Fund Development Strategy by zik12618


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									                      SVP Organizational Capacity Assessment Tool*

SVP focuses on organizational capacity building because we believe that supporting nonprofits as they develop their core skills, management
practices, and systems enhances a nonprofit‟s ability to fulfill their mission. SVP supports capacity building for its investees by providing cash
grants, skilled volunteers, technical assistance, leadership development, and management training opportunities.

The SVP Organizational Capacity Assessment Tool is a self-assessment instrument that helps nonprofits identify capacity strengths and
challenges and establish capacity building goals. As such, it is primarily a diagnostic and learning tool. In addition, the Assessment provides a
useful framework for measuring growth in organizational capacity over time.

For SVP investees, results from the Assessment should guide the development of the annual workplan and contribute to the establishment of a
long-term vision for the areas where SVP‟s resources can be directed in support of capacity building.

Who Should Complete the Tool?

The Assessment is intended for self-guided use by nonprofit organizations. Three to five participants from various levels of the organization (e.g.,
staff, Executive Director, Board President) should be invited to complete the Assessment individually. Upon completing the Assessment on an
individual basis, participants should gather to discuss their ratings and reach consensus on one set of ratings that best represents the organization;
this set of ratings is the one that should be submitted on behalf of your organization. Completing the Assessment using a team approach both
improves validity and reduces individual biases. More importantly, this process serves as a catalyst for key people to engage in rich conversation
about the organization.


You will be rating your organization on a variety of capacity elements, which have been grouped into ten areas of organizational capacity: Mission,
Vision, Strategy, and Planning; Program Design and Evaluation; Human Resources; CEO/ED/Senior Management Team Leadership; Information
Technology; Financial Management; Fund Development; Board Leadership; Legal Affairs; and Marketing, Communications, and External

This workbook contains 14 separate worksheets -- one worksheet for each area of organizational capacity and additional worksheets for these
instructions, respondent information, 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.

For each capacity element, 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 or accurate for your organization.

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, 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 is included at the bottom of each capacity worksheet.

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On the Summary Table worksheet, you will notice a "priority" column. Use this column to indicate whether each area of organizational capacity is a
low, medium, or high priority for your organization.

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".

                                        Please proceed to the Respondent Information Worksheet to begin.

*The original version of the Capacity Assessment Tool was created by McKinsey and Company for Venture Philanthropy Partners (, and
published in Effective Capacity Building in Nonprofit Organizations (2001). It was modified and assembled in electronic format by Blueprint Research and Design,
Inc. ( for Social Venture Partners Seattle (, and is used with permission from Venture Philanthropy Partners.

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                                                  RESPONDENT INFORMATION

Name of Person Completing Assessment
Title of Person Completing Assessment
Date Assessment Completed

Others Involved with the Assessment Process
                                                      Please proceed to Worksheet 1.

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                                            1. MISSION, VISION, STRATEGY & PLANNING
                               LEVEL ONE:                         LEVEL TWO:                       LEVEL THREE:                      LEVEL FOUR:
Capacity Elements               Clear need                         Basic level                      Moderate level                     High level
                                                                                                                                                                  rating in
                          for increased capacity               of capacity in place              of capacity in place             of capacity in place
                                                                                                                                                                this column
1.01 Mission           No written mission or limited      Some expression of                 Clear expression of             Clear expression of
                       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 an
                       existence; lacks clarity or        values and purpose, but may        values and purpose; held by     enduring reality that reflects
                       specificity; either held by very   lack clarity; held by only a       many within organization and    its values and purpose;
                       few in organization or rarely      few; lacks broad agreement         often referred to               broadly held within
                       referred to                        or rarely referred to                                              organization and frequently
                                                                                                                             referred to

1.02 Clarity of Vision Little shared understanding of Somewhat clear or specific             Clear and specific              Clear, specific, and
                       what organization aspires to       understanding of what              understanding of what           compelling understanding of
                       become or achieve beyond           organization aspires to            organization aspires to         what organization aspires to
                       the stated mission                 become or achieve; held by         become or achieve; held by      become or achieve; broadly
                                                          only a few; or “on the wall,”      many within the organization    held within organization and
                                                          but rarely used to direct          and often used to direct        consistently used to direct
                                                          actions or set priorities          actions and set priorities      actions and set priorities

1.03 Boldness of       No clear vision articulated        Vision exists but falls short of   Vision is distinctive along only Vision reflects an inspiring
      Vision                                              reflecting an inspiring view of    one of following two              view of future and is
                                                          the future and of being            attributes: reflects an inspiring demanding but achievable
                                                          demanding yet achievable           view of future; demanding yet

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

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

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                            LEVEL ONE:                         LEVEL TWO:                       LEVEL THREE:                      LEVEL FOUR:
Capacity Elements            Clear need                         Basic level                      Moderate level                     High level
                                                                                                                                                               rating in
                       for increased capacity               of capacity in place              of capacity in place             of capacity in place
                                                                                                                                                             this column
1.06 Strategic      Limited ability and tendency        Some ability and tendency to      Ability and tendency to         Ability to develop and refine
     Planning       to develop strategic plan,          develop high-level strategic      develop and refine concrete, concrete, realistic and
                    either internally or via external   plan either internally or via     realistic strategic plan; some detailed strategic plan; critical
                    assistance; if strategic plan       external assistance; strategic    internal expertise in strategic mass of internal expertise in
                    exists, it is not used              plan roughly directs              planning or access to relevant strategic planning, or efficient
                                                        management decisions              external assistance; strategic use of external, sustainable,
                                                                                          planning carried out on a near- highly qualified resources;
                                                                                          regular basis; strategic plan strategic planning exercise
                                                                                          used to guide management carried out regularly; strategic
                                                                                          decisions                       plan used extensively to
                                                                                                                          guide management decisions

1.07 Planning       Planning happens on an ad           Planning done regularly and       Regular planning                 Regular planning
     Systems        hoc bases only and is not           uses some systematically          complemented by ad hoc           complemented by ad hoc
                    supported by systematically         collected data                    planning when needed; some       planning when needed; clear,
                    collected data                                                        data collected and used          formal systems for data
                                                                                          systematically to support        collection in all relevant
                                                                                          planning effort and improve it   areas; data used
                                                                                                                           systematically to support
                                                                                                                           planning effort and improve it

1.08 Goals /        Targets are non-existent or         Realistic targets exist in some   Quantified, aggressive targets   Limited set of quantified,
     Performance    few; targets are vague, or          key areas, and are mostly         in most areas; linked to         genuinely demanding
     Targets        confusing, or either too easy       aligned with aspirations and      aspirations and strategy;        performance targets in all
                    or impossible to achieve; not       strategy; may lack                mainly focused on                areas; targets are tightly
                    clearly linked to aspirations       aggressiveness, or be short-      “outputs/outcomes” (results of   linked to aspirations and
                    and strategy, and may               term, lack milestones, or         doing things right) with some    strategy, output/outcome-
                    change from year to year;           mostly focused on “inputs”        “inputs”; typically multiyear    focused (i.e., results of doing
                    targets largely unknown or          (things to do right), or often    targets, though may lack         things right, as opposed to
                    ignored by staff                    renegotiated; staff may or        milestones; targets are known    inputs, things to do right),
                                                        may not know and adopt            and adopted by most staff        have annual milestones, and
                                                        targets                           who usually use them to          are long-term nature; staff
                                                                                          broadly guide work               consistently adopts targets
                                                                                                                           and works diligently to
                                                                                                                           achieve them

1.09 Operational    Organization runs operations        Some ability and tendency to      Ability and tendency to         Organization develops and
     Planning       purely on day-to-day basis          develop high-level operational    develop and refine concrete, refines concrete, realistic, and
                    with no short- or longer-term       plan either internally or via     realistic operational plan;     detailed operational plan; has
                    planning activities; no             external assistance;              some internal expertise in      critical mass of internal
                    experience in operational           operational plan loosely or not   operational planning or         expertise in operational
                    planning                            linked to strategic planning      access to relevant external     planning, or efficiently uses
                                                        activities and used roughly to    assistance; operational         external, sustainable, highly
                                                        guide operations                  planning carried out on a near- qualified resources;
                                                                                          regular basis; operational      operational planning exercise
                                                                                          plan linked to strategic        carried out regularly;
                                                                                          planning activities and used operational plan tightly linked
                                                                                          to guide operations             to strategic planning activities
                                                                                                                          and systematically used to
                                                                                                                          direct operations

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                               LEVEL ONE:                         LEVEL TWO:                        LEVEL THREE:                     LEVEL FOUR:
Capacity Elements               Clear need                         Basic level                       Moderate level                     High level
                                                                                                                                                                    rating in
                          for increased capacity               of capacity in place               of capacity in place             of capacity in place
                                                                                                                                                                  this column
1.10 Use &           Limited set of processes (e.g.,       Basic set of processes in core     Solid, well-designed set of     Robust, lean, and well-
      Development of decision making, planning,            areas for ensuring efficient       processes in place in core      designed set of processes
      Organizational reviews) for ensuring effective       functioning of organization;       areas to ensure smooth,         (e.g., decision making,
      Processes      functioning of the                    processes known, used, and         effective functioning of        planning, reviews) in place in
                     organization; use of                  truly accepted by only portion     organization; processes         all areas to ensure effective
                     processes is variable, or             of staff; limited monitoring and   known and accepted by           and efficient functioning of
                     processes are seen as ad hoc          assessment of processes,           many, often used and            organization; processes are
                     requirements (“paperwork              with few improvements made         contribute to increased         widely known, used and
                     exercises”); no monitoring or         in consequence                     impact; occasional monitoring   accepted, and are key to
                     assessment of processes                                                  and assessment of               ensuring full impact of
                                                                                              processes, with some            organization; continual
                                                                                              improvements made               monitoring and assessment of
                                                                                                                              processes, and systematic
                                                                                                                              improvement made

1.11 Decision          Decisions made largely on an        Appropriate decision makers        Clear, largely formal           Clear, formal lines/systems
      Making           ad hoc basis by one person          known; decision making             lines/systems for decision      for decision making that
      Framework        and/or whomever is                  process fairly well established    making but decisions are not    involve as broad participation
                       accessible; highly informal         and process is generally           always appropriately            as practical and appropriate
                                                           followed, but often breaks         implemented or followed;        along with
                                                           down and becomes informal          dissemination of decisions      dissemination/interpretation of
                                                                                              generally good but could be     decision

1.12 Monitoring of     Minimal knowledge and               Basic knowledge of players         Solid knowledge of players      Extensive knowledge of
      Landscape        understanding of other              and alternative models in          and alternative models in       players and alternative
                       players and alternative             program area but limited           program area; good ability to   models in program area;
                       models in program area              ability to adapt behavior          adapt behavior based on         refined ability and systematic
                                                           based on acquired                  acquired understanding, but     tendency to adapt behavior
                                                           understanding                      only occasionally carried out   based on understanding

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

1.14 Interfunctional   Different programs and              Interactions between different     All programs and units          Constant and seamless
      Coordination     organizational units function       programs and organizational        function together effectively   integration between different
                       in silos; little or dysfunctional   units are generally good,          with sharing of information     programs and organizational
                       coordination between them           though coordination issues do      and resources; few              units with few coordination
                                                           exist; some pooling of             coordination issues             issues; relationships are
                                                           resources                                                          dictated by organizational
                                                                                                                              needs (rather than hierarchy
                                                                                                                              or politics)

                                               8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 1, 9/19/2011, Page 6 of 27
                             LEVEL ONE:                       LEVEL TWO:                      LEVEL THREE:                    LEVEL FOUR:
Capacity Elements              Clear need                      Basic level                     Moderate level                    High level
                                                                                                                                                            rating in
                         for increased capacity            of capacity in place             of capacity in place            of capacity in place
                                                                                                                                                          this column
1.15 Shared Beliefs   No common set of basic           Common set of basic beliefs      Common set of basic beliefs     Common set of basic beliefs
     & Values         beliefs and values exists        exists in some groups within     held by many people within      and values (e.g., social,
                      within the organization          the organization, but is not     the organization; helps         religious) exists and is widely
                                                       shared broadly; values may       provide members a sense of      shared within the
                                                       be only partially aligned with   identity; beliefs are aligned   organization; provides
                                                       organizational purpose or        with organizational purpose     members sense of identity
                                                       only rarely harnessed to         and occasionally harnessed      and clear direction for
                                                       produce impact                   to produce impact               behavior; beliefs embodied by
                                                                                                                        leader but nevertheless
                                                                                                                        timeless and stable across
                                                                                                                        leadership changes; beliefs
                                                                                                                        clearly support overall
                                                                                                                        purpose of the organization
                                                                                                                        and are consistently
                                                                                                                        harnessed to produce impact

1.16 Shared           No major common set of           Common set of references         Common set of references        Common set of references
     References &     practices and references         and practices exists in some     and practices exists, and are   and practices exist within the
     Practices        exists within the organization   groups within the                adopted by many people          organization, which may
                      (such as traditions, rituals,    organization, but are not        within the organization;        include: traditions, rituals,
                      unwritten rules, stories,        shared broadly; may be only      references and practices are    unwritten rules, stories,
                      heroes or role models,           partially aligned with           aligned with organizational     heroes or role models,
                      symbols, language, dress)        organizational purpose or        purpose and occasionally        symbols, language, dress; are
                                                       only rarely harnessed to         harnessed to drive towards      truly shared and adopted by
                                                       produce impact                   impact                          all members of the
                                                                                                                        organization; actively
                                                                                                                        designed and used to clearly
                                                                                                                        support overall purpose of the
                                                                                                                        organization and to drive

        Comments: Type comments here.

                                                               Please proceed to Worksheet 2.

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                                                2. PROGRAM DESIGN & EVALUATION
                            LEVEL ONE:                       LEVEL TWO:                       LEVEL THREE:                        LEVEL FOUR:
Capacity Elements             Clear need                      Basic level                       Moderate level                       High level
                                                                                                                                                                rating in
                        for increased capacity            of capacity in place               of capacity in place               of capacity in place
                                                                                                                                                              this column
2.01 Performance     Very limited measurement         Performance partially             Performance measured and            Well-developed
     Measurement     and tracking of performance;     measured and progress             progress tracked in multiple        comprehensive, integrated
                     all or most evaluation based     partially tracked; organization   ways, several times a year,         system (e.g., balanced
                     on anecdotal evidence;           regularly collects solid data     considering social, financial,      scorecard) used for
                     organization collects some       on program activities and         and organizational impact of        measuring organization‟s
                     data on program activities       outputs (e.g., number of          program and activities;             performance and progress on
                     and outputs (e.g., number of     children served) but lacks        multiplicity of performance         continual basis, including
                     children served) but has no      data-driven, externally           indicators; social impact           social, financial, and
                     social impact measurement        validated social impact           measured, but control group,        organizational impact of
                     (measurement of social           measurement                       longitudinal (i.e., long-term) or   program and activities; small
                     outcomes, e.g., drop-out rate                                      third-party nature of               number of clear, measurable,
                     lowered)                                                           evaluation is missing               and meaningful key
                                                                                                                            performance indicators; social
                                                                                                                            impact measured based on
                                                                                                                            longitudinal studies with
                                                                                                                            control groups, and performed
                                                                                                                            or supervised by third-party

