
                      report to funders; information       as required by funders,             improvements; some staff time          organization's work and capturing
                      systems not in place                 however staff and board do          devoted to documenting                 the complete story of its impact;
                                                           not typically see evaluation as     organization's work; some              evaluation processes fully
                                                           integral to organization's          information systems in place to        integrated into information systems
                                                           work; information systems not       support on-going evaluation
                                                           in place

2.04   Use of          Sporadic use of data from           Basic data from outside or          Familiarity with useful data           Respected by peers as both
       Research        outside sources to support          internal sources used to            sources in relevant issue areas;       consumer and producer of data;
       Data to         proposals or program                support significant proposals       data used to support decisions,        dedicated research staff capable of
       Support         decisions; limited capacity to      and major advocacy; ability to      proposals, and advocacy;               working with complex data and
       Program         work with research data; little     read research reports and           employs staff with research and        making assessments about
       Planning &      understanding of where to           evaluate quality of data exists,    data skills, although they may         relevance and cultural
       Advocacy        find useful data or how to          but data is not relied upon as      not conduct analysis full time;        appropriateness of findings for its
                       assess its quality                  part of regular decision            capacity to manipulate data            community or clients; research
                                                           making; familiarity with one or     from existing data sets, merge         regularly scanned for relevant data
                                                           two sources of data especially      data sets, and make                    to support decisions, proposals,
                                                           relevant to organization's          assessments about relevance            and advocacy; important
                                                           work; little capacity to analyze    and cultural appropriateness of        organizational questions answered
                                                           raw data or present it in           findings for its community or          through research; ability to
                                                           graphical, engaging ways            clients; ability to present data       effectively present data using
                                                                                               from outside sources using             charts, tables, and graphics for a
                                                                                               charts, tables, and graphics           variety of audiences

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                                                                                                                                                                            Input capacity
                                LEVEL ONE                        LEVEL TWO                            LEVEL THREE                             LEVEL FOUR                     rating in this
2.05   Program         Core programs and services       Most core programs and              Core programs and services             All programs and services well-
       Relevance &     vaguely defined and lack clear   services well-defined and           well-defined and aligned with          defined and fully aligned with
       Integration     alignment with mission and       solidly linked with mission         mission and overarching goals;         mission, overarching goals, and
                       overarching goals; programs      and overarching goals;              program offerings fit together         constituency; program offerings are
                       seem scattered and largely       program offerings may be            well as part of clear strategy         clearly linked to one another and to
                       unrelated to each other          somewhat scattered and not                                                 overall strategy; synergies across
                                                        fully integrated into clear                                                programs are captured
Who Program            No assessment of possibility     Limited assessment of               Occasional assessment of               Frequent assessment of possibility
Shoul Growth &         of scaling up existing           possibility of scaling up           possibility of scaling up existing     of scaling up existing programs,
      Replication      programs; no ability to scale    existing programs and, even         programs and, when judged              and when judged appropriate,
                       up or replicate existing         when judged appropriate,            appropriate, action occasionally       action consistently taken; efficiently
the                    programs                         action rarely taken; limited        taken; able to scale up or             and effectively able to grow existing
Asses                                                   ability either to scale up or       replicate existing programs            programs to meet needs in local
sment                                                   replicate existing programs                                                area or other geographies

2.07   New Program No assessment of gaps in             Limited assessment of gaps          Occasional assessment of gaps          Continual assessment of gaps in
       Development ability of current programs to       in ability of existing programs     in ability of existing programs to     ability of existing programs to meet
                   meet recipient needs; limited        to meet recipient needs, with       meet recipient needs, with             recipient needs, with adjustments
                   ability to create new                little or limited action taken;     some adjustments made;                 regularly made; ability and
                   programs; new programs               some ability to modify existing     demonstrated ability to modify         tendency to efficiently and
                   created only in response to          programs and create new             and fine-tune existing programs        effectively create new, innovative
                   funding availability                 programs                            and create new programs                programs to meet needs in local
                                                                                                                                   area or other geographies;
                                                                                                                                   continuous pipeline of new ideas

2.08   Monitoring of Minimal knowledge and              Basic knowledge of other            Solid knowledge of other               Extensive knowledge of other
       Program       understanding of other             players as well as alternative      players as well as alternative         players as well as alternative and
       Landscape     players as well as alternative     and complementary models in         and complementary models in            complementary models in program
                     and complementary models in        program area, but limited           program area; good ability to          area; refined ability and systematic
                     program area                       ability to adapt behavior           adapt behavior based on                tendency to adapt behavior based
                                                        based on acquired                   acquired understanding and             on acquired understanding and
                                                        understanding                       cultural appropriateness, but          cultural appropriateness
                                                                                            only carried out on occasion
2.09   Assessment      Planning not supported by        Information about community         Information about community            Clear, established systems
       of External     systematically collected         needs or external                   needs and external                     regularly used to assess community
       Environment     information about community      opportunities and threats           opportunities and threats used         needs and external opportunities
       & Community     needs or external                used to inform planning,            to inform planning; organization       and threats; information
       Needs           opportunities and threats;       although collection is              has many connections to                systematically collected and used
                       organization has very few        haphazard; organization has a       community members and                  to support and improve planning
                       connections to community         few connections to community        opinion leaders with whom they         efforts; organization has numerous
                       members and opinion leaders      members and opinion leaders         communicate about evolving             connections to community
                       that can provide information     that can provide information        community needs                        members and opinion leaders with
                       about evolving community         about evolving community                                                   whom they regularly communicate
                       needs                            needs                                                                      about evolving community needs

