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Oklahoma City Community Foundation
Organizational Capacity Assessment Tool (OCAT)
The Oklahoma City Community Foundation OCAT is based upon the McKinsey Capacity Assessment Grid created by McKinsey & Company and
published in Effective Capacity Building in Nonprofit Organizations (2001), produced for Venture Philanthropy Partners (www.vppartners.org). It is
reprinted, copied, or distributed with the permission of Venture Philanthropy Partners.
What is OCAT?
The OCAT is a self-assessment instrument that helps nonprofit organizations identify capacity strengths and challenges
and establish capacity buildling goals to create a more sustainable organization. It is primarily a diagnostic and learning
tool that should provide a framework for measuring growth in your nonprofit's organizational capacity over time. The
completion of the OCAT is required as part of our COE grants program.
Who Should Complete the OCAT?
OCAT is intended for self-guided use by nonprofit organizations. Three to five participants from various levels of the
organization (executive director and board president at the least) should complete the OCAT separately. Upon
completing the OCAT, participants should gather to discuss their ratings and reach consensus on one set of ratings that
best represents your organization and submit those ratings on behalf of the organization. Completing the OCAT using a
team approach both improves validity and reduces individual biases. More importantly, this process serves as a catalyst
for key people to engage in meaningful dialogue about the organization. Even if your organization is not applying for a
COE grant, we encourage you to complete the OCAT to better assess the capacity of your organization.
Instructions
This workbook contains 11 worksheets; the various worksheet tabs are located at the bottom of the screen; click on the
tabs to view each worksheet. Please note that the OCAT may take up to 45 minutes to complete. Before beginning you
must save the Excel file to your computer.
Participants will be rating their organization on a variety of elements grouped in seven areas of organizational capacity
(number in parentheses indicates number of elements within each area): I. Aspirations (4); II. Strategy (6);
III. Organizational Skills (15); IV. Human Resources (14), V. Systems and Infrastructure (12); VI. Organizational Structure
(4); and VII. Culture (3).
For each capacity element, you will select a description that best describes your organization's status or performance.
Description options for each element are: 1 - Clear need for increased capacity; 2 - Basic level of capacity in place; 3 -
Moderate level of capacity in place; 4 - High level of capacity in place; and N/A (not applicable or does not apply to my
organization). If you find that your organization does not fully match some of the descriptions simply select the
description that is most suitable or accurate for your organization. All elements must have an answer to
complete the assessment.
Inputting Your Selections
To input your selections, select the yellow cell to the right of each element. Next, select the down arrow and choose from
the list that appears. If an element does not apply to your organization, select "N/A." Each element must have a rating
(even if its N/A) for a complete summary of your assessment. A section for comments is included at the end of each
worksheet. In addition, the Summary Chart worksheet includes a chart that will provide an overall summary the OCAT.
Prioritizing Capacity Elements
At the end of each worksheet you will find a summary chart for that capacity element topic. You will notice a "priority"
column. Use this column to indicate whether each individual element is low, medium or high priority for your organization.
Questions: Please contact Gayle Farley at 405/606-2910 or g.farley@occf.org.
5b0dee92-5667-4417-8e6c-97f03778060f.xls
Please proceed to the Organizational Information worksheet (see tabs below) to begin. Page 1
Organizational Information
It is expected that at the minimum the top executive staff member and the board president/chairman will complete the OCAT
Organization
Staff Member Completing the OCAT
Title of Staff Member
E-mail Address of Staff Member
Board President/Chairman Completing the OCAT
E-mail Address of Board Member
Other Participants Completing OCAT:
Name
Role with Organization (Staff/Board Member)
Name
Role with Organization (Staff/Board Member)
Name
Role with Organization (Staff/Board Member)
Name
Role with Organization (Staff/Board Member)
Name
Role with Organization (Staff/Board Member)
Name
Role with Organization (Staff/Board Member)
Please proceed to Worksheet 1.
Organizational Information Page 2
I. ASPIRATIONS 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of Input
capacity capacity in place capacity in place capacity in place capacity
ranking
Aspirations
1.01 Mission No written mission or Some expression of Clear expression of Clear expression of
limited expression of the organization's reason for organization's reason for organization's reason for
organization's reason for existence that reflects its existence which reflects its existence which describes
existence; lacks clarity or values and purpose, but values and purpose; held by an enduring reality that
specificity; either held by may lack clarity; held by many within organization reflects its values and
very few in organization or only a few; lacks broad and often referred to purpose; broadly held
rarely referred to agreement or rarely within organization and
referred to frequently referred to
1.02 Program Little shared Somewhat clear or specific Clear and specific Clear, specific and
relevance and understanding of what understanding of what understanding of what compelling understanding
integration organization aspires to organization aspires to organization aspires to of what organization
become or achieve beyond become or achieve; lacks become or achieve; held by aspires to become or
the stated mission specificity or clarity; held by many within the achieve; broadly held within
only a few; or "on the wall" organization and often used organization and
but rarely used to direct to direct actions and set consistently used to direct
actions or set priorities priorities actions and set priorities
1.03 Program No clear vision articulated Vision exists but falls short Vision is distinctive along Vision reflects an inspiring
growth and of reflecting an inspiring only one of the following view of future and is
replication view of the future and of attributes: reflects an demanding but achievable
being demanding yet inspiring view of future;
achievable demanding yet achievable
1.04 New program Vision (if it exists) not Vision translated into a Vision translated into small Vision translated into clear,
development explicitly translated into concrete set of goals; goals sets of concrete goals, but bold set of (up to three)
small set of concrete lack at least two of following goals lack at most two of the goals that organization
goals, though there may four attributes: clarity, following attributes: clarity, aims to achieve, specified
be general (but boldness, associated boldness, associated by concrete to measures
inconsistent and metrics or time frame for metrics or time frame for success for each criterion,
imprecise) knowledge measuring attainment; measuring attainment; goals and by well-defined time
within organization of goals known by only a few are known by many within frames for attaining goals;
overarching goals and or only occasionally used to organization and often used goals are broadly known
what it aims to achieve direct actions or set by them to direct actions within organization and