2.02 Performance     Few external performance         Some efforts made to              Effective internal and external     Comprehensive internal and
     Analysis &      comparisons made; internal       benchmark activities and          benchmarking occurs but             external benchmarking part of
     Program         performance data rarely used     outcomes against outside          driven largely by top               the culture and used by staff
     Adjustments     to improve program and           world; internal performance       management and/or confined          in target-setting and daily
                     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        internal and external best-in-
                                                                                        to make adjustments and             class benchmarks; systematic
                                                                                        improvements                        practice of making
                                                                                                                            adjustments and
                                                                                                                            improvements on basis of

2.03 Program         Core programs and services       Most programs and services        Core programs and services          All programs and services
     Relevance &     vaguely defined and lack         well defined and can be           well defined and aligned with       well defined and fully aligned
     Integration     clear alignment with mission     solidly linked with mission       mission and goals; program          with mission and goals;
                     and goals; programs seem         and goals; program offerings      offerings fit together well as      program offering are clearly
                     scattered and largely            may be somewhat scattered         part of clear strategy              linked to one another and to
                     unrelated to each other          and not fully integrated into                                         overall strategy; synergies
                                                      clear strategy                                                        across programs are captured

2.04 Program Growth No assessment of possibility Limited assessment of                  Occasional assessment of            Frequent assessment of
     & Replication   of scaling up existing           possibility of scaling up         possibility of scaling up           possibility of scaling up
                     programs; limited ability to     existing programs and, even       existing programs and when          existing programs and when
                     scale up or replicate existing   when judged appropriate, little   judged appropriate, action          judged appropriate, action
                     programs                         or limited action taken; some     occasionally taken; able to         always taken; efficiently and
                                                      ability either to scale up or     scale up or replicate existing      effectively able to grow
                                                      replicate existing programs       programs                            existing programs to meet
                                                                                                                            needs of potential service
                                                                                                                            recipients in local area or
                                                                                                                            other geographies

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                           LEVEL ONE:                       LEVEL TWO:                       LEVEL THREE:                     LEVEL FOUR:
Capacity Elements            Clear need                      Basic level                      Moderate level                     High level
                                                                                                                                                            rating in
                       for increased capacity            of capacity in place              of capacity in place             of capacity in place
                                                                                                                                                          this column
2.05 New Program    No assessment of gaps in         Limited assessment of gaps        Occasional assessment of         Continual assessment of
     Development    ability of current program to    in ability of existing program    gaps in ability of existing      gaps in ability of existing
                    meet recipient needs; limited    to meet recipient needs, with     program to meet recipient        programs to meet recipient
                    ability to create new            little or limited action taken;   needs, with some                 needs and adjustment always
                    programs; new programs           some ability to modify existing   adjustments made;                made; ability and tendency
                    created largely in response to   programs and create new           demonstrated ability to modify   efficiently and effectively to
                    funding availability             programs                          and fine-tune existing           create new, truly innovative
                                                                                       programs and create new          programs to the needs of
                                                                                       programs                         potential service recipients in
                                                                                                                        local area or other
                                                                                                                        geographies; continuous
                                                                                                                        pipeline of new ideas

       Comments: Type comments here.

                                                            Please proceed to Worksheet 3.

                                         8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 2, 9/19/2011, Page 9 of 27
                                                             3. HUMAN RESOURCES
                            LEVEL ONE:                        LEVEL TWO:                        LEVEL THREE:                        LEVEL FOUR:
Capacity Elements             Clear need                       Basic level                       Moderate level                       High level
                                                                                                                                                                  rating in
                        for increased capacity             of capacity in place               of capacity in place               of capacity in place
                                                                                                                                                                this column
3.01 Recruitment,   Standard career paths in          Some tailoring of                   Recruitment, development,          Well-planned process to
     Development, & place without considering         development plans for               and retention of key               recruit, develop, and retain
     Retention of   managerial development; no        brightest stars; personal           managers is priority and high      key managers; CEO/ED takes
     Management     or very limited training,         annual reviews incorporate          on CEO/ED‟s agenda; some           active interest in managerial
                    coaching, and feedback; no        development plan for each           tailoring in development plans     development; individually
                    regular performance               manager; limited willingness        for brightest stars; relevant      tailored development plans
                    appraisals; no                    to ensure high-quality job          training, job rotation,            for brightest stars; relevant
                    systems/processes to identify     occupancy; some formal              coaching/feedback, and             and regular internal and
                    new managerial talent             recruiting networks are in          consistent performance             external training, job rotation,
                                                      place                               appraisal are institutionalized;   coaching/feedback, and
                                                                                          genuine concern for high-          consistent performance
                                                                                          quality job occupancy; well        appraisal are institutionalized;
                                                                                          connected to potential             proven willingness to ensure
                                                                                          sources of new talent              high-quality job occupancy;
                                                                                                                             well-connected to potential
                                                                                                                             sources of new talent

3.02 Recruitment,   Standard career paths in          No active development               Limited use of active              Management actively
     Development, & place without considering         tools/programs; feedback and        development tools/programs;        interested in general staff
     Retention of   staff development; limited        coaching occur sporadically;        frequent formal and informal       development; well-thought-
     General Staff training, coaching and             performance evaluated               coaching and feedback;             out and targeted development
                    feedback; no regular              occasionally; limited               performance regularly              plans for key
                    performance appraisals; no        willingness to ensure high-         evaluated and discussed;           employees/positions;
                    systems/processes to identify     quality job occupancy;              genuine concern for high-          frequent, relevant training, job
                    new talent                        sporadic initiatives to identify    quality job occupancy; regular     rotation, coaching/feedback,
                                                      new talent                          concerted initiatives to           and consistent performance
                                                                                          identify new talent                appraisal institutionalized;
                                                                                                                             proven willingness to ensure
                                                                                                                             high-quality job occupancy;
                                                                                                                             continuous, proactive
                                                                                                                             initiatives to identify new

3.03 Human           Organization uncovers and/or     Some ability and tendency to        Ability and tendency to            Organization is able to
     Resources       addresses HR needs only          develop high-level HR plan          develop and refine concrete,       develop and refine concrete,
     Planning        when too large to ignore; lack   either internally or via external   realistic HR plan; some            realistic, and detailed HR
                     of HR planning activities and    assistance; HR plan loosely         internal expertise in HR           plan; has critical mass of
                     expertise (either internal or    or not linked to strategic          planning or access to relevant     internal expertise in HR
                     accessible external); no         planning activities and             external assistance; HR            planning (via trained,
                     experience in HR planning        roughly guides HR activities        planning carried out on near-      dedicated HR manager), or
                                                                                          regular basis; HR plan linked      efficiently uses external,
                                                                                          to strategic planning activities   sustainable, highly qualified
                                                                                          and used to guide HR               resources; HR planning
                                                                                          activities                         exercise carried out regularly;
                                                                                                                             HR plan tightly linked to
                                                                                                                             strategic planning activities
                                                                                                                             and systematically used to
                                                                                                                             direct HR activities

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                              LEVEL ONE:                         LEVEL TWO:                       LEVEL THREE:                      LEVEL FOUR:
Capacity Elements              Clear need                         Basic level                      Moderate level                      High level
                                                                                                                                                                  rating in
                         for increased capacity               of capacity in place              of capacity in place              of capacity in place
                                                                                                                                                                this column
3.04 Incentives       No incentive system to speak       Some basic elements of             Many elements of incentive       Well-designed, clear, and well-
                      of; or incentive system that is    incentive system in place;         system in place; includes a      accepted incentive system;
                      ineffective and/or generates       may include one of following:      few of following: competitive    includes competitive salary
                      bad will                           competitive salary (possibly       salary (partly performance-      (partly performance-based),
                                                         partly performance-based),         based), attractive career        attractive career development
                                                         attractive career development      development options,             options, opportunities for
                                                         options, or opportunities for      opportunities for leadership     leadership and
                                                         leadership and                     and entrepreneurship;            entrepreneurship; system
                                                         entrepreneurship; some             obvious effect in motivating     effective in motivating staff to
                                                         evidence of motivational           staff to over-deliver            over-deliver in their job
                                                         effect on staff performance

3.05 Performance as Employees are hired,                 Performance contribution is        Employee contribution to         All employees are
     Shared Value     rewarded and promoted for          occasionally used and may          social, financial and            systematically hired,
                      executing a set of                 be one of many criteria for        organizational impact is         rewarded and promoted for
                      tasks/duties or for no clear       hiring, rewarding and              typically considered as a        their collective contribution to
                      reason, rather than for their      promoting employees;               preeminent criterion in          social, financial and
                      impact; decisions are mostly       performance data is used to        making hiring, rewards and       organizational impact; day-to-
                      made on “gut feeling”              make decisions                     promotion decisions;             day processes and decision
                                                                                            important decisions about the    making are embedded in
                                                                                            organization are embedded in     comprehensive performance
                                                                                            comprehensive performance        thinking; performance is
                                                                                            thinking                         constantly referred to

3.06 Individual Job   Lack of positions created to       Positions exist for most key       All key roles have associated    All roles have associated
     Design           address a number of key            roles, with a few still missing;   positions; most individuals      dedicated positions; all
                      roles (e.g. CFO, HR, learning      most key positions are well-       have well-defined roles with     individuals have clearly
                      and measurement); unclear          defined and have job               clear activities and reporting   defined core roles which must
                      roles and responsibilities with    descriptions; some unclear         relationships and minimal        be achieved and an area of
                      many overlaps; job                 accountabilities or overlap in     overlaps; job descriptions are   discretion where they can
                      descriptions do not exist          roles and responsibilities; job    continuously being redefined     show initiative and try to
                                                         descriptions tend to be static     to allow for organizational      make a difference; core roles
                                                                                            development and individuals‟     are defined in terms of end-
                                                                                            growth within their jobs         products and services rather
                                                                                                                             than activities; individuals
                                                                                                                             have the ability to define their
                                                                                                                             own activities and are
                                                                                                                             empowered to continuously
                                                                                                                             reexamine their jobs

3.07 Organizational   Organizational entities (e.g.,     Some organizational entities       Organizational entities are      Roles and responsibilities of
     Design           headquarters, regional and         are clearly defined, others are    clearly defined; all roles and   all organizational entities
                      local offices) are not             not; most roles and                responsibilities of              (e.g., headquarters, regional
                      “designed,” and roles,             responsibilities of                organizational entities are      and local entities) are
                      responsibilities of entities are   organizational entities are        formalized but do not            formalized, clear and
                      neither formalized nor clear;      formalized but may not reflect     necessarily reflect              complement each other;
                      absence of organization chart      organizational realities;          organizational realities;        organization chart is complete
                                                         organization chart is              organization chart is complete   and reflects current reality
                                                         incomplete and may be              but may be outdated

                                           8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 3, 9/19/2011, Page 11 of 27
                               LEVEL ONE:                         LEVEL TWO:                        LEVEL THREE:                        LEVEL FOUR:
Capacity Elements               Clear need                         Basic level                        Moderate level                       High level
                                                                                                                                                                      rating in
                          for increased capacity               of capacity in place                of capacity in place               of capacity in place
                                                                                                                                                                    this column
3.08 Staffing Levels   Many positions within and           Most critical positions within     Positions within and               Positions within and
                       peripheral to organization          and peripheral to organization     peripheral to organization         peripheral to organization
                       (e.g., staff, volunteers, board,    (e.g., staff, volunteers, board,   (e.g., staff, volunteers, board,   (e.g., staff, volunteers, board,
                       senior management) are              senior management) are             senior management) are             senior management) are all
                       unfilled, inadequately filled, or   staffed (no vacancies), and/or     almost all staffed (no             fully staffed (no vacancies);
                       experience high turnover            experience limited turnover or     vacancies); few turnover or        no turnover or attendance
                       and/or poor attendance              attendance problems                attendance problems                problems

3.09 Senior            Team has no or very limited         Team has some experience           Team has significant               Team highly experienced in
     Management        experience in nonprofit or for-     in nonprofit or for-profit         experience in nonprofit or for-    nonprofit or for-profit
     Team              profit management; team             management; team                   profit management; team            management; drawn from full
                       represents few constituencies       represents some                    represents most                    spectrum of constituencies
                       (nonprofit, academia,               constituencies (nonprofit,         constituencies (nonprofit,         (nonprofit, academia,
                       corporate, government, etc.)        academia, corporate,               academia, corporate,               corporate, government, etc.);
                       and has no or very limited          government, etc.); some            government, etc.); significant     outstanding capabilities and
                       capabilities and track record       relevant capabilities and track    relevant capabilities and track    track record from other fields;
                       from other fields; limited track    record from other fields; good     record from other fields; good     outstanding track record of
                       record of learning and              track record of learning and       track record of learning and       learning and personal
                       personal development; mostly        personal development;              personal development; highly       development; contagiously
                       energetic and committed             energetic and committed            energetic and committed            energetic and committed

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

                                             8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 3, 9/19/2011, Page 12 of 27
                           LEVEL ONE:                   LEVEL TWO:                        LEVEL THREE:                         LEVEL FOUR:
Capacity Elements           Clear need                   Basic level                        Moderate level                       High level
                                                                                                                                                             rating in
                      for increased capacity         of capacity in place                of capacity in place               of capacity in place
                                                                                                                                                           this column
3.11 Volunteers     Limited abilities; may be    Good abilities; mostly reliable,   Very capable set of                 Extremely capable set of
                    unreliable or have low       loyal, and committed to            individuals, bring required         individuals, bring
                    commitment; volunteers are   organization‟s success;            skills to organization; reliable,   complementary skills to
                    poorly managed               volunteers managed but             loyal and highly committed to       organization; reliable, loyal,
                                                 without standards and little       organization‟s success and to       highly committed to
                                                 accountability                     “making things happen”; work        organization‟s success and to
                                                                                    easily with most staff, but do      “making things happen”; often
                                                                                    not generally play core roles       go beyond call of duty; able to
                                                                                    without substantial staff           work in a way that serves
                                                                                    supervision; volunteers are         organization well, including
                                                                                    managed and contribute to           ability to work easily with wide
                                                                                    the overall success of the          range of staff and play core
                                                                                    organization                        roles without special
                                                                                                                        supervision; volunteers
                                                                                                                        managed very well and
                                                                                                                        significantly contribute to
                                                                                                                        overall success of

       Comments: Type comments here.

                                                         Please proceed to Worksheet 4.

