Organizational Capacity Assessment Tool Facilitators

Summary

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Organizational Capacity Assessment Tool:
Facilitator’s Copy
For Organizations Funded by USAID
New Partners Initiative Technical Assistance (NuPITA) Project
2009
The New Partners Initiative Technical Assistance (NuPITA) project is funded by the United States
Agency for International Development (USAID) through Contract No: GHS-I-00-07-00002-00

The Technical Assistance Project to New Partners Initiative (TA-NPI) project is funded by the
United States Department of Health and Human Services—Centers for Disease Control and
Prevention through Contract No: 200-2004-05316/Task Order 002. Both projects are
implemented by John Snow, Inc. in collaboration with Initiatives Inc

This document is made possible by the generous support of the American people through USAID
and Department of Health and Human Services—Centers for Disease Control and Prevention
(CDC). The contents are the responsibility of John Snow, Inc., and do not necessarily reflect the
views of USAID, CDC, or the United States Government

© 2009 John Snow, Inc

NuPITA
John Snow, Inc

44 Farnsworth Street
Boston, MA 02210-1211
Phone: 1.617.482.9485
www.jsi.com
Organizational Capacity Assessment Tool
Goal:
The goal of this tool is to assist organizations in assessing the critical elements for effective
organizational management, and identifying those areas that need strengthening or further development

Purpose:
The OCA tool was designed to enable organizations to define a capacity-building improvement plan,
based on self-assessed need. This Organizational Capacity Assessment (OCA) was initially designed to
measure overall capacity of organizations funded by President’s Emergency Plan for AIDS Relief
(PEPFAR) under the New Partners Initiative (NPI). This OCA tool provides organizations with a set of
criteria to assess their current management capacity to implement quality health programs, to identify
key areas that need strengthening

Although many capacity assessments exist, the structure and process of this tool distinguishes it from
others. Multi-level and multi-department involvement fosters team building and organizational learning

Inclusion of management, compliance, and program components ensure a holistic understanding of the
organization’s strengths and challenges and the guided self-assessment by skilled facilitators instills
ownership on the part of the organization for its improvement plan

The OCA tool assesses technical capacity in seven domains, and each domain has a number
of sub-areas

OCA Domains
1. Governance
2. Administration
3. Human Resources
4. Financial Management
5. Organizational Management
6. Program Management
7. Project Performance Management
Using This Tool
This Organizational Capacity Assessment tool is designed to enable organizational learning, foster team
sharing, and encourage reflective self-assessment within organizations

Recognizing that organizational development is a process, the use of the OCA tool results in concrete
action plans to provide organizations with a clear organizational development road map. The OCA can
be repeated on an annual basis to monitor the effectiveness of previous actions, evaluate progress in
capacity improvement, and identify new areas in need of strengthening

The OCA is an interactive self-assessment process that should bring together staff from all departments
at implementing organizations, both at headquarters and in the field, for the two- to three-day
assessment

Not intended to be a scientific method, the value of the OCA is in its collaborative, self-assessment
process. The framework offers organizations a chance to reflect on their current status against
recognized best practices. Lively discussions are also an opportunity for management, administration,
and program staff to learn how each functions, strengthening the team and reinforcing the inter-
relatedness of the seven OCA components

Each page of this tool examines one area. A range of examples of services available is provided along a
continuum, from 1-4

The methodology is a guided self-assessment that encourages active participation. The facilitator and
participants meet and discuss each area to determine where the organization sits along the continuum of
implementation. Facilitators ask open-ended, probing questions to encourage group discussion, and take
notes on participant responses. These notes are later used for the action planning

Sample questions which might help the facilitator to probe further into the content areas are presented
on each page

The scores that are arrived at are designed to set priorities for the actions and are not used to judge
performance. Facilitators use the information from the scoring and rationale sheets to define the issues
and actions. The organization reviews or adjusts the problem statement and builds on the suggested
actions to define action steps, responsibilities, timeframe, and possible technical assistance needs

The ability to identify areas to be addressed will strengthen the organization and in subsequent years,
enable it to view improvement and note where progress is still needed