priorities and set priorities consistently used to direct
actions and set priorities
Page 3 of 26
Comments:
Aspirations
1.01 Mission
Rank Priority
1.02 Program relevance and
1.01
integration
1.02
1.03 Program growth and replication
1.03
1.04 New program development
1.04
0 1 2 3 4
Page 4 of 26
II. STRATEGY 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of
Input capacity
capacity capacity in place capacity in place capacity in place
ranking
2.01 Overall strategy Strategy is either Strategy exists but is either Coherent strategy has been Organization has clear,
nonexistent, unclear or not clearly linked to mission, developed and is linked to coherent medium- to
incoherent (largely set of vision and overarching goals mission and vision but is not long-term strategy that
scattered initiatives); or lacks coherence or is not fully ready to be acted upon; is both actionable and
strategy has no influence easily actionable; strategy is strategy is mostly known and linked to overall
over day-to-day behavior not broadly known and has day-to-day behavior is partly mission, vision and
limited influence on day-to- driven by it overarching goals;
day behavior strategy is broadly
known and consistently
helps drive day-to-day
behavior at all levels of
organization
2.02 Targets are nonexistent or Realistic targets exist in Quantified, aggressive targets Limited set of quantified,
Goals/performance few; targets are vague or some key areas and are in most areas; linked to genuinely demanding
targets confusing or either too easy mostly aligned with aspirations and strategy; mainlyperformance targets in
or impossible to achieve; aspirations and strategy; may focused on "outputs/outcomes" all areas; targets are
not clearly linked to lack aggressiveness or be (results of doing things right) tightly linked to
aspirations and strategy short-term, lack milestones or with some "inputs;" typically aspirations and
and may change from year mostly focused on "inputs" multiyear targets though may strategy,
to year; targets largely (things to do right), or often lack milestones; targets are output/outcome-focused
unknown or ignored by staff renegotiated; staff may or known and adopted by most (i.e. results of doing
may not know and adopt staff who usually use them to things right as opposed
targets broadly guide work to inputs, things to do
right), have annual
milestones and are long-
term nature; staff
consistently adopts
targets and works
diligently to achieve
them
2.03 Program Core programs and Most programs and services Core programs and services All programs and
relevance and services vaguely defined well defined and can be well defined and aligned with services well defined
integration and lack clear alignment solidly linked with mission mission and goals; program and fully aligned with
with mission and goals; and goals; program offerings offerings fit together well as part mission and goals;
programs seem scattered may be somewhat scattered of clear strategy program offerings are
and largely unrelated to and not fully integrated into clearly linked to one
each other clear strategy another and to overall
strategy; synergies
across programs are
captured
Page 5 of 26
2.04 Program No assessment of Limited assessment of Occasional assessment of Frequent assessment of
growth and possibility of scaling up possibility of scaling up possibility of scaling up existing possibility of scaling up
replication existing programs, limited existing programs and, even programs and when judged existing programs and
ability to scale up or when judged appropriate, appropriate, action occasionally when judged
replicate existing programs little or limited action taken; taken; able to scale up or appropriate, action
some ability either to scale up replicate existing programs always taken; efficiently
or replicate existing programs and effectively able to
grow existing programs
to meet needs of
potential service
recipients in local area
or other geographies
2.05 New program No assessment of gaps in Limited assessment of gaps Occasional assessment of gaps Continual assessment
development ability of current programs in ability of existing program in ability of existing program to of gaps in ability of
to meet recipient needs; to meet recipient needs, with meet recipient needs, with existing programs to
limited ability to create new little or limited action taken; some adjustments made; meet recipient needs
programs; new programs some ability to modify demonstrated ability to modify and adjustment always
created largely in response existing programs and create and fine-tune existing programs made; ability and
to funding availability new programs and create new programs tendency efficiently and
effectively to create
new, truly innovative
programs to the needs
of potential service
recipients in local area
or other geographies;
continuous pipeline of
new ideas
2.06 Funding Model Organization highly Organization has access to Solid basis of funders in most Highly diversified
dependent on a few multiple types of funding (e.g. types of funding source (e.g. funding across multiple
funders, largely of same government, foundations, government, foundations, source types;
type (e.g. government or corporations, private corporations, private organization insulated
foundations or private individuals) with only a few individuals); some activities to from potential market
individuals) funders in each type or has hedge against market instabilities (e.g. fully
many funders within only one instabilities (e.g. building of developed endowment)
or two types of funders endowment); organization has and/or has developed
developed some sustainable sustainable revenue-
revenue-generating activity generating activities;
other nonprofits try to
imitate organization's
fund-raising activities
and strategies
Comments:
Page 6 of 26
Strategy
Rank Priority
2.01 Overall strategy 2.01
2.02 Goals/performance targets
2.02
2.03 Program relevance and integration
2.03
2.04 Program growth and replication
2.04
2.05 New program development
2.05
2.06 Funding Model 2.06
0 1 2 3 4
Page 7 of 26
III. 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of Input
ORGANIZATIONAL capacity capacity in place capacity in place capacity in place capacity
SKILLS ranking
Performance Management
3.01 Performance Very limited measurement Performance partially Performance measured and Well-developed
Measurement and tracking of measured and progress progress tracked in multiple comprehensive, integrated
performance; all or most partially tracked; ways several times a year system (e.g., balanced
evaluation based on organization regularly considering social, financial scorecard) used for measuring
anecdotal evidence; collects solid data on and organizational impact of organization's performance
organization collects some program activities and program and activities; and progress on continual
data on program activities outputs (e.g., number of multiplicity of performance basis, including social,
and outputs (e.g., number of children served) but lacks indicators; social impact financial and organizational
children served) but has no data-driven, externally measured, but control group, impact of program and
social impact measurement validated social impact longitudinal (i.e. long-term) or activities; small number of
(measurement of social measurement third-party nature of evaluation clear, measureable and
outcomes e.g., drop-out rate is missing meaningful key performance
lowered) indicators; social impact
measures based on
longitudinal studies with control
groups, and performed or
supervised by third-party
experts