2.10   Influencing of No ability or awareness of        Aware of possibilities to           Fully aware of possibilities to        Proactively influences policy-
       Policy-making possibilities to influence policy- influence policy-making; some       influence policy-making; one of        making in a highly effective manner
                      making; never called on to        readiness and skill to              several organizations active in        at the local, state, and/or national
                      participate in substantive        participate in policy               policy discussions at the local,       level (as relevant and appropriate);
                      policy discussions                discussion, but rarely invited      state, and/or national level (as       always ready for and often called
                                                        to substantive policy               relevant and appropriate)              on to participate in substantive
                                                        discussions                                                                policy discussions

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                                                                                                                                                                              Input capacity
                                LEVEL ONE                           LEVEL TWO                            LEVEL THREE                             LEVEL FOUR                    rating in this
2.11    Partnerships   No partnerships or alliances Early stages of building                   Some key relationships with a          Strong, high-impact, relationships
        & Alliances    with other for-profit, nonprofit, relationships and                     few types of relevant entities         with variety of relevant entities
                       or public sector entities         collaborating with other for-         (e.g., for-profit, nonprofit, public   (local, state, and federal
                                                         profit, nonprofit, or public          sector) have been built and            government as well as for-profit,
                                                         sector entities; if relations do      leveraged; action around               other nonprofit, and community
                                                         exist, some may be precarious         common goals is generally short        agencies) have been built,
                                                         or not fully “win-win”                term                                   leveraged, and maintained;
                                                                                                                                      relationships anchored in stable,
                                                                                                                                      long-term, mutually beneficial

2.12    Community      Community presence either           Community presence                  Known within the community             Widely known within the
        Presence &     not recognized or organization      somewhat recognized, and            beyond just                            community, and perceived as
        Standing       is generally not regarded as a      organization is generally           constituents/members;                  actively engaged with and
                       player in the community; few        regarded as a player in the         perceived as open and                  extremely responsive to it; many
                       members of the community            community; some members of          responsive to community                members of the larger community
                       (e.g., other nonprofit leaders,     the community actively              needs; members of larger               (including many highly respected
                       government representatives,         engage with organization;           community (including some              members) actively engage with
                       and academics) engage with          community leaders                   highly respected members)              organization; community leaders
                       organization; community             occasionally call on                actively engage with                   always call on organization for its
                       leaders rarely call on              organization for its input on       organization; community                input on issues important to
                       organization for its input on       issues important to                 leaders often call on                  organization
                       issues important to                 organization                        organization for its input on
                       organization                                                            issues important to organization

2.13    Constituent    Constituent involvement is          Constituents offered a range        One or two systems in place to         Variety of systems in place to
        Involvement    limited; planning involves little   of roles in the organization;       actively recruit and involve           actively recruit and involve
                       constituent input; constituents     volunteer positions of              constituents; constituents take        constituents; constituents take on
                       not trained or supported in         leadership open to                  on a variety of roles in               a wide variety of roles in
                       their involvement                   constituents, but rarely filled     organization, including                organization, including volunteer
                                                           by them; paid staff                 volunteer positions of                 positions of leadership; paid staff
                                                           responsible for planning;           leadership; paid staff take a          work collaboratively with
                                                           constituent work mostly task-       large role in planning, but            constituents to plan and lead much
                                                           oriented; constituents trained      constituents are involved and          of the organization’s work and
                                                           or supported in their work on       help define some desired               define desired outcomes; training
                                                           an ad hoc basis                     outcomes; training provided to         is provided to constituents in all of
                                                                                               constituents in some of the skill      the skill areas needed to affect
                                                                                               areas needed to affect change          change

2.14    Organizing     Advocacy work is focused only       Some understanding of the           Broad understanding of the             Primary focus is on growing
                       on short-term achievements;         need to grow constituent            need to grow constituent               constituent capacity and social
                       long-term strategy does not         capacity and social capital to      capacity and social capital to         capital to tackle issues/problems;
                       exist; campaign targets are         tackle issues/problems;             tackle issues/problems;                advocacy work is aligned with that
                       sometimes vague; organizing         advocacy work generally             advocacy work is directed              focus; a carefully developed
                       tactics may not be those best       promotes short-term gains           toward that end, but could be          strategy for long-term change
                       suited to the constituency          rather than long-term capacity      better aligned; a strategy for         exists, with appropriate campaign
                                                           building; organizing tactics are    long-term change exists, with          targets and organizing tactics
                                                           engaged in without a detailed       appropriate campaign targets
                                                           plan of how they will lead to       and organizing tactics
                                                           long-term change

                       Type comments here.

                                                                               Please proceed to Worksheet 3.

                                                            8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Adaptive Capacity, 4/18/2012, Page 50
Seeds of Change Initiative
3. Management Capacity

                                                                                                                                                            Input capacity
Capacity Elements          LEVEL ONE                      LEVEL TWO                        LEVEL THREE                              LEVEL FOUR               rating in this
3.01 Senior         No or very limited prior       Some prior experience in     Significant prior experience in        Extensive and varied experience
     Management     experience in nonprofit or     nonprofit or for-profit      nonprofit or for-profit                in nonprofit or for-profit
     Team           for-profit management;         management; team drawn       management; team drawn from            management; team drawn from
                    team drawn from a narrow       from somewhat diverse        diverse backgrounds and                extraordinarily diverse
                    range of backgrounds and       backgrounds and              experiences, and bring a broad         backgrounds and experiences,
                    experiences; limited track     experiences; decent track    range of skills; good track record     and bring a broad range of
                    record of learning and         record of learning and       of learning and personal               outstanding capabilities;
                    personal development;          personal development;        development; highly energetic          outstanding track record of
                    energy and commitment is       energetic and committed      and committed                          learning and personal
                    sometimes lacking                                                                                  development; contagiously
                                                                                                                       energetic and committed