Table of Contents
Governance ........................................................................................................................ 1
Vision/Mission ............................................................................................................................................. 1
Organizational Structure .............................................................................................................................. 2
Board Composition and Responsibilities ....................................................................................................... 3
Legal Status ................................................................................................................................................. 5
Succession Planning ..................................................................................................................................... 6
Administration ................................................................................................................... 7
Operational Policies, Procedures and Systems ............................................................................................... 7
Travel Policies and Procedures ..................................................................................................................... 9
Procurement ............................................................................................................................................. 10
Fixed Asset Control .................................................................................................................................. 11
Information Systems .................................................................................................................................. 12
Human Resources Management .................................................................................... 13
Job Descriptions ........................................................................................................................................ 13
Recruitment .............................................................................................................................................. 14
Staffing Levels ............................................................................................................................................ 15
Personnel Policies...................................................................................................................................... 17
Staff Salaries and Benefits ........................................................................................................................... 19
Staff Performance Management .................................................................................................................. 20
Volunteers and Interns .............................................................................................................................. 21
Financial Management .................................................................................................... 22
Financial Systems ....................................................................................................................................... 22
Financial Policies and Procedures ................................................................................................................ 24
Internal Controls....................................................................................................................................... 25
Financial Documentation ............................................................................................................................ 27
Budgeting .................................................................................................................................................. 28
Financial Reporting .................................................................................................................................... 30
Audits ....................................................................................................................................................... 31
Cost Share ................................................................................................................................................ 33
Financial Sustainability ................................................................................................................................ 34
Organizational Management .......................................................................................... 36
Strategic Planning ...................................................................................................................................... 36
Resource Mobilization ............................................................................................................................... 38
Operational Plan Development .................................................................................................................. 40
Communication Strategy ............................................................................................................................ 41
Change Management ................................................................................................................................. 43
Knowledge Management ............................................................................................................................ 44
Stakeholder Involvement............................................................................................................................ 45
Internal Communication ............................................................................................................................ 46
Decision-Making ........................................................................................................................................ 47
Program Management .................................................................................................... 48
Donor Compliance .................................................................................................................................... 48
Sub-grant Management............................................................................................................................... 50
Technical Reporting ................................................................................................................................... 52
Referral .................................................................................................................................................... 53
Community Involvement ............................................................................................................................ 54
Culture and Gender .................................................................................................................................. 55
Project Performance Management ............................................................................... 56
Field Oversight Activities ........................................................................................................................... 56
Standards .................................................................................................................................................. 58
Quality Assurance ..................................................................................................................................... 59
Supervision .............................................................................................................................................. 60
Monitoring and Evaluation (M&E).......................................................................................................... 61
Governance
Objective: To assess the organization’s motivation and stability by reviewing its guiding principles, structure and oversight

Vision/Mission
Subsection Objective: To review the organization’s vision and/or mission statements, learn what drives the organization, how the statements
reflect what it does and how they are communicated and understood by staff

Resources: vision and/or mission statements, anonymous staff and board questionnaires (see Facilitator’s Guide)
Vision/Mission 
1 2 3 4
The vision and/or mission is The vision and/or mission is The vision and/or mission is The vision and/or mission is
• Not a clearly stated description of • A moderately clear or specific • A clear, specific statement of what the • A clear, specific and forceful
what the organization aspires to understanding of what the organization aspires to become or understanding of what the organization
achieve or become organization aspires to become or achieve aspires to become or to achieve
achieve • Well-known to most but not all staff • Well-communicated and broadly held
• Not widely held • Sometimes used to direct actions and within the organization
• Rarely used to direct actions or to to set priorities • Consistently used to direct actions and
set priorities to set priorities
Guiding Questions
Vision/Mission
Subsection Checklist Yes No N/A Comments/Quality Notes
Are the statements understood and relevant to the organization’s current purpose?
Is the vision or mission statement posted where staff and/or visitors see it regularly?
Is the statement(s) used in organizational materials (i.e., staff handbooks, orientation materials)?
Does the organization review the vision and mission statements in conjunction with strategic planning?
Are the vision and mission used to set priorities? If so, please describe how