3.02 Performance Few external performance Some efforts made to Effective internal and external Comprehensive internal and
analysis and comparisons made; internal benchmark activities and benchmarking occurs but external benchmarking part of
program adjustments performance data rarely outcomes against outside driven largely by top the culture and used by staff in
used to improve program world; internal performance management and/or confined target-setting and daily
and organization data used occasionally to to selected areas; learnings operations; high awareness of
improve organization distributed throughout how all activities rate against
organization and often used to internal and external best-in-
make adjustments and class benchmarks; systematic
improvements practice of making adjustments
on basis of benchmarking
Planning
3.03 Monitoring of Minimal knowledge and Basic knowledge of players Solid knowledge of players and Extensive knowledge of
landscape understanding of other and alternative models in alternative models in program players and alternative models
players and alternative program area but limited area; good ability to adapt in program area; refined ability
models in program areas ability to adapt behavior behavior based on acquired and systematic tendency to
based on acquired understanding, but only adapt behavior based on
understanding occasionally carried out understanding
3.04 Strategic planning Limited ability and tendency Some ability and tendency Ability and tendency to develop Ability to develop and refine
to develop strategic plan to develop high-level and refine concrete, realistic concrete, realistic and detailed
either internally or via strategic plan either strategic plan; some internal strategic plan; critical mass of
external assistance; if internally or via external expertise in strategic planning internal expertise in strategic
strategic plan exists, it is not assistance; strategic plan or access to relevant external planning or efficient use of
used roughly directs management assistance; strategic planning external, sustainable, highly
decisions 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 decisions
Page 8 of 26
3.05 Financial No or very limited financial Limited financial plans, ad Solid financial plans, regularly Very solid financial plans,
planning/budgeting planning; general budget hoc update; budget utilized updated; budget integrated into continuously updated; budget
developed; only one budget as operational tool; used to operations; reflects integrated into full operations;
for entire central guide/assess financial organizational needs; solid as strategic tool, it develops
organization; performance activities; some attempt to efforts made to isolate from process that incorporates
against budget loosely or isolate divisional (program divisional (program or and reflects organizational
not monitored or geographical) budgets geographical) budgets within needs and objectives; well-
within central budget; central budget; performance-to- understood divisional (program
performance-to-budget budget monitored regularly or geographical) budgets
monitored periodically within overall central budget;
performance-to-budget closely
and regularly monitored
3.06 Operational Organization runs Some ability and tendency Ability and tendency to develop Organization develops and
planning operations purely on day-to- to develop high-level and refine concrete, realistic refines concrete, realistic and
day basis with no short- or operational plan either operational plan; some internal detailed operational plan; has
longer-term planning internally or via external expertise in operational critical mass of internal
activities; no experience in assistance; operational plan planning or access to relevant expertise in operational
operational planning loosely or not linked to external assistance; operational planning or efficiently uses
strategic planning activities planning carried out on a near- external, sustainable highly
and used roughly to guide regular basis; operational plan qualified resources;
operations linked to strategic planning operational planning exercise
activities and used to guide carried out regularly;
operations operational plan tightly linked
to strategic planning activities
and systematically used to
direct operations
3.07 Human resources Organization uncovers Some ability and tendency Ability and tendency to develop Organization is able to develop
planning and/or addresses HR needs to develop high-level HR and refine concrete, realistic and refine concrete, realistic
only when too large to plan either internally or via HR plan; some internal and detailed HR plan; has
ignore; lack of HR planning external assistance; HR expertise in HR planning or critical mass of internal
activities and expertise plan loosely or not linked to access to relevant external expertise in HR planning (via
(either internal or accessible strategic planning activities assistance; HR planning trained, dedicated HR
external); no experience in and roughly guides HR carried out on near-regular manager); or efficiently uses
HR planning activities basis; HR plan linked to external, sustainable, highly
strategic planning activities and qualified resources; HR
used to guide HR activities planning exercise carried out
regularly; HR plan tightly linked
to strategic planning activities
and systematically used to
direct HR activities
Fundraising and revenue generation
3.08 Fundraising Generally weak fundraising Main fundraising needs Regular fundraising needs Highly developed internal
skills and lack of expertise covered by some adequately covered by well- fundraising skills and expertise
(either internal or access to combination of internal skills developed internal fundraising in all funding source types to
external expertise) and expertise, and access skills, occasional access to cover all regular needs; access
to some external fundraising some external fundraising to external expertise for
expertise expertise additional extraordinary needs
Page 9 of 26
3.09 Revenue No internal revenue- Some internal revenue- Some proven internal revenue- Significant internal revenue-
generation generating activities; generating activities, generating activities and skills; generating activities;
concepts such as cause- however financial net these activities provide experienced and skilled in
related marketing, fee-for- contribution is minimal; substantial additional funds for areas such as cause-related
services and retailing are revenue-generating program delivery but partially marketing, fee-for-services and
neither explored or pursued activities distract from distract from programmatic retailing; revenue-generating
programmatic work and work and require significant activities support but don't
often tie up senior senior management attention distract from focus on creating
management team social impact
External relationship building and management
3.10 Partnerships and Limited use of partnerships Early stages of building Effectively built and leveraged Built, leveraged and
alliances development and alliances with public relationships and some key relationships with few maintained strong, high-impact
and nurturing sector, nonprofit or for-profit collaborating with other for- types of relevant parties (for- relationships with variety of
entities profit, nonprofit or public profit, public and nonprofit relevant parties (local, state
sector entities entities); some relations may and federal government
be precarious or not fully "win- entities as well as for-profit,
win" other nonprofit and community
agencies); relationships deeply
anchored in stable, long-term,
mutually beneficial
collaboration
3.11 Local community Organization's presence Organization's presence Organization reasonably well- Organization widely known
presence and either not recognized or somewhat recognized, and known within community, and within larger community and
involvement generally not regarded as generally regarded as perceived as open and perceived as actively engaged
positive; few members of positive within the responsive to community with and extremely responsive
local community (e.g. community; some members needs; members of larger to it; many members of the
academics, other nonprofit of larger community community (including a few larger community (including
leaders) constructively constructively engaged with prominent ones) constructively many prominent members)
involved in the organization the organization involved with organization actively and constructively
involved (e.g. board,
fundraising)
Other organizational skills
3.12 Public relations Organization makes no or Organization takes Organization considers Organization fully aware of
and marketing limited use of PR/marketing; opportunities to engage in PR/marketing to be useful and power of PR/marketing
general lack of PR/marketing as they arise; actively seeks opportunities to activities and continually and
PR/marketing skills and some PR/marketing skills engage in these activities; actively engages in them;
expertise (either internal or and experience within staff critical mass of internal broad pool of nonprofit
accessible external or via external assistance expertise and experience in PR/marketing expertise and
expertise) PR/marketing or access to experience within organization
relevant external assistance or efficient use made of
external, sustainable, highly
qualified resources
3.13 Influence of Organization does not have Organization is aware of its Organization is fully aware of Organization pro-actively and
policymaking ability or is unaware of possibilities in influencing its possibilities in influencing reactively influences
possibilities for influencing policymaking; some policymaking and is one of policymaking in a highly
policymaking; never called readiness and skill to several organizations active in effective manner on state and
in on substantive policy participate in policy policy discussions on state or national levels; always ready
discussions discussion, but rarely invited national level for and often called on to
to substantive policy participate in substantive
discussions policy discussion and at times
initiates discussions
Page 10 of 26
3.14 Management of Organization does not Legal support resources Legal support regularly Well-developed, effective and
legal and liability anticipate legal issues but identified, readily available available and consulted in efficient internal legal
matters finds help and addresses and employed on "as planning; routine legal risk infrastructure for day-to-day
issues individually as they needed" basis; major liability management and occasional legal work; additional access to
arise; property insurance exposures managed and review of insurance general and specialized
includes liability component insured (including property external expertise to cover
liability and workers peaks and extraordinary
compensation) cases; continuous legal risk
management and regular
adjustment of insurance
3.15 Organizational Limited set of processes Basic set of processes in Solid, well-designed set of Robust, lean and well-
processes use and (e.g. decision making, core areas for ensuring processes in place in core designed set of processes
development planning, reviews) for efficient functioning of areas to ensure smooth, (e.g. decision making,
ensuring effective organization; processes effective functioning of planning, reviews) in place in
functioning of the known, used and truly organization; processes known all areas to ensure effective
organization; use of accepted by only portion of and accepted by many, often and efficient functioning of
processes is variable or staff; limited monitoring and used and contribute to organization; processes are
processes are seen as ad assessment of processes increased impact; occasional widely known, used and
hoc requirements with few improvements monitoring and assessment of accepted and are key to
(paperwork exercises); no made in consequence processes with some ensuring full impact of
monitoring or assessment of improvements made organization; continual
processes monitoring and assessment of
processes and systematic
improvement made
Comments:
Organizational Skills
Rank Priority
3.01 Performance Measurement 3.01
3.02 Performance analysis and program adjustments 3.02
3.03 Monitoring of landscape 3.03
3.04 Strategic planning 3.04
3.05
3.05 Financial planning/budgeting
3.06
3.06 Operational planning
3.07
3.07 Human resources planning
3.08 Fundraising
3.08
3.09 Revenue generation
3.09
3.10 Partnerships and alliances development and 3.10
nurturing
3.11
3.11 Local community presence and involvement
3.12 Public relations and marketing
3.13 Influence of policymaking 3.12
Page 11 of 26
3.13 Influence of policymaking
3.13
3.14 Management of legal and liability matters
3.14
3.15 Organizational processes use and development
3.15
0 1 2 3 4
Page 12 of 26
IV. HUMAN 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of capacity in Input
RESOURCES capacity capacity in place capacity in place place capacity
ranking
4.01 Staffing levels Many positions within Most critical positions within Positions within and Positions within and peripheral to
and peripheral to and peripheral to peripheral to organization organization (e.g. staff, volunteers,
organization (e.g. staff, organization (e.g. staff, (e.g. staff, volunteers, board, board, senior management) are all
volunteers, board, senior volunteers, board, senior senior management) are fully staffed (no vacancies); no
management) are management) are staffed almost all staffed (no turnover or attendance problems
unfilled, inadequately (no vacancies) and/or vacancies); few turnover or
filled or experience high experience limited turnover attendance problems
turnover and/or poor and/or poor attendance
attendance problems
4.02 Board - Membership with Some diversity in Good diversity in Membership with
composition and limited diversity fields of practice; fields of practice broad variety of
commitment of fields of practice and membership represents a and expertise; fields of practice and
expertise; drawn from a few different membership represents expertise, and drawn from
narrow spectrum of constituencies (from most constituencies the full spectrum of
constituencies (from among nonprofit, (nonprofit, academia, constituencies (nonprofit,
among nonprofit, academia, corporate, corporate, government, academia, corporate,
academia, corporate, government, etc.); etc.); good commitment government, etc.); includes
government, etc.); little moderate commitment to to organization‟s success, functional and program
or no relevant organization‟s success, vision and mission, and content-related expertise,
experience; vision and mission; behavior to suit; regular, as well as high-profile
low commitment to regular, purposeful purposeful meetings are names; high willingness and
organization‟s success, meetings are well-planned well-planned and proven track record of
vision and mission; and attendance is good attendance is investing in learning about
meetings infrequent overall consistently good, the organization and
and/or poor attendance occasional subcommittee addressing its issues;
meetings outstanding commitment to
the organization‟s success,
mission and vision; meet in
person regularly, good
attendance, frequent
meetings of focused
subcommittees
4.03 Program Provide little Provide occasional Provide direction, Provide strong