3.02 Staff          Drawn from a narrow            Drawn from somewhat          Drawn from diverse                     Drawn from extraordinarily
                    range of backgrounds and       diverse backgrounds and      backgrounds and experiences            diverse backgrounds and
                    experiences; interest and      experiences; good            and bring a broad range of skills;     experiences, and bring broad
                    abilities limited to present   capabilities, including      most are highly capable and            range of skills; most are highly
                    job; little ability to solve   some ability to solve        committed to mission and               capable in multiple roles and
                    problems as they arise         problems as they arise;      strategy; eager to learn and           committed to both mission,
                                                   many are interested in       develop, and assume increased          strategy, and continuous learning;
                                                   work beyond their current    responsibility                         eager and able to take on special
                                                   jobs and in the success of                                          projects and collaborate across
                                                   organization’s mission                                              divisional lines; frequent source
                                                                                                                       of ideas and momentum for
                                                                                                                       improvement and innovation

3.03 Dependence of Very strong dependence          High dependence on           Limited dependence on CEO/ED;          Reliance but not dependence on
     Management     on CEO/ED; organization        CEO/ED; organization         organization would continue in         CEO/ED; smooth transition to new
     Team & Staff   would cease to exist           would continue to exist      similar way without his/her            leader could be expected;
     on CEO/ED      without his/her presence       without his/her presence,    presence but areas such as             fundraising and operations likely
                                                   but likely in a very         fundraising or operations would        to continue without major
                                                   different form               likely suffer during transition        interruption; senior management
                                                                                period; no current member of           team can fill in during transition
                                                                                management team could                  time; several members of
                                                                                potentially take on CEO/ED role        management team could
                                                                                                                       potentially take on CEO/ED role

3.04 Shared         No significant common set      Common set of references     Common set of references and           Common set of references and
     References &   of references and              and practices exists in      practices exists, and is adopted       practices exists, and is shared
     Practices      practices (e.g., rituals,      some groups within           by many people within                  and adopted by all members of
                    unwritten rules, stories,      organization, but is not     organization; references and           organization; references and
                    heroes or role models,         shared broadly; only         practices aligned with                 practices consciously designed
                    symbols, language,             partially aligned with       organizational purpose and             and used to support
                    cultural practices or          organizational purpose or    occasionally harnessed to              organizational purpose and
                    traditions of communities      only rarely harnessed to     produce impact                         regularly harnessed to produce
                    served, etc.) exists within    produce impact                                                      impact

                                               8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Management Capacity, 4/18/2012, Page 52
                                                                                                                                                                Input capacity
Capacity Elements          LEVEL ONE                      LEVEL TWO                        LEVEL THREE                              LEVEL FOUR                   rating in this
3.05 Goals /        Targets are non-existent or    Realistic targets exist in     Realistic yet demanding targets      Realistic yet demanding targets
    Performance     few, vague or confusing, or    some key areas, and are        exist in most areas, and are         exist in all areas; targets are
    Targets         either too easy or             mostly aligned with            aligned with overarching goals       tightly linked to overarching goals
                    impossible to achieve; not     overarching goals and          and strategy; primarily              and strategy, quantifiable,
                    clearly linked to              strategy; may lack             quantifiable and focused on          outcome-focused, have annual
                    overarching goals and          aggressiveness, be short-      outcomes; typically multi-year       milestones, and are long-term in
                    strategy; targets largely      term, or lack milestones;      targets, though may lack             nature; all staff consistently utilize
                    unknown or ignored by          targets are known and          milestones; targets are known        targets and work diligently to
                    staff                          utilized by some staff         and utilized by most staff who       achieve them
                                                                                  use them to broadly guide work

Who Funding Model Strong dependence on a           Multiple types of funding      Solid base of funders from many      Highly diversified funding
Shou              few funders, largely of          sources with only a few        types of funding sources; some       streams; organization insulated
                  same type (e.g.,                 funders in each type, or       ability to guard against market      from potential market instabilities
                  government, foundations,         many funders within only       instabilities (e.g., operating       (e.g., fully developed endowment)
the               corporations, or                 one or two types of            reserves, small endowment)           and/or has developed
Asse              individuals)                     funders                        and/or has developed some            sustainable revenue-generating
ssme                                                                              sustainable revenue-generating       activities; other nonprofits try to
nt?                                                                               activity                             imitate organization’s fundraising
                                                                                                                       activities and strategies

3.07 Fund           No systems in place for        Recognize need to              Some systems in place for long-      Well-developed systems for long-
    Development     long-term planning,            develop systems for long-      term planning, revenue               term planning, revenue
    Planning        diversifying revenue           term planning, revenue         diversification, and outlining and   diversification, and outlining and
                    streams, or outlining and      diversification, and           managing to target goals; fund       managing to target goals; multi-
                    managing to target goals;      outlining and managing to      development strategy includes        pronged fund development
                    fundraising is reactive;       target goals; fund             multiple activities and is loosely   strategy is proactive and
                    fund development strategy      development includes           connected to organization's long-    integrated into organization's long-
                    not well-articulated and       several activities, but is     term strategic plan and budget       term strategic plan and budget
                    focuses on one type of         not connected to               projections                          projections
                    activity such as grants        organization's long-term
                                                   strategic plan and budget

3.08 Financial      No or very limited financial   Limited financial plans,       Solid financial plans, updated       Very solid financial plans,
    Planning /      planning; general budget       updated on an ad hoc           regularly; budget integrated into    continuously updated; budget
    Budgeting       developed; only one            basis; budget utilized as      most operations; reflects            integrated into all operations;
                    budget for entire              operational tool; used to      organizational needs; solid effort   used as strategic tool; budget
                    organization; performance-     guide/assess financial         made to isolate divisional           developed from process that
                    to-budget loosely or not       activities; some attempt to    (program or geographical)            incorporates and reflects
                    monitored                      isolate divisional (program    budgets within central budget;       organizational needs and
                                                   or geographical) budgets       performance-to-budget                objectives; well-understood
                                                   within central budget;         monitored regularly                  divisional (program or
                                                   performance-to-budget                                               geographical) budgets within
                                                   monitored periodically                                              overall central budget;
                                                                                                                       performance-to-budget closely
                                                                                                                       and regularly monitored