1
Organizational Structure
Subsection Objective: To determine if the organization’s structure—most often depicted in an organogram but also perhaps in a narrative—is in
line with its mission, goals and programs and if systems exist to ensure strong coordination among departments or functions

Resources: organizational diagram, organogram or narrative
Organizational Structure 
1 2 3 4
The organization has The organization has The organization has The organization has
• No formal structure • A basic structure, but it is incomplete • A well-designed structure (e.g., • A well-defined structure relevant to its
• An unclear description of its and/or undocumented organogram) relevant to its mission/goals and programs
departments and their functions • A structure that is not aligned with its mission/goals and programs • Clearly defined and appropriate
mission/goals and programs • Identified the functions and functions and responsibilities of
• Unclear definitions of department responsibilities of departments departments
functions • Clearly defined and appropriate lines of • Clear, appropriate lines of
• Somewhat clear lines of responsibility responsibility and communication communication and coordination
and communication among among departments among departments
departments • A narrative description of the
structure if appropriate
Guiding Questions
Organizational Structure
Subsection Checklist Yes No N/A Comments/Quality Notes
Is the organizational and reporting structure clearly documented and disseminated?
Is there an organogram or similar document outlining supervisory and staff responsibilities?
Please describe the functions of the departments and how departments communicate with each
other

Please describe how the structure supports the mission

2
Board Composition and Responsibilities
Subsection Objective: To assess the board’s composition, terms of reference (TOR), procedures and oversight to ensure that the board is
capable of providing adequate guidance to the organization

Resources: board membership, board TOR, board meeting minutes, anonymous board questionnaire
Board Composition and Responsibility 
1 2 3 4
The board The board The board The board
• Is drawn from a narrow spectrum; • Is drawn from a somewhat broad • Is drawn from a broad spectrum; all • Is drawn from a broad spectrum; all
members have little or no relevant spectrum; some members have members have relevant experience members have relevant experience
experience relevant experience • Has term limits that are defined and • Has term limits that are defined and
• Has term limits that are not defined • Has term limits that are not defined or reasonable reasonable
or are unreasonably long or short are unreasonable • Informally elects officers • Has officers elected/appointed
• Has no process for electing officers • Has no process for electing officers • Has well-planned, documented according to board procedures
• Has infrequent or poorly attended • Has well-planned meetings at regular meetings held at regular intervals with • Has regular, well-planned, documented
and undocumented meetings intervals, but attendance and/or good attendance meetings with good attendance
• Does not have TOR or a clear documentation is irregular • Has clear TOR reflecting appropriate • Has clear TOR and a good
understanding of its key functions • Has TOR, but they are incomplete separation of roles from the understanding of its functions, all of
and/or do not provide appropriate executive management team which are consistently carried out with
separation of roles from the executive • Has a good understanding of its appropriate separation from the
management team functions as defined in the TOR and executive management team
• Has some understanding of its mostly carries them out • Displays willingness and a proven track
functions as defined in the TOR, but • Is involved in strategic planning/policy record to learn about the organization,
they are inconsistently carried out formulation, but participation is not to participate in strategic planning/policy
• Is rarely or not at all involved in always consistent formulation and to address
strategic planning/policy formulation organizational issues
3
Guiding Questions
Board Composition and Responsibility
Subsection Checklist Yes No N/A Comments/Quality Notes
Discuss board membership (e.g., the number of members and their experience)

Are there term limits for board members (e.g., two years)?
Is there a system for electing board members? Describe it

Are there regular board meetings? How often?
Are the board meetings well-attended? What percentage of members attends each meeting?
Are board meetings well-documented? Are minutes circulated and referred to?
Does the board have clearly defined TOR that detail key functions?
Are board members involved in strategic planning and developing a financing strategy for the
organization? Describe their involvement

Are board members involved in decision-making related to strategic direction and policies (including
finance/administration and programming)?
Do board members review and approve the organization’s annual budget and annual financial
statements?
Is there separation of board and executive roles? Is this written and adhered to?
Is there a succession plan for board members whose term may be interrupted?
4
Legal Status
Subsection Objective: To assess the organization’s legal standing—and therefore sustainability—by checking legal registration and compliance
with local tax and labor laws