relevance and direction, support, direction, support and support and direction, support,
integration and accountability to accountability to accountability to and accountability to
leadership; board not leadership; informed programmatic leadership; programmatic leadership
fully about all „material‟ fully informed of all major and engaged as a strategic
informed about „material‟ matters in a timely matters, input and resource; communication
and other major manner and responses actively sought between board and
organizational matters; responses/decisions and valued; full leadership reflects mutual
largely “feel-good” actively solicited participant in major respect, appreciation for
support decisions roles and responsibilities,
shared commitment and
valuing of collective wisdom
4.04 New program Low energy level and Good energy level; visible Inspiringly energetic; shows Contagiously energetic and highly
development commitment; little commitment to constant, visible committed; lives the organization‟s
continued attention to organization and its vision commitment to organization vision; compellingly articulates
organizational vision and its vision; excites others path to achieving vision that
around vision enables others to see where they
are going
Page 13 of 26
4.05 Funding Model Focused purely Focused on Sees financial Guides organization to succeed
on social impact; social impact soundness as simultaneously in dual mission of
financials viewed as an with some appreciation essential part of social impact and optimal financial
unfortunate constraint; for cost-effectiveness organizational impact, efficiency; constantly seeks and
fails to deliver impact when possible; constantly together with social finds new opportunities to improve
consistently; delays delivers satisfactory impact; focuses on ways impact; anticipates possible
decision making; impact given resources; to better use existing problems; has sense of urgency
reluctant to change promptly addresses resources to deliver about upcoming challenges;
status quo; mandates issues; understands highest impact possible; communicates compelling need for
rather than leads change implications and impact has a sense of urgency in change that creates drive; aligns
of change on people addressing issues and entire organization to support
rapidly moves from change effort
decision to action;
develops and implements
actions to overcome
resistance to change
4.06 People and Has difficulty building Is responsive to Actively and easily builds Constantly establishing
organizational trust and rapport with opportunities from others to rapport and trust with others; successful, win-win relationships
leadership/ others; micromanages work together; expresses effectively encourages others with others, both within and
effectiveness projects; shares little of confidence in others‟ ability to succeed; gives others outside the organization; delivers
own experiences as to be successful; shares freedom to work their own consistent, positive and
developmental/coaching own experience and way; gives people freedom to reinforcing messages to motivate
tool expertise try out ideas and grow people; able to let others make
decisions and take charge; finds or
creates special opportunities to
promote people‟s development
4.07 Personal and Fails to show respect for Earns respect of others, Is respected and sought out Is viewed as outstanding “people
interpersonal others consistently, may takes time to build by others for advice and person;" uses diversity of
effectiveness be openly judgmental or relationships; has presence, counsel; has strong presence communication styles, including
critical; has difficulty is able to influence and and charisma; uses multiple exceptional charisma, to inspire
influencing without using build support using limited approaches to get buy-in, others and achieve impact;
power, limited charisma communication style; appreciates the impact of continually self-aware, actively
or influence; limited accepts learning and his/her words or actions; works to better oneself;
curiosity about new ideas personal development seeks new learning and outstanding track record of
and experiences opportunities that arise personal development learning and personal
opportunities development
4.08 Analytical and Is uncomfortable with Is able to cope with some Quickly assimilates complex Has keen and exceptional ability to
strategic thinking complexity and ambiguity complexity and ambiguity; information and able to distill synthesize complexity; makes
and does whatever able to analyze strategies it to core issues; welcomes informed decisions in ambiguous
possible to reduce or but does not yet generate ambiguity and is comfortable and uncertain situations; develops
avoid it; relies mainly on strategies dealing with the unknown; strategic
intuition rather than develops robust strategies alternatives and identifies
strategic analysis associated rewards, risks, and
actions to lower risks
4.09 Financial Has difficulty considering Draws inappropriate Has sound financial Has exceptional financial
judgment financial implications of conclusions after studying judgment; consistently judgment; has keen, almost
decisions all the facts; understands considers financial intuitive sense for financial
basic financial concepts implications of decisions implications of decisions
and drives for financial
impact of major decisions
Page 14 of 26
4.10 Experience Limited experience in Some relevant experience Significant experience in Highly experienced in nonprofit
and standing nonprofit management in nonprofit management; nonprofit management; many management; many distinctive
and few relevant some relevant capabilities relevant capabilities from capabilities from other field(s)
capabilities from other from other field(s); emerging other field(s); significant (e.g., forprofit, academia);
field(s); little evidence of social entrepreneur-like evidence of social exceptional evidence of social
social entrepreneur-like qualities; some local entrepreneur-like entrepreneur-like qualities;
qualities; limited recognition in the nonprofit qualities; some national possesses a comprehensive and
recognition in the community recognition as a deep understanding of the sector;
nonprofit community leader/shaper in particular recognized nationally as a
sector leader/shaper in particular sector
4.11 Management Very strong dependence High dependence on CEO/ Limited dependence on Reliance but not dependence
team and staff -- on executive director; CEO/executive director; on CEO/ executive director;
dependence on CEO/executive director; organization would continue organization would continue smooth transition to new
CEO/executive organization would cease to exist without his/her in similar way without his/her leader could be expected;
director to exist without his/her presence, but likely in a presence but areas such as fund-raising and operations
presence very different form fund-raising or operations likely to continue without
would likely suffer major problems; senior
significantly during transition management team can fill in
period; no member of during transition time; several
management team could members of management
potentially take on CEO/ED team could potentially take on
role CEO/ED role
4.12 Senior Team has no or very Team has some experience Team has significant Team highly experienced in
management team limited experience in in nonprofit or for-profit experience in nonprofit or for- nonprofit or for-profit management;
nonprofit or for-profit management; team profit management; team drawn from full spectrum of
management; team represents some represents most constituencies (nonprofit,