3.09 Financial      Gifts and grants deposited     Financial activities           Established internal controls        Robust systems and controls
    Operations      and acknowledged; bills        consistently documented        govern all financial operations;     govern all financial operations
    Management      paid regularly; supporting     and reported; appropriate      activities fully tracked,            and their integration with
                    documentation collected        checks and balances            supported, and reported; some        budgeting, decision making, and
                    and retained                   exist; activities tracked to   attention paid to cash flow          organizational goals; cash flow
                                                   budget                         management                           actively managed

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                                                                                                                                                               Input capacity
Capacity Elements          LEVEL ONE                      LEVEL TWO                         LEVEL THREE                              LEVEL FOUR                 rating in this
3.10 Operational    Operations run purely on      Some ability and tendency      Ability and tendency to develop        Concrete, realistic, and detailed
    Planning        day-to-day basis with no      to develop high-level          and refine concrete, realistic         operational plan developed and
                    short- or longer-term         operational plan either        operational plan; some internal        regularly refined; critical mass of
                    planning activities; no       internally or via external     expertise in operational planning      internal expertise in operational
                    experience in operational     assistance; operational        or access to relevant external         planning, or efficient use of
                    planning                      plan loosely or not linked     assistance; operational planning       external, sustainable, highly
                                                  to strategic planning          carried out on a near-regular          qualified resources; operational
                                                  activities and used roughly    basis; operational plan linked to      planning exercise carried out
                                                  to guide operations            strategic planning activities and      regularly; operational plan tightly
                                                                                 used to guide operations               linked to strategic planning
                                                                                                                        activities and systematically used
                                                                                                                        to direct operations

3.11 Organizational Limited set of processes      Basic set of processes in      Solid, well-designed set of            Robust, lean, and well-designed
    Processes       (e.g., planning, reviews,     core areas for ensuring        processes in place in core areas       set of processes in place in all
                    internal information          efficient functioning of       to ensure smooth, effective            areas to ensure effective and
                    dissemination) for            organization; processes        functioning of organization;           efficient functioning of
                    ensuring effective            known, used, and               processes known and accepted           organization; processes are
                    functioning of the            accepted by a portion of       by many and often used and             widely known, used, and
                    organization; use of          staff; limited monitoring      contribute to increased impact;        accepted, and are key to ensuring
                    processes is variable, or     and assessment of              occasional monitoring and              full impact of organization;
                    processes are seen as ad      processes, with few            assessment of processes, with          continual monitoring and
                    hoc requirements              improvements made in           some improvements made                 assessment of processes, with
                    (“paperwork exercises”);      consequence; meetings          accordingly; meetings are              systematic improvements made
                    no monitoring or              are effectively facilitated,   effectively facilitated and do not     accordingly; meetings are
                    assessment of processes;      though sometimes run           run longer than necessary              effectively facilitated and all
                    meetings sometimes lack       longer than necessary                                                 participants are highly engaged
                    effective facilitation                                                                              throughout

3.12 Decision       Decisions made largely on     Appropriate decision           Transparent and structured             Transparent and structured
    Making          an ad hoc basis by one        makers known; decision         lines/systems for decision             lines/systems for decision making
    Processes       person and/or whomever        making processes fairly        making exist; dissemination of         exist, and involve broad
                    is accessible; highly         well established, but often    decisions generally good;              participation as practical and
                    informal; authority is        break down and become          general awareness of                   appropriate (sometimes including
                    vague and changing; staff     informal; social/cultural      social/cultural power differences      constituents); dissemination and
                    is unaware of                 power differences              and on-going plans to address          interpretation of decisions is both
                    social/cultural power         addressed in a limited         them                                   good and consistent; specific
                    differences between           fashion (e.g., a one-day                                              awareness of social/cultural
                    themselves and their          training)                                                             power differences and
                    constituents                                                                                        established systems in place to
                                                                                                                        mitigate them

3.13 Knowledge      No formal systems to          Systems exist in a few         Well-designed, user-friendly           Well-designed, user-friendly,
    Management      capture and document          areas but are either not       systems in some areas; not fully       comprehensive systems to
                    internal knowledge            user-friendly or not           comprehensive; systems are             capture, document, and
                                                  comprehensive enough to        known by many people within            disseminate knowledge internally
                                                  have an impact; systems        organization and often used            in all relevant areas; all staff are
                                                  known by only a few                                                   aware of systems and trained in
                                                  people, or only                                                       their use; systems used
                                                  occasionally used                                                     frequently
3.14 Interfunctional Different programs and       Interactions between           All programs and units function        Constant and seamless
    Coordination & organizational units           different programs and         together effectively, with sharing     integration between different
    Communicatio function in silos; little or     organizational units           of information and resources;          programs and organizational
    n              dysfunctional coordination     generally good, though         coordination and communication         units; relationships are dictated
                   and communication              some coordination and          is strong                              primarily by organizational needs
                   between them                   communication problems                                                rather than hierarchy or politics
                                                  exist; some pooling of