Resources: registration, where possible and feasible, local tax laws, local labor laws
Legal Status 
1 2 3 4
The organization is The organization is The organization is The organization is
• Not legally registered, registration • Not currently a legally recognized • Legally registered and aware of its tax • Legally registered and aware of its tax
has expired, or the organization entity in the country in which it status status
does not know its legal status and operates but has applied for legal • Not always compliant with tax • Fully complies with tax obligations and
local labor laws status obligations and/or labor laws labor laws
• Not aware of its tax status and/or is • Aware of its tax status and local labor • Not always compliant with statutory • Fully complies with statutory audit and
not paying taxes laws but is not fully compliant audit and reporting requirements reporting requirements
• Not aware of statutory audit and • Aware of statutory audit and reporting
reporting requirements requirements but is not fully compliant
Guiding Questions
Legal Status
Subsection Checklist Yes No N/A Comments/Quality Notes
Is documentation of legal registration readily available or posted in the office?
Are labor laws adhered to and documented in human resource policies or in the handbook?
Does the organization comply with the tax codes for both itself and the staff?
Does the organization comply with annual statutory requirements such as audits and other
reporting?
Does the board review and approve the audit and other statutory reports?
5
Succession Planning
Subsection Objective: To assess the organization’s ability to continue smooth operations and to manage programs in the event of an absence of,
or shift in, leadership

Resources: job descriptions of senior management, succession plan, organizational chart
Succession Planning 
1 2 3 4
The organization The organization The organization The organization
• Is very dependent on the Chief • Is dependent on the CEO/ED • Has limited dependence on CEO/ED; • Is reliant but not dependent on the
Executive Officer (CEO)/Executive • Would continue to exist without the s/he does not have sole control of, CEO/ED
Director (ED) CEO/ED but most likely in a very for example, finances and planning • Has a clear, documented succession plan
• Would cease to exist or function different form, or with significantly • Would continue in a similar way • Has the potential for a smooth transition
without the CEO/ED less capability and reduced program without the CEO/ED, but fundraising to a new leader; fundraising and program
• Has no plan for how it would quality and/or program quality would suffer quality would not be major problems
continue if the CEO/ED left • Has a very basic succession plan significantly • Would handle transition by having a
describing how the organization will • Has a documented plan for how it senior management team fill in or one or
continue if the CEO/ED leaves would continue should the CEO/ED more members of the management team
leave, but no member of would take on the CEO/ED role
management could take on the
CEO/ED role
Guiding Questions
Succession Planning
Subsection Checklist Yes No N/A Comments/Quality Notes
Is there a deputy or other staff/board member who can fulfill the duties of the CEO/ED for short
or long periods?
Is this role documented in the organizational structure and in the job description of the
staff/board member?
In what ways is the capacity of the person to take on the role being built?
Is there a plan for handling a transition process, including fundraising, operations and program
quality? Please describe

This Organizational Capacity Assessment tool is designed to enable organizational learning, foster team sharing, and encourage reflective self-assessment within organizations. and …

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Frequently Asked Questions

What is the organizational capacity assessment?

The OCA tool was designed to enable organizations to define a capacity-building improvement plan, based on self-assessed need. This Organizational Capacity Assessment (OCA) was initially designed to measure overall capacity of organizations funded by President’s Emergency Plan for AIDS Relief (PEPFAR) under the New Partners Initiative (NPI).

How to assess an organizations ability to implement comprehensive programs?

To assess the organization’s ability to implement comprehensive programs that respond to local needs and priorities by reviewing compliance with management of sub-grants with partners, technical reporting, donor requirements, if any, and whether its comprehensive health services meet the needs of specific target populations.

What are the five key areas of capability assessment?

It assesses capability in five key areas: governance, organizational management, program management, human resources management, and financial management. The results are compiled into an agreed-upon action plan that maps priority areas and actions that the organization will take to address problems and gaps.

What do you look for in an organization assessment?

To assess the organization’s ability to link with other organizations (government, national, international, community, technical, academic) and its system for sharing knowledge, experiences, technical expertise and best practices with staff. Resources: