Institutional Capacity Tool NDI

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Institutional Capacity Tool NDI Powered By Docstoc
					                                        DRAFT CEPPS NIGERIA
                       Organizational Capacity Assessment Tool
You will be rating the organization on a variety of capacity elements. The capacity elements are clustered into four
dimensions of nonprofit organizational capacity as delineated by:
1. Leadership Capacity - the ability of organizational leaders to inspire, prioritize, make decisions, provide direction, and
innovate Capacity - the ability of a nonprofit organization to monitor, assess, and respond to internal and external
2. Adaptive
changes
3. Management Capacity - the ability of a nonprofit organization to ensure the effective and efficient use of organizational
resources
4. Operational Capacity3 - the ability of a nonprofit organization to implement key organizational and programmatic functions


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 The Organization
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. Honestly is
essential. It is better to underestimate than overestimate the organization’s capacity.


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 xx 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 years.
                                                                         Leadership Capacity

Capacity Elements LEVEL ONE                                     LEVEL TWO                               LEVEL THREE                            LEVEL FOUR                             SCORE

   1.01 Vision           No clear vision articulated; little    Somewhat clear or specific              Clear and specific understanding       Clear, specific, and compelling
                         shared understanding of what           understanding of what organization      of what organization aspires to        understanding of what organization
                         organization aspires to become or      aspires to become or achieve; held      become or achieve; held by many        aspires to become or achieve;
                         achieve beyond the stated mission      by only a few, or “on the wall,” but    within the organization and often      universally held within organization
                                                                rarely used to direct actions or set    used to direct actions and set         and consistently used to direct
                                                                priorities                              priorities                             actions and set priorities


   1.02 Overarching      Vision (if it exists) not explicitly   Vision translated into a concrete       Vision translated into small set of    Vision translated into clear, bold
        Goals            translated into set of concrete        set of goals; goals lack at least two   concrete goals, but goals lack at      set of (up to three) goals that
                         goals, though there may be             of following fur attributes: clarity,   most two of following four             organization aims to achieve, with
                         general (but inconsistent and          boldness, associated measures, or       attributes: clarity, boldness,         specific time frames and concrete
                         imprecise) knowledge within            time frame for measuring                associated measures, or time           measures for each goal; goals are
                         organization of overarching goals      attainment; goals known by only a       frame for measuring attainment;        universally known within
                         and what it aims to achieve            few, or only occasionally used to       goals are known by many within         organization and consistently used
                                                                direct actions or set priorities        organization and often used by         to direct actions and set priorities
                                                                                                        them to direct actions and set
                                                                                                        priorities


   1.03 Overarching      Strategy is either non-existent,       Strategy exists but is either not       Coherent strategy has been             Clear, coherent medium- to long-
        Strategy         unclear, or incoherent (largely a      clearly linked to mission, vision,      developed and is linked to mission     term strategy that is both
                         set of scattered initiatives);         and overarching goals, or lacks         and vision but is not fully ready to   actionable and linked to overall
                         strategy has no influence over day-    coherence, or is not easily             be acted upon; strategy is mostly      mission, vision, and overarching
                         to-day behavior                        actionable; strategy is not broadly     known, and day-to-day behavior is      goals; strategy is universally
                                                                known and has limited influence         partly driven by it                    known and consistently helps drive
                                                                over day-today behavior                                                        day-today behavior at all levels of
                                                                                                                                               the organization


   1.04 Shared Beliefs   No common set of basic beliefs         Common set of basic beliefs and         Common set of basic beliefs and        Common set of basic beliefs and
        & Values         and values (e.g., social, cultural,    values exists in some groups            values held by many people within      values exists and is widely shared
                         etc.) exists within organization       within organization, but is not         organization; helps provide a          within organization; helps provide a
                                                                shared broadly; beliefs and values      sense of connection to                 sense of connection to
                                                                are only partially aligned with         organization; beliefs and values       organization and a clear direction
                                                                organizational purpose and              are aligned with organizational        for behavior; beliefs and values
                                                                constituents' norms, or are rarely      purpose and constituents' norms,       embodied by leader but are also
                                                                harnessed to produce impact             and are occasionally harnessed to      timeless and stable across
                                                                                                        produce impact                         leadership changes; beliefs and
                                                                                                                                               values clearly support
                                                                                                                                               organizational purpose, are in line
                                                                                                                                               with constituents' norms, and are
                                                                                                                                               consistently harnessed to produce
                                                                                                                                               impact