                                                8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Management Capacity, 4/18/2012, Page 54
                                                                                                                                                               Input capacity
Capacity Elements           LEVEL ONE                      LEVEL TWO                         LEVEL THREE                             LEVEL FOUR                 rating in this
3.15 Human           Organization uncovers          Some ability and tendency       Ability and tendency to develop     Ability to develop and refine
     Resources       and/or addresses HR            to develop high-level HR        and refine concrete, realistic HR   concrete, realistic, and detailed
     Planning        needs only when too large      plan either internally or via   plan; some internal expertise in    HR plan; critical mass of internal
                     to ignore; lack of HR          external assistance; HR         HR planning or access to            expertise in HR planning, or
                     planning activities and        plan loosely or not linked      relevant external assistance; HR    efficient use of external, highly
                     expertise (either internally   to strategic planning           planning carried out on near-       qualified resources; HR planning
                     or accessible externally);     activities and roughly          regular basis; HR plan linked to    exercises carried out regularly; HR
                     job descriptions do not        guides HR activities; job       strategic planning activities and   plan tightly linked to strategic
                     exist                          descriptions tend to be         used to guide HR activities; job    planning activities and
                                                    static                          descriptions periodically updated   systematically used to direct HR
                                                                                    and revised in response to          activities; job descriptions
                                                                                    changing organizational needs       regularly updated and revised in
                                                                                    and to support the growth and       response to changing
                                                                                    development of staff                organizational needs and to
                                                                                                                        support growth and development
                                                                                                                        of staff

3.16 Recruiting,    Standard career paths in        Partially tailored              Recruitment, development, and       Well-planned process to recruit,
     Development place without considering          development plans for           retention of key managers is        develop, and retain key
     & Retention of managerial development;         some promising staff            priority and high on CEO/ED’s       managers; CEO/ED takes active
     Management very limited training,              members; personal               agenda; individually tailored       interest in managerial
                    coaching, and feedback;         annual reviews                  development plans for some          development; individually tailored
                    infrequent performance          incorporate development         promising staff members;            development plans for all
                    appraisals; no                  plan for each manager;          relevant training,                  promising staff members;
                    systems/processes to            some formal recruiting          coaching/feedback, and              relevant and regular internal and
                    identify promising new          networks in place               consistent performance              external training,
                    managers                                                        appraisals are institutionalized;   coaching/feedback, and
                                                                                    well-connected to potential         consistent performance
                                                                                    sources of promising new            appraisals are institutionalized;
                                                                                    managers; attention paid to         well-connected to potential
                                                                                    recruitment and promotion of        sources of promising new
                                                                                    managers that reflect the           managers; recruitment and
                                                                                    diversity of the community and      promotion methods ensure that
                                                                                    constituents                        management team reflects the
                                                                                                                        diversity of the community and

3.17 Recruiting,    Standard career paths in        No active development           Limited use of active               Management actively interested
     Development place without considering          tools/programs; feedback        development tools/programs;         in general staff development;
     & Retention of staff development; limited      and coaching occur              frequent formal and informal        thoughtful and targeted
     General Staff training, coaching and           sporadically; performance       coaching and feedback;              development plans for key
                    feedback; no regular            evaluated occasionally;         performance regularly evaluated     employees/positions; frequent,
                    performance appraisals;         sporadic initiatives to         and discussed; regular              relevant training,
                    no initiatives to identify      identify promising new          concerted initiatives to identify   coaching/feedback, and
                    promising new staff             staff                           promising new staff; attention      consistent performance
                                                                                    paid to the recruitment of staff    appraisals are institutionalized;
                                                                                    that reflect the diversity of the   continuous, proactive initiatives to
                                                                                    community and constituents          identify promising new staff;
                                                                                                                        recruitment methods ensure that
                                                                                                                        staff reflect the diversity of the
                                                                                                                        community and constituents

                                                8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Management Capacity, 4/18/2012, Page 55
                                                                                                                                                               Input capacity
Capacity Elements          LEVEL ONE                        LEVEL TWO                         LEVEL THREE                              LEVEL FOUR               rating in this
3.18 Volunteer      No active recruitment of        Some active recruitment        Active recruitment of volunteers       Volunteer recruitment systems
    Management      volunteers (only passive        of volunteers; volunteer       on a regular basis; wide range of      successfully fill organizational
                    recruitment such as             roles involve a range of       volunteer roles available; written     needs with appropriate
                    people who walk in the          time commitments and           job descriptions for most              volunteers; wide range of
                    door); no defined roles for     skill levels; volunteer work   common volunteer positions;            volunteer roles available,
                    volunteers to fill; few         is mostly task-oriented;       some systems exist to track and        including positions of leadership;
                    systems in place to train       basic training to              manage volunteers; volunteer           written job descriptions for all
                    and support volunteers          volunteers provided,           orientations and trainings take        volunteer positions; robust
                                                    generally on an ad hoc         place periodically, with attention     volunteer management systems
                                                    basis                          paid to both skills and cultural       in place; volunteer orientations
                                                                                   competency; staff trained on           and trainings take place on a
                                                                                   how to manage volunteers               regular basis, with attention paid
                                                                                                                          to both skills and cultural
                                                                                                                          competency; staff experienced
                                                                                                                          and/or extensively trained in
                                                                                                                          volunteer management

                    Type comments here.

                                                                       Please proceed to Worksheet 4.

                                                  8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Management Capacity, 4/18/2012, Page 56
Seeds of Change Initiative
4. Operational Capacity

                                                                                                                                                                                Input capacity
Capacity Elements              LEVEL ONE                            LEVEL TWO                           LEVEL THREE                            LEVEL FOUR
                                                                                                                                                                            rating in this column
4.01 Staffing Levels Some positions within and           Critical positions within and        Critical positions within and          All positions within and peripheral
                      peripheral to organization         peripheral to organization are       peripheral to organization are         to organization are adequately
                      (e.g., staff, volunteers, board,   staffed, though some                 adequately and appropriately           and appropriately staffed;
                      senior management) are             inappropriately; attendance          staffed; attendance problems           attendance problems are
                      unfilled, inadequately filled,     problems are limited; high           are rare; turnover is limited          extremely rare; turnover is limited;
                      or experience high turnover        turnover is sometimes a                                                     vacancies filled immediately
                      and/or poor attendance             challenge

4.02 Skills, Abilities Volunteers not working up to Many volunteers working up to Capable set of individuals that                    Extremely capable set of
     & Commitment their potential or ill-equipped their potential; mostly reliable,           bring required skills to               individuals that bring
     of Volunteers for work with organization;    loyal, and committed to                     organization; culturally               complementary skills to
                   may be unreliable or have      organization’s success                      competent, reliable, loyal, and        organization; culturally
                   low commitment                                                             generally committed to                 competent, reliable, loyal, highly
                                                                                              organization’s success and to          committed to organization’s
                                                                                              “making things happen”; work           success and to “making things
                                                                                              easily with most staff, but do         happen”; often go beyond call of
                                                                                              not generally play core roles          duty; able to work easily with wide
                                                                                              without staff supervision              range of staff and play core roles
                                                                                                                                     without special supervision

4.03 Fundraising      Generally weak fundraising         Main fundraising needs               Fundraising needs adequately           Highly developed internal
                      skills and lack of expertise       covered by some combination          covered by well-developed              fundraising skills and expertise in
                      (either internally or              of internal skills and expertise,    internal fundraising skills;           all funding source types to cover
                      accessible externally)             and access to external               occasional access to some              all needs; access to external
                                                         fundraising assistance               external fundraising expertise         fundraising expertise for
                                                         (if/when needed)                     (if/when needed)                       additional extraordinary needs

4.04 Board            Most members do not                Members accept that the              Many members embrace                   All members embrace fundraising
     Involvement & recognize fundraising as one          board has some fundraising           fundraising as one of the              as one of the board's core roles
     Participation in of the board's roles and           responsibilities, but some           board's core roles and                 and responsibilities; realistic and
     Fundraising      responsibilities; no goals or      concerns exist regarding             responsibilities, and participate      appropriate board fundraising
                      plans for board-driven             ability of board to be               with fundraising endeavors;            goals and plans in place; board
                      fundraising activities exist;      successful in this area; board       realistic and appropriate board        actively fundraises and has
                      members do not generally           fundraising activities are           fundraising goals and plans            achieved measurable progress
                      make financial contributions       limited; some members make           exist; fundraising activities are      towards goals; all members make
                      to organization                    a personally significant annual      underway; most members                 a personally significant annual
                                                         financial contribution to            make a personally significant          financial contribution to
                                                         organization based on their          annual financial contribution to       organization based on their
                                                         individual means                     organization based on their            individual means, and some
                                                                                              individual means                       contribute more frequently

4.05 Revenue          No internal revenue-               Some internal revenue                Some proven internal revenue           Significant internal revenue
     Generation       generation activities;             generation activities, however       generation activities: these           generation; experienced and
                      concepts such as cause-            financial net contribution is        activities provide substantial         skilled in areas such as cause-
                      related marketing, fee-for-        marginal; revenue generation         additional funds for program           related marketing, fee-for-
                      services, and retailing are        activities may distract from         delivery, but occasionally             services, and retailing; revenue-
                      neither explored nor pursued       programmatic work and often          distract from programmatic             generating activities support, but
                                                         tie up senior management             work and require extensive             don’t distract from, focus on
                                                         team                                 senior management attention            creating social impact

                                                         8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Operational Capacity, 4/18/2012, Page 58
                                                                                                                                                                                 Input capacity
Capacity Elements             LEVEL ONE                            LEVEL TWO                           LEVEL THREE                             LEVEL FOUR
                                                                                                                                                                             rating in this column

Who Communicatio No communications plan or              No communications plan or            Communications plan and                Communications plan and
Shou ns Strategy articulated communications             articulated communications           strategy in place; key messages        strategy in place and updated on
ld               strategy in place; key                 strategy in place, but key           defined and stakeholders               a frequent basis; stakeholders
                 messages not defined or                messages defined and                 identified; communications to          and their values identified, and
                 articulated; stakeholders not          stakeholders identified;             stakeholders are generally             communications to each of those
Asse             identified; information                communications to                    consistent and coordinated             stakeholders customized;
ssme             messages about                         stakeholders are fairly                                                     communications always carry a
nt?              organization are inconsistent          inconsistent                                                                consistent and powerful message

4.07 Communicatio No marketing materials, or            Loose collection of materials        Packet of marketing materials          Packet of marketing materials
     ns & Outreach outdated materials; strictly         used for marketing; generic          used on a consistent basis;            used consistently and easily
                   internally-focused and little        documents and not always             information contained in the           updated on a regular basis;
                   to no outreach to                    updated to reflect current           materials is up to date and            materials extremely professional
                   stakeholders; any materials          programs, activities, and            reflects current programs,             in appearance and appeal to a
                   that exist are unprofessional        outcomes; materials have a           activities, and outcomes;              variety of stakeholders; all
                   in presentation                      minimal degree of                    materials reasonably                   materials consistently adhere to
                                                        professionalism or consistent        professional in presentation           established standards for font,
                                                        look and feel; a few key             and aligned with established           color, logo placement, etc.; all
                                                        materials are provided in            standards for font, color, logo        materials are provided in multiple
                                                        multiple languages as needed         placement, etc.; most materials        languages as needed
                                                                                             are provided in multiple
                                                                                             languages as needed