                                      8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 3, 9/19/2011, Page 13 of 27
                                    4. CEO/ED/SENIOR MANAGEMENT TEAM LEADERSHIP
                              LEVEL ONE:                          LEVEL TWO:                       LEVEL THREE:                       LEVEL FOUR:
Capacity Elements              Clear need                          Basic level                      Moderate level                       High level
                                                                                                                                                                     rating in
                         for increased capacity                of capacity in place              of capacity in place               of capacity in place
                                                                                                                                                                   this column
4.01 Experience &     Limited experience in                Some relevant experience in       Significant experience in         Highly experienced in
     Standing         nonprofit management and             nonprofit management; some        nonprofit management; many        nonprofit management; many
                      few relevant capabilities from       relevant capabilities from        relevant capabilities from        distinctive capabilities from
                      other field(s); little evidence of   other field(s); emerging social   other field(s); significant       other field(s) (e.g., for-profit,
                      social entrepreneur-like             entrepreneur-like qualities;      evidence of social                academia); exceptional
                      qualities; limited recognition       some local recognition in the     entrepreneur-like qualities;      evidence of social
                      in the nonprofit community           nonprofit community               some national recognition as      entrepreneur-like qualities;
                                                                                             a leader/shaper in particular     possesses a comprehensive
                                                                                             sector                            and deep understanding of
                                                                                                                               the sector; recognized
                                                                                                                               nationally as a leader/shaper
                                                                                                                               in particular sector

4.02 Personal &       Fails to show respect for            Earns respect of others, takes    Is respected and sought out       Is viewed as outstanding
     Interpersonal    others consistently, may be          time to build relationships;      by others for advice and          “people person”; uses
     Effectiveness    openly judgmental or critical;       has presence, is able to          counsel; has strong presence      diversity of communication
                      has difficulty influencing           influence and build support       and charisma; uses multiple       styles, including exceptional
                      without using power, limited         using limited communication       approaches to get buy-in,         charisma, to inspire others
                      charisma or influence; limited       style; accepts learning and       appreciates the impact of         and achieve impact;
                      curiosity about new ideas and        personal development              his/her words or actions;         continually self-aware,
                      experiences                          opportunities that arise          seeks new learning and            actively works to better
                                                                                             personal development              oneself; outstanding track
                                                                                             opportunities                     record of learning and
                                                                                                                               personal development

4.03 Passion &        Low energy level and                 Good energy level; visible        Inspiringly energetic; shows      Contagiously energetic and
     Vision           commitment; little continued         commitment to organization        constant, visible commitment      highly committed; lives the
                      attention to organizational          and its vision                    to organization and its vision;   organization‟s vision;
                      vision                                                                 excites others around vision      compellingly articulates path
                                                                                                                               to achieving vision that
                                                                                                                               enables others to see where
                                                                                                                               they are going

4.04 People &         Has difficulty building trust        Is responsive to opportunities    Actively and easily builds        Constantly establishing
     Organizational   and rapport with others;             from others to work together;     rapport and trust with others;    successful, win-win
     Leadership /     micromanages projects;               expresses confidence in           effectively encourages others     relationships with others, both
     Effectiveness    shares little of own                 others‟ ability to be             to succeed; gives others          within and outside the
                      experiences as                       successful; shares own            freedom to work their own         organization; delivers
                      developmental/coaching tool          experience and expertise          way; gives people freedom to      consistent, positive and
                                                                                             try out ideas and grow            reinforcing messages to
                                                                                                                               motivate people; able to let
                                                                                                                               others make decisions and
                                                                                                                               take charge; finds or creates
                                                                                                                               special opportunities to
                                                                                                                               promote people‟s

                                            8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 4, 9/19/2011, Page 14 of 27
                              LEVEL ONE:                       LEVEL TWO:                      LEVEL THREE:                       LEVEL FOUR:
Capacity Elements              Clear need                       Basic level                      Moderate level                     High level
                                                                                                                                                               rating in
                         for increased capacity             of capacity in place              of capacity in place             of capacity in place
                                                                                                                                                             this column
4.05 Impact           Focused purely on social          Focused on social impact         Sees financial soundness as       Guides organization to
     Orientation      impact; financials viewed as      with some appreciation for       essential part of                 succeed simultaneously in
                      an unfortunate constraint;        cost-effectiveness when          organizational impact,            dual mission of social impact
                      fails to deliver impact           possible; constantly delivers    together with social impact;      and optimal financial
                      consistently; delays decision     satisfactory impact given        focuses on ways to better use     efficiency; constantly seeks
                      making; reluctant to change       resources; promptly              existing resources to deliver     and finds new opportunities to
                      status quo; mandates rather       addresses issues;                highest impact possible; has      improve impact; anticipates
                      than leads change                 understands implications and     a sense of urgency in             possible problems; has sense
                                                        impact of change on people       addressing issues and rapidly     of urgency about upcoming
                                                                                         moves from decision to            challenges; communicates
                                                                                         action; develops and              compelling need for change
                                                                                         implements actions to             that creates drive; aligns
                                                                                         overcome resistance to            entire organization to support
                                                                                         change                            change effort

4.06 Analytical &     Is uncomfortable with             Is able to cope with some        Quickly assimilates complex       Has keen and exceptional
     Strategic        complexity and ambiguity and      complexity and ambiguity;        information and able to distill   ability to synthesize
     Thinking         does whatever possible to         able to analyze strategies but   it to core issues; welcomes       complexity; makes informed
                      reduce or avoid it; relies        does not yet generate            ambiguity and is comfortable      decisions in ambiguous,
                      mainly on intuition rather than   strategies                       dealing with the unknown;         uncertain situations; develops
                      strategic analysis                                                 develops robust strategies        strategic alternatives and
                                                                                                                           identifies associated rewards,
                                                                                                                           risks, and actions to lower

4.07 Financial        Has difficulty considering        Draws appropriate                Has sound financial               Has exceptional financial
     Judgment         financial implications of         conclusions after studying all   judgment; consistently            judgment; has keen, almost
                      decisions                         the facts; understands basic     considers financial               intuitive sense for financial
                                                        financial concepts and drives    implications of decisions         implications of decisions
                                                        for financial impact of major

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

        Comments: Type comments here.

                                                               Please proceed to Worksheet 5.

                                           8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 4, 9/19/2011, Page 15 of 27
                                                          5. INFORMATION TECHNOLOGY
                              LEVEL ONE:                          LEVEL TWO:                        LEVEL THREE:                      LEVEL FOUR:
Capacity Elements              Clear need                          Basic level                       Moderate level                      High level
                                                                                                                                                                   rating in
                         for increased capacity                of capacity in place               of capacity in place              of capacity in place
                                                                                                                                                                 this column
5.01 Telephone / Fax Status, lack of sophistication, Adequate basic telephone                 Solid basic telephone and fax  Sophisticated and reliable
                      or limited number of                and fax facilities accessible to    facilities accessible to entiretelephone and fax facilities
                      telephone and fax facilities        most staff; may be                  staff (in office and at front  accessible by all staff (in
                      are an impediment to day-to-        moderately reliable or user-        line); cater to day-to-day     office and at frontline),
                      day effectiveness and               friendly, or may lack certain       communication needs with       includes around-the-clock,
                      efficiency                          features that would increase        essentially no problems;       individual voice mail;
                                                          effectiveness and efficiency        includes additional features   supplemented by additional
                                                          (e.g., individual voice-mail), or   contributing to increased      facilities (e.g., pagers, cell
                                                          may not be easily accessible        effectiveness and efficiency   phones) for selected staff;
                                                          to some staff (e.g. front-line      (e.g., individual, remotely    effective and essential in
                                                          deliverers)                         accessible voice-mail)         increasing staff effectiveness
                                                                                                                             and efficiency
5.02 Computers,       Limited/no use of computers         Well-equipped at central            Solid hardware and software State-of-the-art, fully
      Applications,   or other technology in day-to-      level; incomplete/limited           infrastructure accessible by networked computing
      Network, &      day activity; and/or little or no   infrastructure at locations         central and local staff; no or hardware with comprehensive
      Email           usage by staff of existing IT       aside from central offices;         limited sharing of equipment range of up-to-date software
                      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 program deliverers
                                                                                              infrastructure by staff;       as well as entire staff; used
                                                                                              contributes to increased       regularly by staff; effective
                                                                                              efficiency                     and essential in increasing
                                                                                                                             staff efficiency

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

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

                                            8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 5, 9/19/2011, Page 16 of 27
                        LEVEL ONE:                 LEVEL TWO:                 LEVEL THREE:                  LEVEL FOUR:
Capacity Elements         Clear need                 Basic level                Moderate level                  High level
                                                                                                                                    rating in
                    for increased capacity       of capacity in place        of capacity in place          of capacity in place
                                                                                                                                  this column
      Comments: Type comments here.