                                                                                      Leadership Capacity
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                                                                     Leadership Capacity

Capacity Elements LEVEL ONE                                 LEVEL TWO                             LEVEL THREE                            LEVEL FOUR                             SCORE
   1.05 Leadership     Roles of leadership and              Roles of leadership and               Roles of leadership and                leadership and management work
        Governance     management are unclear; board        management are clear; function        management are clear and               well together from clear roles;
                       rarely scrutinizes budgets, holds    according to by-laws, reviews         functions well; reviews budgets,       actively defines performance
                       subordinate units accountable,       budgets, and occasionally sets        audits, defines performance            targets and holds subordinate
                       oroperates according to formal       organizational direction and          targets and actively encourages        institutions fully accountable
                       procedures                           targets, but does not regularly       subordinate organizations to meet
                                                            review organizational performance,    targets; annual review subordinate
                                                            monitor potential conflicts of        organization,
                                                            interest, or scrutinize audits


   1.06 Analytical &   Somewhat uncomfortable with          Able to cope with some complexity Quickly assimilates complex                Possesses keen and exceptional
        Strategic      complexity and ambiguity; some       and ambiguity; able to analyze and information and able to distill to        ability to synthesize complexity;
        Thinking       ability to analyze strategies        periodically generate strategies   core issues; welcomes ambiguity           makes informed decisions in
                                                                                               and comfortable dealing with the          ambiguous, uncertain situations;
                                                                                               unknown; develops robust                  develops strategic alternatives and
                                                                                               strategies                                identifies associated rewards,
                                                                                                                                         risks, and actions


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




                                                                                  Leadership Capacity
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                                                        Leadership Capacity

Capacity Elements LEVEL ONE                         LEVEL TWO                 LEVEL THREE   LEVEL FOUR                   SCORE




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

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




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




   2.04 Monitoring of     Minimal knowledge and                 Basic knowledge of other players       Solid knowledge of other players       Extensive knowledge of other
        Program           understanding of other players as     as well as alternative and             as well as alternative and             players as well as alternative and
        Landscape         well as alternative and               complementary models in program        complementary models in program        complementary models in program
                          complementary models in program       area, but limited ability to adapt     area; good ability to adapt behavior   area; refined ability and systematic
                          area                                  behavior based on acquired             based on acquired understanding        tendency to adapt behavior based
                                                                understanding                          and cultural appropriateness, but      on acquired understanding and
                                                                                                       only carried out on occasion           cultural appropriateness




                                                                                      Adaptive Capacity
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                                                                         ADAPTIVE CAPACITY
Capacity                 LEVEL ONE                                LEVEL TWO                                 LEVEL THREE                              LEVEL FOUR                           SCORE
   2.05 Assessment of    Planning not supported by                 Information about community              Information about community              Clear, established systems
        External         systematically collected                 needs or external opportunities           needs and external opportunities         regularly used to assess
        Environment &    information about community              and threats used to inform                and threats used to inform               community needs and external
        Community        needs or external opportunities          planning, although collection is          planning; organization has many          opportunities and threats;
        Needs            and threats; organization has very       haphazard; organization has a few         connections to community                 information systematically
                         few connections to community             connections to community                  members and opinion leaders with         collected and used to support and
                         members and opinion leaders that         members and opinion leaders that          whom they communicate about              improve planning efforts;
                         can provide information about            can provide information about             evolving community needs                 organization has numerous
                         evolving community needs                 evolving community needs                                                           connections to community
                                                                                                                                                     members and opinion leaders with
                                                                                                                                                     whom they regularly communicate
                                                                                                                                                     about evolving community needs