represents few constituencies (nonprofit, constituencies (nonprofit, academia, corporate, government,
constituencies (nonprofit, academia, corporate, academia, corporate, etc.); outstanding capabilities and
academia, corporate, government, etc.); some government, etc.); significant track record from other fields;
government, etc.) and relevant capabilities and relevant capabilities and outstanding track record of
has no or very limited track record from other track record from other fields; learning and personal
capabilities and track fields; good track record of good track record of learning development; contagiously
record from other fields; learning and personal and personal development; energetic and committed
limited track record of development; energetic and highly energetic and
learning and personal committed committed
development; mostly
energetic and committed
Page 15 of 26
4.13 Staff Staff drawn from a Some variety of staff Staff drawn from diverse Staff drawn from extraordinarily
narrow range of backgrounds and backgrounds and diverse backgrounds and
backgrounds and experiences; good experiences, and bring a experiences, and bring broad
experiences; interest and capabilities, including some broad range of skills; most range of skills; most staff are
abilities limited to present ability to solve problems as are highly capable and highly capable in multiple roles,
job; little ability to solve they arise; many interested committed to mission and committed both to mission/strategy
problems as they arise in work beyond their current strategy; eager to learn and and continuous learning; most are
jobs and in the success of develop, and assume eager and able to take on special
the organization‟s mission increased responsibility projects and collaborate across
divisional lines; staff are frequent
source of ideas and momentum for
improvement and innovation
4.14 Volunteers 4.14 Limited abilities; Good abilities; mostly Very capable set of Extremely capable set of
may be unreliable or reliable, loyal and individuals, bring required individuals, bring complementary
have low commitment; committed to organization's skills to organization; reliable, skills to organization; reliable,
volunteers are poorly success; volunteers loyal and highly committed to loyal, highly committed to
managed managed but without organization's success and to organization's success and to
standards and little "making things happen;" "making things happen;" often go
accountability work easily with most staff, beyond call of duty; able to work in
but do not generally play core a way that serves organization
roles without substantial staff well, including ability to work easily
supervision; volunteers are with wide range of staff and play
managed and contribute to core roles without special
the overall success of the supervision; volunteers managed
organization very well and significantly
contribute to overall success of
organization
Comments:
Page 16 of 26
Human Resources
Rank Priority
4.01
4.01 Staffing levels
4.02 Board - composition and commitment 4.02
4.03 Program relevance and integration 4.03
4.04 New program development 4.04
4.05 Funding Model 4.05
4.06 People and organizational leadership/ effectiveness
4.06
4.07 Personal and interpersonal effectiveness
4.07
4.08 Analytical and strategic thinking
4.08
4.09 Financial judgment
4.09
4.10 Experience and standing
4.10
4.11 Management team and staff -- dependence on…
4.12 Senior management team 4.11
4.13 Staff 4.12
4.14 Volunteers 4.13
0 1 2 3 4 4.14
Page 17 of 26
V. Systems and 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of Input
infrastructure capacity capacity in place capacity in place capacity in place capacity
ranking
Systems
5.01 Planning Planning happens on an ad Planning done regularly and Regular planning Regular planning
systems hoc basis only and is not uses some systematically complemented by ad hoc complemented by ad hoc
supported by systematically collected data planning when needed; planning when needed; clear,
collected data some data collected and formal systems for data
used systematically to collection in all relevant areas;
support planning effort and data used systematically to
improve it support effort and improve it
5.02 Decision Decisions made largely on Appropriate decision makers Clear, largely formal Clear, formal lines/systems for
making framework an ad hoc basis by one known; decision making lines/systems for decision decision making that involve
person and/or whomever is process fairly well making but decisions are not as broad participation as
accessible; highly informal established and process is always appropriately practical and appropriate
generally followed; but often implemented or followed; along with
breaks down and becomes dissemination of decisions dissemination/interpretation of
informal generally good but could be decision
improved
5.03 Financial Gifts and grants deposited Financial activities Formal internal controls Robust systems and controls
operations and acknowledged, bills transparent, clearly and governing all financial in place governing all financial
management paid, supporting consistently recorded and operations; fully tracked, operations and their
documentation documented, include supported and reported, integration with budgeting,
collected/retained appropriate checks and annually audited fund flows decision making and
balances and tracked to well managed; attention is organizational
approve budget paid to cash flow objectives/strategic goals;
management cash flow actively managed
5.04 Human Standard career paths in Some tailoring of Recruitment, development Well-planned process to
resources place without considering development plan for and retention of key recruit, develop and retain key
management: managerial development; no brightest stars; personal managers is priority and high managers; CEO/executive
management or very limited training, annual reviews incorporate on CEO/executive director‟s director takes active interest
recruiting, coaching and feedback; no development plan for each agenda; some tailoring in in managerial development;
development and regular performance manager; limited willingness development individually tailored
retention appraisals; no to ensure high-quality job plans for brightest stars; development plans for
systems/processes to occupancy; some formal relevant training, job brightest stars; relevant and
identify new managerial recruiting networks are in rotation, coaching/feedback, regular internal and external
talent place and consistent performance training, job rotation,
appraisal are coaching/feedback and
institutionalized; genuine consistent performance
concern for high-quality job appraisal are institutionalized;
occupancy; well connected proven willingness to ensure
to potential sources of new high quality job occupancy;
talent well connected to potential
sources of new talent
5.05 Human Standard career paths in No active development Limited use of active Management actively
resources place without considering tools/programs; feedback development interested in general staff
management: staff development; limited and coaching occur tools/programs; frequent development; well-thought out
general staff training, coaching and sporadically; performance formal and informal coaching and targeted development
feedback; no regular evaluated occasionally; and feedback; performance plans for key
recruiting,
performance appraisals; no limited willingness to ensure regularly evaluated and employees/positions;
development and
systems/processes to high-quality job occupancy; discussed; genuine concern frequent, relevant training, job
retention identify new talent sporadic initiatives to identify for high-quality job rotation, coaching/feedback,