                                                   Please proceed to Worksheet 6.

                                   8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 5, 9/19/2011, Page 17 of 27
                                                         6. FINANCIAL MANAGEMENT
                            LEVEL ONE:                        LEVEL TWO:                      LEVEL THREE:                        LEVEL FOUR:
Capacity Elements            Clear need                        Basic level                     Moderate level                        High level
                                                                                                                                                                rating in
                       for increased capacity              of capacity in place             of capacity in place                of capacity in place
                                                                                                                                                              this column
6.01 Financial      No or very limited financial       Limited financial plans, ad      Solid financial plans, regularly   Very solid financial plans,
     Planning /     planning; general budget           hoc update; budget utilized as   updated; budget integrated         continuously updated; budget
     Budgeting      developed; only one budget         operational tool; used to        into operations; reflects          integrated into full operations;
                    for entire central organization;   guide/assess financial           organizational needs; solid        as strategic tool, it develops
                    performance against budget         activities; some attempt to      efforts made to isolate            from process that
                    loosely or not monitored           isolate divisional (program or   divisional (program or             incorporates and reflects
                                                       geographical) budgets within     geographical) budgets within       organizational needs and
                                                       central budget; performance-     central budget; performance-       objectives; well-understood
                                                       to-budget monitored              to-budget monitored regularly      divisional (program or
                                                       periodically                                                        geographical) budgets within
                                                                                                                           overall central budget;
                                                                                                                           closely and regularly

6.02 Financial      Gifts and grants deposited         Financial activities             Formal internal controls           Robust systems and controls
     Operations     and acknowledged, bills paid,      transparent, clearly and         governing all financial            in place governing all
     Management     supporting documentation           consistently recorded and        operations; fully tracked,         financial operations and their
                    collected/retained                 documented, include              supported and reported,            integration with budgeting,
                                                       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

        Comments: Type comments here.

                                                              Please proceed to Worksheet 7.

                                         8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 6, 9/19/2011, Page 18 of 27
                                                          7. FUND DEVELOPMENT
                           LEVEL ONE:                      LEVEL TWO:                        LEVEL THREE:                        LEVEL FOUR:
Capacity Elements            Clear need                     Basic level                       Moderate level                       High level
                                                                                                                                                              rating in
                       for increased capacity           of capacity in place               of capacity in place               of capacity in place
                                                                                                                                                            this column
7.01 Funding Model Organization highly              Organization has access to         Solid basis of funders in most     Highly diversified funding
                    dependent on a few funders,     multiple types of funding (e.g.,   types of funding source (e.g.,     across multiple source types;
                    largely of same type (e.g.,     government, foundations,           government, foundations,           organization insulated from
                    government or foundations or    corporations, private              corporations, private              potential market instabilities
                    private individuals)            individuals) with only a few       individuals); some activities to   (e.g., fully developed
                                                    funders in each type, or has       hedge against market               endowment) and/or has
                                                    many funders within only one       instabilities (e.g., building of   developed sustainable
                                                    or two types of funders            endowment); organization           revenue-generating activities;
                                                                                       has developed some                 other nonprofits try to imitate
                                                                                       sustainable revenue-               organization‟s fund-raising
                                                                                       generating activity                activities and strategies

7.02 Fund Raising   Generally weak fund-raising     Main fund-raising needs            Regular fund-raising needs         Highly developed internal
                    skills and lack of expertise    covered by some combination        adequately covered by well         fund-raising skills and
                    (either internal or access to   of internal skills and             developed internal fund-           expertise in all funding source
                    external expertise)             expertise, and access to           raising skills, occasional         types to cover all regular
                                                    some external fund-raising         access to some external fund-      needs; access to external
                                                    expertise                          raising expertise                  expertise for additional
                                                                                                                          extraordinary needs

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

7.04 Revenue        No internal revenue-            Some internal revenue              Some proven internal               Significant internal revenue
     Generation     generation activities;          generation activities, however     revenue generation activities      generation; experienced and
                    concepts such as cause-         financial net contribution is      and skills; these activities       skilled in areas such as cause-
                    related marketing, fee-for-     marginal; revenue generation       provide substantial additional     related marketing, fee-for-
                    services and retailing are      activities distract from           funds for program delivery,        services and retailing;
                    neither explored nor pursued    programmatic work and often        but partially distract from        revenue-generating activities
                                                    tie up senior management           programmatic work and              support, but don‟t distract
                                                    team                               require significant senior         from focus on creating social
                                                                                       management attention               impact

       Comments: Type comments here.

                                                            Please proceed to Worksheet 8.

                                         8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 7, 9/19/2011, Page 19 of 27
                                                                8. BOARD LEADERSHIP
                               LEVEL ONE:                       LEVEL TWO:                        LEVEL THREE:                       LEVEL FOUR:
Capacity Elements                Clear need                      Basic level                        Moderate level                      High level
                                                                                                                                                                    rating in
                           for increased capacity            of capacity in place                of capacity in place              of capacity in place
                                                                                                                                                                  this column
8.01 Board              Board does not scrutinize        Roles of legal board, advisory     Roles of legal board, advisory Legal board, advisory board
     Governance         budgets or audits, does not      board and management are           board, and managers are          and managers work well
                        set performance targets and      clear; board functions             clear and function well; board together from clear roles;
                        hold CEO/ED accountable or       according to by-laws, reviews      reviews budgets, audits, IRS board fully understands and
                        does not operate according to    budgets, and occasionally          and state filings; size of board fulfills fiduciary duties; size of
                        formal procedures; executive,    sets organizational direction      set for maximum                  board set for maximum
                        treasury, and board functions    and targets, but does not          effectiveness with rigorous      effectiveness with rigorous
                        unclear                          regularly review CEO/ED            nomination process; board co- nomination process; board
                                                         performance, monitor               defines performance targets actively defines performance
                                                         potential conflicts of interest,   and actively encourages          targets and holds CEO/ED
                                                         scrutinize auditors, or review     CEO/ED to meet targets;          fully accountable; board
                                                         IRS and state filings              annual review of CEO/ED‟s empowered and prepared to
                                                                                            performance, but board not hire or fire CEO/ED if
                                                                                            prepared to hire or fire         necessary; board periodically
                                                                                            CEO/ED                           evaluated

8.02 Board              Provide little direction,        Provide occasional direction,      Provide direction, support        Provide strong direction,
     Involvement &      support, and accountability to   support and accountability to      and accountability to             support and accountability to
     Support            leadership; board not fully      leadership; informed about all     programmatic leadership; fully    programmatic leadership and
                        informed about „material‟ and    „material‟ matters in a timely     informed of all major matters,    engaged as a strategic
                        other major organizational       manner and                         input and responses actively      resource; communication
                        matters; largely “feel-good”     responses/decisions actively       sought and valued; full           between board and
                        support                          solicited                          participant in major decisions    leadership reflects mutual
                                                                                                                              respect, appreciation for roles
                                                                                                                              and responsibilities, shared
                                                                                                                              commitment and valuing of
                                                                                                                              collective wisdom

8.03 Board              Most members do not              Members accept that the            Many members embrace              Majority of members embrace
     Involvement        recognize fundraising as one     board has some fundraising         fundraising as one of the         fundraising as a core board
     and                of the board's roles and         responsibilities, but concerns     board's core roles and            role and responsibility; each
     Participation in   responsibilities; no goals or    exist regarding ability of board   responsibilities; core group of   board member has donated to
     Fund Raising       plans for board-driven           to be successful in this area;     board members consistently        the organization financially;
                        fundraising activities exist;    one or two members have            participate in fundraising;       realistic and appropriate
                        board members donate             made significant financial gifts   realistic and appropriate         fundraising goals and plans
                        minimally to the organization    to the organization; board         board fundraising goals and       are in place; board is actively
                                                         fundraising activities not yet     plans exist; fundraising          fundraising and has achieved
                                                         underway                           activities are underway           measurable progress towards

                                            8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 8, 9/19/2011, Page 20 of 27
                             LEVEL ONE:                     LEVEL TWO:                      LEVEL THREE:                     LEVEL FOUR:
Capacity Elements             Clear need                     Basic level                     Moderate level                     High level
                                                                                                                                                         rating in
                        for increased capacity           of capacity in place             of capacity in place             of capacity in place
                                                                                                                                                       this column
8.04 Board         Membership with limited           Some diversity in fields of      Good diversity in fields of      Membership with broad
     Composition & diversity of fields of practice   practice; membership             practice and expertise;          variety of fields of practice
     Commitment    and expertise; drawn from a       represents a few different       membership represents most       and expertise, and drawn
                   narrow spectrum of                constituencies (from among       constituencies (nonprofit,       from the full spectrum of
                   constituencies (from among        nonprofit, academia,             academia, corporate,             constituencies (nonprofit,
                   nonprofit, academia,              corporate, government, etc.);    government, etc.); good          academia, corporate,
                   corporate, government, etc.);     moderate commitment to           commitment to organization‟s     government, etc.); includes
                   little or no relevant             organization‟s success, vision   success, vision and mission,     functional and program
                   experience; low commitment        and mission; regular,            and behavior to suit; regular,   content-related expertise, as
                   to organization‟s success,        purposeful meetings are well-    purposeful meetings are well-    well as high-profile names;
                   vision and mission; meetings      planned and attendance is        planned and attendance is        high willingness and proven
                   infrequent and/or poor            good overall                     consistently good, occasional    track record of investing in
                   attendance                                                         subcommittee meetings            learning about the
                                                                                                                       organization and addressing
                                                                                                                       its issues; outstanding
                                                                                                                       commitment to the
                                                                                                                       organization‟s success,
                                                                                                                       mission and vision; meet in
                                                                                                                       person regularly, good
                                                                                                                       attendance, frequent
                                                                                                                       meetings of focused

       Comments: Type comments here.

                                                            Please proceed to Worksheet 9.

                                         8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 8, 9/19/2011, Page 21 of 27
                                                                 9. LEGAL AFFAIRS
                              LEVEL ONE:                      LEVEL TWO:                     LEVEL THREE:                    LEVEL FOUR:
Capacity Elements              Clear need                      Basic level                     Moderate level                   High level
                                                                                                                                                         rating in
                         for increased capacity            of capacity in place             of capacity in place           of capacity in place
                                                                                                                                                       this column
9.01 Management of Organization does not               Legal support resources          Legal support regularly        Well-developed, effective,
     Legal & Liability anticipate legal issues, but    identified, readily available,   available and consulted in     and efficient internal legal
     Matters           finds help and addresses        and employed on “as needed”      planning; routine legal risk   infrastructure for day-to-day
                       issues individually when they   basis; major liability           management and occasional      legal work; additional access
                       arise; property insurance       exposures managed and            review of insurance            to 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

       Comments: Type comments here.

                                                              Please proceed to Worksheet 10.

                                           8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 9, 9/19/2011, Page 22 of 27
                              LEVEL ONE:                       LEVEL TWO:                       LEVEL THREE:                       LEVEL FOUR:
Capacity Elements              Clear need                       Basic level                      Moderate level                      High level
                                                                                                                                                                 rating in
                         for increased capacity             of capacity in place              of capacity in place              of capacity in place
                                                                                                                                                               this column
10.01 Communication Organization does not have          Organization has a loose          Organization has a packet of      Organization has a packet of
     s & Outreach     marketing materials; or           collection of materials it uses   marketing materials that it       marketing materials that it
     Effectiveness    materials that it has are         for marketing; documents are      uses on a consistent basis;       uses consistently and is easy
                      outdated; organization is         generic and not updated to        information contained in the      to update on a regular basis;
                      strictly internally-focused and   reflect new programs and          materials is up to date and       materials are extremely
                      does little to no outreach to     organizational results;           reflects new programs,            professional in appearance
                      stakeholders; any materials       materials have a minimal          activities and outcomes;          and appeal to a variety
                      that exist are unprofessional     degree of professionalism or      materials are reasonably          stakeholders; materials
                      in their presentation             consistent look and feel          professional in presentation      adhere to clear "branding"
                                                                                          and aligned with established      standards for font, color, logo
                                                                                          standards for font, color, logo   placement, etc.
                                                                                          placement, etc.

10.02 Communication Organization does not have          Organization does not have        Organization has a                Organization has a
     s Strategy       any sort of communications        any sort of communications        communications plan and           communications plan and
                      plan or articulated               plan or articulated               strategy in place; key            strategy and updates it on a
                      communications strategy in        communications strategy in        messages are defined and          frequent basis; knows not
                      place; key messages are not       place, but key messages are       stakeholders are identified;      only who its stakeholders are,
                      defined or articulated;           defined and stakeholders are      communications to                 but what they value;
                      stakeholders are not              identified; communications to     stakeholders are generally        customizes communications
                      identified; information           stakeholders are fairly           consistent and coordinated        to each of those stakeholders;
                      messages about the                inconsistent                                                        communications always carry
                      organization are inconsistent                                                                         a consistent and powerful

10.03 Public Relations Organization makes no or         Organization takes                Organization considers            Organization fully aware of
     & Marketing      limited use of PR/marketing;      opportunities to engage in        PR/marketing to be useful,        power of PR/marketing
                      general lack of PR/marketing      PR/marketing as they arise;       and actively seeks                activities, and continually and
                      skills and expertise (either      some PR/marketing skills and      opportunities to engage in        actively engages in them;
                      internal or accessible            experience within staff or via    these activities; critical mass   broad pool of nonprofit
                      external)                         external assistance               of internal expertise and         PR/marketing expertise and
                                                                                          experience in PR/marketing        experience within
                                                                                          or access to relevant external    organization or efficient use
                                                                                          assistance                        made of external, sustainable,
                                                                                                                            highly qualified resources

10.04 Presence &      Organization‟s presence           Organization‟s presence           Organization reasonably well-     Organization widely known
     Involvement in   either not recognized or          somewhat recognized, and          known within community, and       within larger community, and
     Local            generally not regarded as         generally regarded as positive    perceived as open and             perceived as actively
     Community        positive; few members of          within the community; some        responsive to community           engaged with and extremely
                      local community (e.g.,            members of larger community       needs; members of larger          responsive to it; many
                      academics, other nonprofit        constructively engaged with       community (including a few        members of the larger
                      leaders) constructively           organization                      prominent ones)                   community (including many
                      involved in the organization                                        constructively involved in        prominent members) actively
                                                                                          organization                      and constructively involved in
                                                                                                                            organization (e.g., board, fund-