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


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




                                                                                          Adaptive Capacity
INSTITUIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                                     page 10 of 24                                                                Drafted by Marshall Fischer, NDI
                                                                    ADAPTIVE CAPACITY
Capacity              LEVEL ONE                              LEVEL TWO                              LEVEL THREE                            LEVEL FOUR                              SCORE
   2.08 Community     Community presence either not          Community presence somewhat            Known within the community             Widely known within the
        Presence &    recognized or organization is          recognized, and organization is        beyond just constituents/members;      community, and perceived as
        Standing      generally not regarded as relevant     generally regarded as relevant in      perceived as open and responsive       actively engaged with and
                      in the community; few members of       the community; some members of         to community needs; members of         extremely responsive to it; many
                      the community (e.g., other             the community actively engage          larger community (including some       members of the larger community
                      nonprofit leaders, government          with organization; community           highly respected members)              (including many highly respected
                      representatives, and academics)        leaders occasionally call on           actively engage with organization;     members) actively engage with
                      engage with organization;              organization for its input on issues   community leaders often call on        organization; community leaders
                      community leaders rarely call on       important to organization              organization for its input on issues   always call on organization for its
                      organization for its input on issues                                          important to Organization              input on issues important to
                      important to organization                                                                                            organization




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


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




                                                                                    Adaptive Capacity
INSTITUIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                               page 11 of 24                                                             Drafted by Marshall Fischer, NDI
                                                              MANAGEMENT CAPACITY
Capacity              LEVEL ONE                              LEVEL TWO                             LEVEL THREE                             LEVEL FOUR                             SCORE
  3.01 Senior         No or very limited prior experience    Some prior experience in nonprofit    Significant prior experience in in      Extensive and varied experience in
       Management     in relevant organizational area        in relevant organizational area       relevant organizational area            in relevant organizational area
       Team           management; team drawn from a          management; team drawn from           management; team drawn from             management; team drawn from
                      narrow range of backgrounds and        somewhat diverse backgrounds          diverse backgrounds and                 extraordinarily diverse
                      experiences; limited track record of   and experiences; decent track         experiences, and bring a broad          backgrounds and experiences, and
                      learning and personal                  record of learning and personal       range of skills; good track record of   bring a broad range of outstanding
                      development; energy and                development; energetic and            learning and personal                   capabilities; outstanding track
                      commitment is sometimes lacking        committed                             development; highly energetic and       record of learning and personal
                                                                                                   committed                               development; contagiously
                                                                                                                                           energetic and committed



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




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




                                                                                     Management Capacity
  INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                              page 12 of 24                                                                Drafted by Marshall Fischer, NDI
                                                              MANAGEMENT CAPACITY
Capacity               LEVEL ONE                             LEVEL TWO                             LEVEL THREE                             LEVEL FOUR                                SCORE
  3.04 Goals           Targets are non-existent or few,      Realistic targets exist in some key   Realistic yet demanding targets         Realistic yet demanding targets
       /Performance    vague or confusing, or either too     areas, and are mostly aligned with    exist in most areas, and are            exist in all areas; targets are tightly
       Targets         easy or impossible to achieve; not    overarching goals and strategy;       aligned with overarching goals and      linked to overarching goals and
                       clearly linked to overarching goals   may lack aggressiveness, be short-    strategy; primarily quantifiable and    strategy, quantifiable, outcome-
                       and strategy; targets largely         term, or lack milestones; targets     focused on outcomes; typically          focused, have annual milestones,
                       unknown or ignored by staff           are known and utilized by some        multi-year targets, though may lack     and are long-term in nature; all
                                                             staff                                 milestones; targets are known and       staff consistently utilize targets and
                                                                                                   utilized by most staff who use them     work diligently to achieve them
                                                                                                   to broadly guide work


  3.05 Budgeting and   No or very limited financial          Limited financial plans, updated on   Solid financial plans, updated          Very solid financial plans,
       Financial       planning; general budget              an ad hoc basis; budget utilized as   regularly; budget integrated into       continuously updated; budget
       Management      developed; only one budget for        operational tool; used to             most operations; reflects               integrated into all operations; used
                       entire organization; bills paid       guide/assess financial activities;    organizational needs; solid effort      as strategic tool; budget developed
                       regularly; supporting                 some attempt to isolate divisional    made to isolate divisional (program     from process that incorporates and
                       documentation collected and           (program or geographical) budgets     or geographical) budgets within         reflects organizational needs and
                       retained                              within central budget; financial      central budget; established internal    objectives; well-understood
                                                             activities consistently documented    controls govern all financial           divisional (program or
                                                             and reported; appropriate checks      operations; activities fully tracked,   geographical) budgets within
                                                             and balances exist; activities        supported, and reported; some           overall central budget; robust
                                                             tracked to budget                     attention paid to cash flow             systems and controls govern all
                                                                                                   management                              financial operations and their
                                                                                                                                           integration with budgeting, decision
                                                                                                                                           making, and organizational goals;
                                                                                                                                           cash flow actively managed




                                                                                     Management Capacity
  INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                              page 13 of 24                                                                  Drafted by Marshall Fischer, NDI
                                                               MANAGEMENT CAPACITY
Capacity                LEVEL ONE                             LEVEL TWO                             LEVEL THREE                            LEVEL FOUR                            SCORE
  3.06 Operational      Operations run purely on day-to-      Some ability and tendency to          Ability and tendency to develop        Concrete, realistic, and detailed
       Planning         day basis with no short- or longer-   develop high-level operational plan   and refine concrete, realistic         operational plan developed and
                        term planning activities; no          either internally or via external     operational plan; some internal        regularly refined; critical mass of
                        experience in operational planning    assistance; operational plan          expertise in operational planning or   internal expertise in operational
                                                              loosely or not linked to strategic    access to relevant external            planning, or efficient use of
                                                              planning activities and used          assistance; operational planning       external, sustainable, highly
                                                              roughly to guide operations           carried out on a near-regular basis;   qualified resources; operational
                                                                                                    operational plan linked to strategic   planning exercise carried out
                                                                                                    planning activities and used to        regularly; operational plan tightly
                                                                                                    guide operations                       linked to strategic planning
                                                                                                                                           activities and systematically used
                                                                                                                                           to direct operations


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




                                                                                      Management Capacity
  INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                               page 14 of 24                                                               Drafted by Marshall Fischer, NDI
                                                             MANAGEMENT CAPACITY
Capacity                 LEVEL ONE                          LEVEL TWO                             LEVEL THREE                             LEVEL FOUR                             SCORE
  3.08 Decision Making Decisions made largely on an ad      Appropriate decision makers           Transparent and structured              Transparent and structured
       Processes       hoc basis by one person and/or       known; decision making processes      lines/systems for decision making       lines/systems for decision making
                       whomever is accessible; highly       fairly well established, but often    exist; dissemination of decisions       exist, and involve broad
                       informal; authority is vague and     break down and become informal;       generally good; general awareness       participation as practical and
                       changing; staff is unaware of        social/cultural power differences     of social/cultural power differences    appropriate (sometimes including
                       social/cultural power differences    addressed in a limited fashion        and on-going plans to address           constituents); dissemination and
                       between themselves and their         (e.g., a one-day training)            them                                    interpretation of decisions is both
                       constituents                                                                                                       good and consistent; specific
                                                                                                                                          awareness of social/cultural power
                                                                                                                                          differences and established
                                                                                                                                          systems in place to mitigate them




  3.09 Knowledge         No formal systems to capture and   Systems exist in a few areas but      Well-designed, user-friendly            Well-designed, user-friendly,
       Management        document internal knowledge        are either not user-friendly or not   systems in some areas; not fully        comprehensive systems to
                                                            comprehensive enough to have an       comprehensive; systems are              capture, document, and
                                                            impact; systems known by only a       known by many people within             disseminate knowledge internally
                                                            few people, or only occasionally      organization and often used             in all relevant areas; all staff are
                                                            used                                                                          aware of systems and trained in
                                                                                                                                          their use; systems used frequently


  3.10 Interfunctional   Different programs and             Interactions between different        All programs and units function         Constant and seamless integration
       Coordination &    organizational units function in   programs and organizational units     together effectively, with sharing of   between different programs and
       Communication     silos; little or dysfunctional     generally good, though some           information and resources;              organizational units; relationships
                         coordination and communication     coordination and communication        coordination and communication is       are dictated primarily by
                         between them                       problems exist; some pooling of       strong                                  organizational needs rather than
                                                            resources                                                                     hierarchy or politics




                                                                                     Management Capacity
  INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                              page 15 of 24                                                               Drafted by Marshall Fischer, NDI
                                                                 MANAGEMENT CAPACITY
Capacity                LEVEL ONE                               LEVEL TWO                               LEVEL THREE                           LEVEL FOUR                               SCORE
  3.11 Human            Organization uncovers and/or            Some ability and tendency to            Ability and tendency to develop       Ability to develop and refine
       Resources        addresses HR needs only when            develop high-level HR plan either       and refine concrete, realistic HR     concrete, realistic, and detailed HR
       Planning         too large to ignore; lack of HR         internally or via external              plan; some internal expertise in HR   plan; critical mass of internal
                        planning activities and expertise       assistance; HR plan loosely or not      planning or access to relevant        expertise in HR planning, or
                        (either internally or accessible        linked to strategic planning            external assistance; HR planning      efficient use of external, highly
                        externally); job descriptions do not    activities and roughly guides HR        carried out on near-regular basis;    qualified resources; HR planning
                        exist                                   activities; job descriptions tend to    HR plan linked to strategic           exercises carried out regularly; HR
                                                                be static                               planning activities and used to       plan tightly linked to strategic
                                                                                                        guide HR activities; job              planning activities and
                                                                                                        descriptions periodically updated     systematically used to direct HR
                                                                                                        and revised in response to            activities; job descriptions regularly
                                                                                                        changing organizational needs and     updated and revised in response to
                                                                                                        to support the growth and             changing organizational needs and
                                                                                                        development of staff                  to support growth and
                                                                                                                                              development of staff




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




                                                                                          Management Capacity
  INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                                   page 16 of 24                                                               Drafted by Marshall Fischer, NDI
                                                           Management Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)      page 17 of 24      Drafted by Marshall Fischer, NDI
                                                           Management Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)      page 18 of 24      Drafted by Marshall Fischer, NDI
                                                           Management Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)      page 19 of 24      Drafted by Marshall Fischer, NDI
                                                           Management Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)      page 20 of 24      Drafted by Marshall Fischer, NDI
                                                           Management Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)      page 21 of 24      Drafted by Marshall Fischer, NDI
                                                                    OPERATIONAL CAPACITY
Capacity                     LEVEL ONE                            LEVEL TWO                                LEVEL THREE                             LEVEL FOUR                              SCORE
   4.01 Staffing             Levels Some positions within and     Critical positions within and            Critical positions within and           All positions within and peripheral
                             peripheral to organization (e.g.,    peripheral to organization are           peripheral to organization are          to organization are adequately and
                             staff, volunteers, board, senior     staffed, though some                     adequately and appropriately            appropriately staffed; attendance
                             management) are unfilled,            inappropriately; attendance              staffed; attendance problems are        problems are extremely rare;
                             inadequately filled, or experience   problems are limited; high turnover      rare; turnover is limited               turnover is limited; vacancies filled
                             high turnover and/or poor            is sometimes a challenge                                                         immediately
                             attendance
   4.02 Skills, Abilities,   Staff not working up to their        Many staff working up to their           Capable set of individuals that         Extremely capable set of
        & Commitment         potential or ill-equipped for work   potential; mostly reliable, loyal, and   bring required skills to                individuals that bring
        of Staff             with organization; may be            committed to organization’s              organization; culturally competent,     complementary skills to
                             unreliable or have low commitment    success                                  reliable, loyal, and generally          organization; culturally competent,
                                                                                                           committed to organization’s             reliable, loyal, highly committed to
                                                                                                           success and to “making things           organization’s success and to
                                                                                                           happen”; work easily with most          “making things happen”; often go
                                                                                                           staff, but do not generally play core   beyond call of duty; able to work
                                                                                                           roles without staff supervision         easily with wide range of staff and
                                                                                                                                                   play core roles without special
                                                                                                                                                   supervision


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


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




                                                                                        Operational Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                                   page 22 of 24                                                                Drafted by Marshall Fischer, NDI
                                                                   OPERATIONAL CAPACITY
Capacity                   LEVEL ONE                             LEVEL TWO                                LEVEL THREE                               LEVEL FOUR                               SCORE
   4.05 Telephone & Fax Working status, lack of                  Adequate basic telephone and fax         Solid basic telephone and fax             Sophisticated and reliable
                        sophistication, or limited number of     facilities accessible to most staff;     facilities accessible to entire staff     telephone and fax facilities
                        telephone and fax facilities are an      may be moderately reliable or user-      (in office and out in the field); cater   accessible by all staff (in office and
                        impediment to day-to-day                 friendly, or may lack certain            to day-to-day communication               out in the field), includes around-
                        effectiveness and efficiency             features that would increase             needs with essentially no                 the-clock, individual voice-mail;
                                                                 effectiveness and efficiency (e.g.,      problems; includes additional             supplemented by additional
                                                                 individual voicemail), or may not        features contributing to increased        facilities (e.g., pagers, cell phones)
                                                                 be easily accessible to some staff       effectiveness and efficiency (e.g.,       for selected staff; effective and
                                                                 (e.g., field staff); most frequent       individual, remotely accessible           essential in increasing staff
                                                                 users receive training on phone          voice-mail); most staff receive           effectiveness and efficiency; all
                                                                 system features                          training on phone system features         staff receive training on phone
                                                                                                                                                    system features


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


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


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



                                                                                       Operational Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                                  page 23 of 24                                                                   Drafted by Marshall Fischer, NDI
                                                                   OPERATIONAL CAPACITY
Capacity                   LEVEL ONE                             LEVEL TWO                             LEVEL THREE                            LEVEL FOUR                                SCORE
   4.09 Buildings &        Inadequate physical infrastructure,   Physical infrastructure can be        Fully adequate physically              Physical infrastructure well tailored
        Office Space       resulting in loss of effectiveness    made to work well enough to suit      infrastructure for the current needs   to organization’s current and
                           and efficiency (e.g., unfavorable     organization’s most important and     of the organization; infrastructure    anticipated future needs; well-
                           locations for clients and             immediate needs; a number of          does not impede effectiveness and      designed to enhance
                           employees, no possibility of          improvements could increase           efficiency; decor partially reflects   organization’s effectiveness and
                           confidential discussions,             effectiveness and efficiency          cultural traditions of constituents    efficiency; favorable locations for
                           insufficient workspace for                                                                                         clients and employees; plentiful
                           individuals, no space for teamwork)                                                                                space encourages teamwork;
                                                                                                                                              layout increases critical
                                                                                                                                              interactions among staff; decor
                                                                                                                                              clearly reflects and affirms cultural
                                                                                                                                              traditions of constituents


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




                                                                                     Operational Capacity
INSTITUTIONAL CAPACITY ASSESSMENT TOOL (revised 3-16-06)                                page 24 of 24                                                               Drafted by Marshall Fischer, NDI

				
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