new talent occupancy; regular and consistent performance
concerted initiatives to appraisal institutionalized;
identify new talent proven willingness to ensure
high quality job occupancy;
continuous, proactive
initiatives to identify new
talent
5.06 Human No incentive system to Some basic elements of Many elements of incentive Well-designed, clear and well-
resources speak of; or incentive incentive system in place; system in place; includes a accepted incentive system;
management: system that is ineffective may include one of the few of following: competitive includes competitive salary
incentives and/or generates bad will following: competitive salary salary (possibly partly (possibly partly performance-
(possibly partly performance- performance-based), based), attractive career
based), attractive career attractive career development options or
development options or development options or opportunities for leadership
opportunities for leadership opportunities for leadership and entrepreneurship; system
and entrepreneurship; some and entrepreneurship; effective in motivating staff to
evidence of motivational obvious effect in motivating over deliver in their job
effect on staff performance staff to over deliver
5.07 Knowledge 5.07 No formal systems to Systems exist in a few areas Well-designed, user-friendly Well-designed, user-friendly
management capture and document but either not user-friendly or systems in some areas; not comprehensive systems to
internal knowledge not comprehensive enough fully comprehensive; capture, document and
to have an impact; systems systems are known by many disseminate knowledge
known by only a few people people within the internally to all relevant areas;
or only occasionally used organization and often used all staff is aware of systems,
knowledgeable in their use
and make frequent use of
them
Infrastructure
5.08 Physical Inadequate physical Physical infrastructure can Fully adequate physical Physical infrastructure well-
infrastructure - infrastructure, resulting in be made to work well enough infrastructure for the current tailored to organization's
buildings and office loss of effectiveness and to suit organization's most needs of the organization; current and anticipated future
space efficiency (e.g. unfavorable important and immediate infrastructure does not needs; well-designed and
locations for clients and needs; a number of impede effectiveness and thought out to enhance
employees, insufficient improvements could greatly efficiency (e.g. favorable organization's efficiency and
workspace for individuals, help increase effectiveness locations for clients and effectiveness (e.g. especially
no space for teamwork) and efficiency (e.g. no good employees, sufficient favorable locations for clients
office space for teamwork, individual and team office and employees, plentiful team
no possibility of holding space, possibility for office space encourages
confidential discussions, confidential discussions) teamwork, layout increases
employees share desks) critical interactions among
staff)
5.09 Status, lack of Adequate basic telephone Solid basic telephone and Sophisticated and reliable
Technological sophistication or limited and fax facilities accessible fax facilities accessible to telephone and fax facilities
infrastructure - number of telephone and to most staff; may be entire staff (in office and at accessible by all staff,
telephone/fax fax facilities are an moderately reliable or user- front line); cater to day-to- includes around-the-clock,
impediment to day-to-day friendly or may lack certain day communication needs individual voicemail;
effectiveness and efficiency features that would increase with no problems; includes supplemented by additional
effectiveness and efficiency additional features facilities (e.g. pagers, cell
(e.g. individual voicemail), or contributing to increased phones) for selected staff;
may not be easily accessible effectiveness and efficiency effective and essential in
to some staff (frontline (e.g. individual, remotely increasing staff effectiveness
deliverers) accessible voicemail) and efficiency
5.10 Technological Limited/no use of computers Well-equipped at central Solid hardware and software State-of-the-art fully
infrastructure -- or other technology in day- level; incomplete/limited infrastructure accessible by networked computing
computers, to-day activity; and/or little infrastructure at locations central and local staff; no or hardware with comprehensive
applications, or no usage by staff of aside from central offices; limited sharing of equipment range of up-to-date software
network and e-mail existing IT infrastructure equipment sharing may be is necessary; limited applications; all staff has
common; satisfactory use of accessibility for frontline individual computer access
IT infrastructure by staff program deliverers; high and e-mail; accessible by
usage level of IT frontline deliverers as well as
infrastructure by staff; entire staff; used regularly by
contributes to increased staff; effective and essential in
efficiency increasing staff efficiency
5.11 Organization has no Basic website containing Comprehensive website Sophisticated, comprehensive
Technological individual website general information, but little containing basic information and interactive website,
infrastructure - information on current on organization as well as regularly maintained and kept
website developments; site up-to-date latest up to date on latest area and
maintenance is a burden and developments; most organization developments;
performed only occasionally information is organization- praised for its user-
specific; easy to maintain friendliness and depth of
and regularly maintained information; includes links to
related organizations and
useful resources on topic
addressed by organization
5.12 No systems for tracking Electronic databases and Electronic database and Sophisticated, comprehensive
Technological clients, staff volunteers, management reporting management reporting electronic database and
infrastructure - program outcomes and systems exist only in few systems exist in most areas management reporting
databases and financial information areas; systems perform only for tracking clients, staff, systems exist for tracking
management basic features, are awkward volunteers, program clients, staff, volunteers,
reporting systems to use or are used only outcomes and financial program outcomes and
occasionally by staff information; commonly used financial information; widely
and help increase used and essential in
information sharing and increasing information sharing
efficiency and efficiency
Comments:
Systems & Infrastructures
Rank Priority
5.01 Planning systems 5.01
5.02 Decision making framework
5.02
5.03 Financial operations management 5.03
5.04 Human resources management: management
recruiting, development and retention 5.04
5.05 Human resources management: general staff 5.05
recruiting, development and retention
5.06 Human resources management: incentives 5.06
5.07 Knowledge management 5.07
5.08 Physical infrastructure -buildings and office 5.08
space
5.09 Technological infrastructure -telephone/fax 5.09
5.10 Technological infrastructure -- computers,
applications, network and e-mail 5.10
5.11 Technological infrastructure - website
5.11
5.12 Technological infrastructure - databases and
management reporting systems
5.12
0 1 2 3 4
VI. Organizational 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of Input
structure capacity capacity in place capacity in place capacity in place capacity
ranking
6.01 Board Board does not scrutinize Roles of legal board, Roles of legal board, Legal board, advisory board