4.08 Telephone &     Working status, lack of            Adequate basic telephone and         Solid basic telephone and fax          Sophisticated and reliable
     Fax             sophistication, or limited         fax facilities accessible to         facilities accessible to entire        telephone and fax facilities
                     number of telephone and fax        most staff; may be moderately        staff (in office and out in the        accessible by all staff (in office
                     facilities are an impediment       reliable or user-friendly, or        field); cater to day-to-day            and out in the field), includes
                     to day-to-day effectiveness        may lack certain features that       communication needs with               around-the-clock, individual voice-
                     and efficiency                     would increase effectiveness         essentially no problems;               mail; supplemented by additional
                                                        and efficiency (e.g., individual     includes additional features           facilities (e.g., pagers, cell
                                                        voice-mail), or may not be           contributing to increased              phones) for selected staff;
                                                        easily accessible to some staff      effectiveness and efficiency           effective and essential in
                                                        (e.g., field staff); most            (e.g., individual, remotely            increasing staff effectiveness and
                                                        frequent users receive training      accessible voice-mail); most           efficiency; all staff receive training
                                                        on phone system features             staff receive training on phone        on phone system features
                                                                                             system features

4.09 Computers,      Limited/no use of computers        Adequately equipped at               Solid hardware and software            State-of-the-art, fully networked
     Applications,   or other technology in day-to-     central level;                       infrastructure that contributes        computing hardware with
     Network &       day activity and/or little or no   incomplete/limited                   to increased efficiency; no or         comprehensive range of up-to-
     Email           usage by staff of existing IT      infrastructure at locations          limited sharing of equipment is        date software applications; greatly
                     infrastructure                     aside from central offices;          necessary; regular use of IT           enhances efficiency; all staff have
                                                        equipment sharing may be             infrastructure by staff, though        individual computer access and e-
                                                        common; satisfactory use of IT       some accessibility challenges          mail; high usage level of IT
                                                        infrastructure by staff;             for front-line program deliverers      infrastructure by staff; regular
                                                        periodic training provided to        may exist; periodic training           training provided to all staff
                                                        some staff members                   provided to all staff members          members

4.10 Website         No individual website              Basic website containing             Comprehensive website                  Sophisticated, comprehensive,
                                                        general information, but little      containing basic information on        and interactive website, regularly
                                                        information on current               organization as well as up-to-         maintained and kept up to date
                                                        developments; site                   date latest developments; most         on latest area and organization
                                                        maintenance is a burden and          information is organization-           developments; praised for its user-
                                                        performed only occasionally          specific; easy to maintain and         friendliness and depth of
                                                                                             regularly maintained                   information; includes links to
                                                                                                                                    related organizations and useful
                                                                                                                                    resources on topic addressed by

                                                        8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Operational Capacity, 4/18/2012, Page 59
                                                                                                                                                                          Input capacity
Capacity Elements            LEVEL ONE                         LEVEL TWO                           LEVEL THREE                            LEVEL FOUR
                                                                                                                                                                      rating in this column

4.11 Databases /    No systems for tracking         Electronic databases and             Electronic database and                Sophisticated, comprehensive
     Management     clients, staff volunteers,      management reporting                 management reporting systems           electronic database and
     Reporting      program outcomes and            systems exist in only few            exist in most areas for tracking       management reporting systems
     Systems        financial information           areas; systems perform only          clients, staff, volunteers,            exist for tracking clients, staff,
                                                    basic features, are awkward          program outcomes, and                  volunteers, program outcomes,
                                                    to use, or are used only             financial information;                 and financial information; widely
                                                    occasionally by staff                commonly used and help                 used and essential in increasing
                                                                                         increase information sharing           information sharing and efficiency
                                                                                         and efficiency

4.12 Buildings &    Inadequate physical             Physical infrastructure can be       Fully adequate physical                Physical infrastructure well-
     Office Space   infrastructure, resulting in    made to work well enough to          infrastructure for the current         tailored to organization’s current
                    loss of effectiveness and       suit organization’s most             needs of the organization;             and anticipated future needs; well-
                    efficiency (e.g., unfavorable   important and immediate              infrastructure does not impede         designed to enhance
                    locations for clients and       needs; a number of                   effectiveness and efficiency;          organization’s effectiveness and
                    employees, no possibility of    improvements could increase          decor partially reflects cultural      efficiency; favorable locations for
                    confidential discussions,       effectiveness and efficiency         traditions of constituents             clients and employees; plentiful
                    insufficient workspace for                                                                                  space encourages teamwork;
                    individuals, no space for                                                                                   layout increases critical
                    teamwork)                                                                                                   interactions among staff; decor
                                                                                                                                clearly reflects and affirms
                                                                                                                                cultural traditions of constituents

4.13 Management     Legal issues not anticipated;   Legal support resources              Legal support regularly                Well-developed, effective, and
     of Legal &     issues addressed individually   identified, readily available,       available and consulted in             efficient internal legal
     Liability      when they arise; property       and employed on "as needed"          planning; routine legal risk           infrastructure for day-to-day legal
     Matters        insurance includes some         basis; major liability exposures     management and occasional              work; additional access to general
                    liability coverage              managed and insured                  review of insurance                    and specialized external expertise
                                                    (including property liability and                                           to cover peaks and extraordinary
                                                    workers compensation)                                                       cases; continuous legal risk
                                                                                                                                management and regular
                                                                                                                                adjustment of insurance

    Comments:       Type comments here.
                     Please proceed to the Summary Table to review your responses and select priority capacity elements for your organization.

                                                    8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Operational Capacity, 4/18/2012, Page 60
Seeds of Change Initiative
Organizational Capacity Assessment Summary

                                                                           Capacity Element            Prioritization of
                                                                             Rating Levels            Capacity Elements
                                                                           NOTE: A ZERO (0)            INDICATE THE FOUR
                                                                           SCORE INDICATES              (OUT OF 59 TOTAL)
                                                                              A MISSING               CAPACITY ELEMENTS
          Select any Capacity Element link below                           RESPONSE FROM              YOUR ORG. IS MOST
        to return to that section in the Assessment                        WORKSHEETS 1-4                 INTERESTED IN
                                                                                                      (PLACE AN 'X' IN THE
                                                                                                      APPROPRIATE CELLS)

1. Leadership Capacity
1.01 Mission                                                                         0
1.02 Vision                                                                          0
1.03 Overarching Goals                                                               0
Who Overarching Strategy                                                             0
1.05 Shared Beliefs & Values                                                         0
1.06 Board Composition & Commitment                                                  0
1.07 Board Governance                                                                0
1.08 Board Involvement & Support                                                     0
1.09 CEO/ED Experience & Standing                                                    0
1.10 CEO/ED Organizational Leadership / Effectiveness                                0
1.11 CEO/ED Analytical & Strategic Thinking                                          0
1.12 CEO/ED Financial Judgment                                                       0
1.13 Board & CEO/ED Appreciation of Power Issues                                     0
1.14 Ability to Motivate & Mobilize Constituents                                     0

                       8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 62
                                                                              Capacity Element            Prioritization of
                                                                                Rating Levels            Capacity Elements
                                                                              NOTE: A ZERO (0)            INDICATE THE FOUR
                                                                              SCORE INDICATES              (OUT OF 59 TOTAL)
                                                                                 A MISSING               CAPACITY ELEMENTS
         Select any Capacity Element link below                               RESPONSE FROM              YOUR ORG. IS MOST
       to return to that section in the Assessment                            WORKSHEETS 1-4                 INTERESTED IN
                                                                                                         (PLACE AN 'X' IN THE
                                                                                                         APPROPRIATE CELLS)

1. Leadership Capacity
2. Adaptive Capacity
2.01 Strategic Planning                                                                 0
2.02 Evaluation / Performance Measurement                                               0
2.03 Evaluation & Organizational Learning                                               0
2.04 Use of Research Data to Support Program Planning &                                 0
2.05 Program Relevance & Integration                                                    0
2.06 Program Growth & Replication                                                       0
2.07 New Program Development                                                            0
2.08 Monitoring of Program Landscape                                                    0
2.09 Assessment of External Environment & Community Needs                               0
2.10 Influencing of Policy-making                                                       0
2.11 Partnerships & Alliances                                                           0
2.12 Community Presence & Standing                                                      0
2.13 Constituent Involvement                                                            0
2.14 Organizing                                                                         0

                          8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 63
                                                                             Capacity Element            Prioritization of
                                                                               Rating Levels            Capacity Elements
                                                                             NOTE: A ZERO (0)            INDICATE THE FOUR
                                                                             SCORE INDICATES              (OUT OF 59 TOTAL)
                                                                                A MISSING               CAPACITY ELEMENTS
          Select any Capacity Element link below                             RESPONSE FROM              YOUR ORG. IS MOST
        to return to that section in the Assessment                          WORKSHEETS 1-4                 INTERESTED IN
                                                                                                        (PLACE AN 'X' IN THE
                                                                                                        APPROPRIATE CELLS)

1. Leadership Capacity
3. Managament Capacity
3.01 Senior Management Team                                                            0
3.02 Staff                                                                             0
3.03 Dependence of Management Team & Staff on CEO/ED                                   0
3.04 Shared References & Practices                                                     0
3.05 Goals / Performance Targets                                                       0
3.06 Funding Model                                                                     0
3.07 Fund Development Planning                                                         0
3.08 Financial Planning / Budgeting                                                    0
3.09 Financial Operations Management                                                   0
3.10 Operational Planning                                                              0
3.11 Organizational Processes                                                          0
3.12 Decision Making Processes                                                         0
3.13 Knowledge Management                                                              0
3.14 Interfunctional Coordination & Communication                                      0
3.15 Human Resources Planning                                                          0
3.16 Recruiting, Development, & Retention of Management                                0
3.17 Recruiting, Development, & Retention of General Staff                             0
3.18 Volunteer Management                                                              0

                         8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 64
                                                                              Capacity Element            Prioritization of
                                                                                Rating Levels            Capacity Elements
                                                                              NOTE: A ZERO (0)            INDICATE THE FOUR
                                                                              SCORE INDICATES              (OUT OF 59 TOTAL)
                                                                                 A MISSING               CAPACITY ELEMENTS
          Select any Capacity Element link below                              RESPONSE FROM              YOUR ORG. IS MOST
        to return to that section in the Assessment                           WORKSHEETS 1-4                 INTERESTED IN
                                                                                                         (PLACE AN 'X' IN THE
                                                                                                         APPROPRIATE CELLS)

1. Leadership Capacity
4. Operational Capacity
4.01 Staffing Levels                                                                    0
4.02 Skills, Abilities, & Commitment of Volunteers                                      0
4.03 Fundraising                                                                        0
4.04 Board Involvement & Participation in Fundraising                                   0
4.05 Revenue Generation                                                                 0
4.06 Communications Strategy                                                            0
4.07 Communications & Outreach                                                          0
4.08 Telephone & Fax                                                                    0
4.09 Computers, Applications, Network, & Email                                          0
4.10 Website                                                                            0
4.11 Databases / Management Reporting Systems                                           0
4.12 Buildings & Office Space                                                           0
4.13 Management of Legal & Liability Matters                                            0

     OPERATIONAL CAPACITY                                                              0.00
     MANAGEMENT CAPACITY                                                               0.00
     ADAPTIVE CAPACITY                                                                 0.00
     LEADERSHIP CAPACITY                                                               0.00

                          8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 65


8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 66


8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 67


8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 68


8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Table, 4/18/2012, Page 69
     Organizational Capacity Assessment Summary





                   1.00   1.50                  2.00                 2.50                  3.00          3.50   4.00

                          8776d122-2683-4a7e-8aca-c40d8051c744.xlsx, Summary Chart, 4/18/2012, Page 66

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