                                          8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 10, 9/19/2011, Page 23 of 27
                               LEVEL ONE:                      LEVEL TWO:                      LEVEL THREE:                       LEVEL FOUR:
Capacity Elements               Clear need                      Basic level                      Moderate level                      High level
                                                                                                                                                                rating in
                          for increased capacity            of capacity in place              of capacity in place              of capacity in place
                                                                                                                                                              this column
10.05 Development & Limited use of partnerships       Early stages of building           Effectively built and leveraged    Built, leveraged, and
      Nurturing of   and alliances with public        relationships and                  some key relationships with        maintained strong, high-
      Partnerships & sector, nonprofit, or for-profit collaborating with other for-      few types of relevant parties      impact, relationships with
      Alliances      entities                         profit, nonprofit, or public       (for-profit, public, and           variety of relevant parties
                                                      sector entities                    nonprofit sector entities);        (local, state, and federal
                                                                                         some relations may be              government entities as well
                                                                                         precarious or not fully “win-      as for-profit, other nonprofit,
                                                                                         win”                               and community agencies);
                                                                                                                            relationships deeply anchored
                                                                                                                            in stable, long-term, mutually
                                                                                                                            beneficial collaboration

10.06 Influence on     Organization does not have       Organization is aware of its     Organization is fully aware of     Organization proactively and
      Policy-making    ability or is unaware of         possibilities in influencing     its possibilities in influencing   reactively influences policy-
                       possibilities for influencing    policy-making; some              policy-making and is one of        making, in a highly effective
                       policy-making; never called in   readiness and skill to           several organizations active       manner, on state and national
                       on substantive policy            participate in policy            in policy discussions on state     levels; always ready for and
                       discussions                      discussion, but rarely invited   or national level                  often called on to participate
                                                        to substantive policy                                               in substantive policy
                                                        discussions                                                         discussion and at times
                                                                                                                            initiates discussions

        Comments: Type comments here.

            Please proceed to the Summary Table to review your responses and indicate priority levels for each capacity area.

                                           8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, 10, 9/19/2011, Page 24 of 27
             SVP Organizational Capacity Assessment Tool Summary
                                                                       Capacity             Capacity Area               Capacity Area
                                                                        Rating                Average                   Priority Rating
         Select any Capacity Element link below                                                                    INDICATE WHETHER EACH
       to return to that section in the Assessment                 NOTE: A ZERO (0)
                                                                                                                  AREA IS A LOW, MEDIUM, OR
                                                                  SCORE INDICATES A
                                                                                                                   HIGH PRIORITY FOR YOUR
                                                                  MISSING RESPONSE
                                             1. MISSION, VISION, STRATEGY & PLANNING
1.01     Mission                                                           0
1.02     Clarity of Vision                                                 0
1.03     Boldness of Vision                                                0
1.04     Overarching Goals                                                 0
1.05     Overall Strategy                                                  0
1.06     Strategic Planning                                                0
1.07     Planning Systems                                                  0
1.08     Goals / Performance Targets                                       0
1.09     Operational Planning                                              0
1.10     Use & Development of Organizational Processes                     0
1.11     Decision Making Framework                                         0
1.12     Monitoring of Landscape                                           0
1.13     Knowledge Management                                              0
1.14     Interfunctional Coordination                                      0
1.15     Shared Beliefs & Values                                           0
1.16     Shared References & Practices                                     0
                                                   2. PROGRAM DESIGN & EVALUATION
2.01     Performance Measurement                                           0
2.02     Performance Analysis & Program Adjustments                        0
2.03     Program Relevance & Integration                                   0                      0.00
2.04     Program Growth & Replication                                      0
2.05     New Program Development                                           0
                                                             3. HUMAN RESOURCES
3.01     Recruitment, Development, & Retention of Management               0
3.02     Recruitment, Development, & Retention of General Staff            0
3.03     Human Resources Planning                                          0
3.04     Incentives                                                        0
3.05     Performance as Shared Value                                       0
3.06     Individual Job Design                                             0                      0.00
3.07     Organizational Design                                             0
3.08     Staffing Levels                                                   0
3.09     Senior Management Team                                            0
3.10     Staff                                                             0
3.11     Volunteers                                                        0

                                   8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, Summary Table, 9/19/2011, Page 25 of 27
              SVP Organizational Capacity Assessment Tool Summary
                                                                        Capacity             Capacity Area               Capacity Area
                                                                         Rating                Average                   Priority Rating
          Select any Capacity Element link below                                                                    INDICATE WHETHER EACH
        to return to that section in the Assessment                 NOTE: A ZERO (0)
                                                                                                                   AREA IS A LOW, MEDIUM, OR
                                                                   SCORE INDICATES A
                                                                                                                    HIGH PRIORITY FOR YOUR
                                                                   MISSING RESPONSE
                                        4. CEO/ED/SENIOR MANAGEMENT TEAM LEADERSHIP
4.01      Experience & Standing                                             0
4.02      Personal & Interpersonal Effectiveness                            0
4.03      Passion & Vision                                                  0
4.04      People & Organizational Leadership / Effectiveness                0
4.05      Impact Orientation                                                0
4.06      Analytical & Strategic Thinking                                   0
4.07      Financial Judgment                                                0
4.08      Dependence of Management Team & Staff on CEO / ED                 0
                                                        5. INFORMATION TECHNOLOGY
5.01      Telephone / Fax                                                   0
5.02      Computers, Applications, Network, & Email                         0
5.03      Web Site                                                          0
5.04      Databases & Management Reporting Systems                          0
                                                          6. FINANCIAL MANAGEMENT
6.01      Financial Planning / Budgeting                                    0
6.02      Financial Operations Management                                   0
                                                                7. FUND DEVELOPMENT
7.01      Funding Model                                                     0
7.02      Fund Raising                                                      0
7.03      Fund Development Planning                                         0
7.04      Revenue Generation                                                0
                                                                8. BOARD LEADERSHIP
8.01      Board Governance                                                  0
8.02      Board Involvement & Support                                       0
8.03      Board Involvement and Participation in Fund Raising               0
8.04      Board Composition & Commitment                                    0
                                                                  9. LEGAL AFFAIRS
9.01      Management of Legal & Liability Matters                           0                      0.00
                                 10. MARKETING, COMMUNICATIONS, & EXTERNAL RELATIONS
10.01     Communications & Outreach Effectiveness                           0
10.02     Communications Strategy                                           0
10.03     Public Relations & Marketing                                      0
10.04     Presence & Involvement in Local Community                         0
10.05     Development & Nurturing of Partnerships & Alliances               0
10.06     Influence on Policy-making                                        0

                                    8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, Summary Table, 9/19/2011, Page 26 of 27
                          SVP Organizational Capacity Assessment Tool Summary


                   PROGRAM DESIGN & EVALUATION

                              HUMAN RESOURCES


                       INFORMATION TECHNOLOGY

                          FINANCIAL MANAGEMENT

                              FUND DEVELOPMENT

                               BOARD LEADERSHIP

                                   LEGAL AFFAIRS


                                                  1.00              1.50              2.00              2.50                3.00   3.50   4.00

                                        8480b59b-d0b9-41ae-8ebc-6aae74280674.xls, Summary Chart, 9/19/2011, Page 27 of 27

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