governance budgets or audits, does not advisory board and advisory board and and managers work well
set performance targets and management are clear; managers are clear and together from clear roles;
hold CEO/ED accountable board functions according function well; board reviews board fully understands and
or does not operate to by-laws, reviews budgets budgets, audits IRS and fulfills fiduciary duties; size
according to formal and occasionally sets state filings; size of board of board set for maximum
procedures; executive, organizational direction and set for maximum effectiveness with rigorous
treasury and board functions targets, but does not effectiveness with rigorous nomination process; board
unclear regularly review CEO/ED nomination process; board actively defines
performance, conflicts of co-defines performance performance targets and
interest, scrutinize auditors targets and actively holds CEO/ED fully
or review IRS and state encourages CEO/ED to accountable; board
filings meet targets; annual review empowered and prepared to
of CEO performance but hire or fire CEO/ED if
board not prepared to hire or necessary; board
fire CEO periodically evaluated
6.02 Organizational Organizational entities (e.g. Some organizational Organizational entities are Roles and responsibilities of
design headquarters, regional and entities are clearly defined, clearly defined; all roles and all organizational entities
local offices) are not others are not; most roles responsibilities or (e.g. headquarters, regional
"designed," and roles, and responsibilities or organizational entities are and local entities) are
responsibilities of entities organizational entities are formalized but do not formalized, clear and
are neither formalized nor formalized but may not necessarily reflect complement each other;
clear; absence of reflect organizational organizational realities; organization chart is
organization chart realities; organization chart organization chart is complete and reflects
is incomplete and may be complete but may be current reality
outdated outdated
6.03 Program Different programs and Interactions between All programs and units Constant and seamless
relevance and organizational units function different programs and function together effectively integration between different
integration in silos; little or dysfunctional organizational units are with sharing of information programs and organizational
coordination between them generally good, though and resources; few units with few coordination
coordination issues do coordination issues issues; relationships are
exist; some pooling of dictated by organizational
resources needs (rather than hierarchy
or politics)
Page 22 of 26
6.04 Program growth Lack of positions created to Positions exist for most key All key roles have All roles have associated
and replication address a number of key roles with a few still associated positions; most dedicated positions; all
roles (e.g. CFO, HR, missing; most key positions individuals have well-defined individuals have clearly
learning and measurement); are well-defined and have roles with clear activities and defined core roles which
unclear roles and job descriptions; some reporting relationships and must be achieved and an
responsibilities with many unclear accountabilities or minimal overlaps; job area of discretion where
overlaps; job descriptions do overlap in roles and descriptions are they can show initiative and
not exist responsibilities; job continuously being redefined try to make a difference;
descriptions tend to be to allow for organizational core roles are defined in
static development and terms of end-products and
individuals' growth within services rather than
their jobs activities; individuals have
the ability to define their own
activities and are
empowered to continuously
re-examine their jobs
Comments:
Organizational Structure
Rank Priority
6.01 Board governance 6.01
6.02 Organizational design 6.02
6.03 Program relevance and integration 6.03
6.04 Program growth and replication
6.04
0 1 2 3 4
Page 23 of 26
VII. Culture 1. Clear need for 2. Basic level of 3. Moderate level of 4. High level of Input
capacity capacity in place capacity in place capacity in place capacity
ranking
7.01 Employees are hired, Performance contribution is Employee contribution to All employees are
Performance as rewarded and promoted for occasionally used and may be social, financial and systematically hired, rewarded
shared value executing a set of tasks/duties one of many criteria for hiring, organizational impact is and promoted for their
or for no clear reason, rather rewarding and promoting typically considered as a collective contribution to
than for their impact; decisions employees; performance data preeminent criterion in making social, financial and
are mostly made on "gut is used to make decisions hiring, rewards and promotion organizational impact; day-to-
feeling" decisions; important decisions day processes and decision
about the organization are making are embedded in
embedded in comprehensive comprehensive performance
performance thinking thinking; performance is
constantly referred to
7.02 Other No common set of basic Common set of basic beliefs Common set of basic beliefs Common set of basic beliefs
shared beliefs beliefs and values exists exists in some groups within held by many people within and values (e.g. social,
and values within the organization the organization but is not the organization; helps religious) exists and is widely
shared broadly; values may be provide members a sense of shared within the organization;
only partially aligned with identity; beliefs are aligned provides members sense of
organizational purpose or only with organizational purpose identity and clear direction for
rarely harnessed to produce and occasionally harnessed to behavior; beliefs embodied by
impact produce impact leader but nevertheless
timeless and stable across
leadership changes; beliefs
clearly support overall purpose
of the organization and are
consistently harnessed to
produce impact
7.03 Program No major common set of Common set of references and Common set of references Common set of references and
relevance and practices and references practices exists in some and practices exists and are practices exist within the
integration exists within the organization groups within the organization, adopted by many people organization which may
(such as traditions, rituals, but are not shared broadly; within the organization; include: traditions, rituals,
unwritten rules, stories, heroes may be only partially aligned references and practices are unwritten rules, stories, heroes
or role models, symbols, with organizational purpose or aligned with organizational or role models, symbols,
language, dress) only rarely harnessed to purpose and occasionally language, dress; are truly
produce impact harnessed to drive towards shared and adopted by all
impact members of the organization;
actively designed and used to
clearly support overall purpose
of the organization and to drive
performance
Comments:
Page 24 of 26
Rank Priority
Culture
Rank Priority
7.01
7.01 Performance as shared
value
7.02 Other shared beliefs and 7.02
values
7.03 Program relevance and 7.03
integration
0 1 2 3 4
Page 25 of 26
OCAT Overall Summary Average Ranking
Aspirations #DIV/0!
Strategy #DIV/0!
Organizational Skills #DIV/0!
Human Resources #DIV/0!
Systems & Infrastructures #DIV/0!
Organizational Structure #DIV/0!
Culture #DIV/0!
Average Ranking
Culture
Organizational Structure
Systems & Infrastructures
Human Resources
Organizational Skills
Strategy
Aspirations
0 1 2 3 4
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