1.2 Requirements and Status Subsection Objectives: Determine the organization’s legal registration and compliance with national and local laws Resources: Registration documents, permits, and approvals; charter, constitution, articles of incorporation, and by-laws; relevant major laws and regulations (tax, labor, occupational health and safety, and environment); senior manager questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1.2 Legal Requirements and Status 1.2) 1 2 3 4 The organization has Not legally registered or has an expired registration No charter, constitution, or by-laws Inadequate knowledge or unaware of all permits or licenses required for operation or has not applied for them Inadequate knowledge of its obligations required licenses and permits Inadequate knowledge of national and local tax, labor, occupational health and safety, environmental, and other laws Not achieved compliance with these laws and is not taking corrective actions Pending legal actions or ownership changes may jeopardize operations The organization has Applied for legal status, but is not yet legally recognized A charter, constitution, or by-laws, but they are incomplete or out of date. Applied for, but not yet obtained, all permits or licenses required for operation Partial knowledge of national and local tax, labor, occupational health and safety, environmental, or other laws Not achieved compliance with these laws, but has begun taking corrective actions to comply with some laws Pending legal actions or ownership changes may have significant adverse effects on operations The organization has Legally registered and obtained all required permits and licenses A charter, constitution, or by-laws that are appropriate, but may need some updating Adequate awareness of its obligations under its licenses and permits Adequate awareness of national and tax, labor, occupational health and safety, environmental, and other laws Achieved substantial compliance with these laws or has corrective actions underway for full compliance Pending legal actions or ownership changes are unlikely to have significant adverse effects on operations The organization has Legally registered and is in fully compliance with all required permits and licenses A charter, constitution, or by-laws that are updated as needed Good awareness of its obligations its licenses and permits Good awareness of national and local tax, labor, occupational health and safety, environmental, and other laws Achieved full compliance with these laws Pending actions or ownership changes are unlikely to have a significant adverse effects on operations
1.3 Organizational Structure Objectives: Assess whether the organizational structure is appropriate Subsection Resources: Organization chart (organogram) or description of the staffing pattern; senior manager and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1.3 Organizational Structure (NUPAS 1.3) 1 2 3 4 The organizational structure is Informal or undocumented Documented, but not followed on inadequately defined departmental or functional responsibilities and lines of authority The organizational structure is Documented, but incomplete or out of date Not usually followed Based on partially clear roles and responsibilities of departments or functions and lines of authority The organizational structure is Documented and adequate, but may require some updating Usually followed Based on reasonably clear roles and responsibilities of departments or functions and lines of authority The organizational structure is Documented, good and updated as needed Consistently followed Based on well-defined roles and responsibilities of departments or functions and lines of authority Organizational Structure Notes 1. Is there a documented organizational chart or structure? Is the organizational structure appropriate for current programs? Does it support clear direction for staff? 2. Is the organizational structure updated as needed? When was it last revised? 3. Are departmental or functional responsibilities and lines of authority clear and appropriate? 1.4 Board Composition and Responsibility Objectives: Assess the board’s composition, terms of reference, procedures and oversight Subsection Resources: Board membership list; resumes or biographical descriptions of board members, description of board responsibilities, minutes of board meetings from the last three years, board and senior manager questionnaires or interviews
3.4 Procurement Subsection Objectives: Assess the soundness of procurement policies and procedures and degree of staff understanding and compliance Resources: Procurement policies, plans, and files; payment vouchers; financial manager, accountant, and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 3.4 Procurement (NUPAS 3.1) 1 2 3 4 Procurement policies and procedures are Not written Written, but inadequate and require substantial changes Not followed Not supported by adequate procurement records Not monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Not in compliance with requirements, including advance approvals Not supported with adequate training, including ethics training Procurement policies and procedures are written and Weak and require significant changes Adequate, but not usually followed Hindered by weak procurement records Occasionally monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Usually in compliance with requirements, including advance approvals Supported with occasional training, including ethics training Procurement policies and procedures are written and Adequate, but may require some minor changes or updating Generally followed Supported by adequate procurement records Usually monitored for compliance Include guidance on of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Usually in compliance with donor requirements, including advance approvals Supported with periodic training, including ethics training Procurement policies and procedures are written and Good and regularly reviewed and revised as needed Consistently followed Supported by good procurement records Consistently monitored for compliance Include guidance on codes of conduct; fair and open competition; ineligible goods, services, and suppliers; sources; and allowable, allocable, and reasonable costs Consistently in compliance with donor requirements, including advance approvals Supported with regular training, including ethics training
At risk due to potential duplicate payments, voucher misuse, reliance on cash payments At risk for duplicate payments, voucher misuse, reliance on cash payments Not at risk for duplicate payments, voucher misuse, reliance on cash payments Not at risk for duplicate payments, voucher misuse, reliance on cash payments Procurement Notes 1. Describe the organization’s procurement policies (e.g., what approvals and documentation are required?) 2. Does the procurement policy include guidance on codes of conduct, conflicts of interest, and fair and open competition? 3. How does the organization handle donor procurement requirements (e.g., cost thresholds, approvals, rules on eligibility of goods and services or restrictions on sources)? Have these requirements caused any challenges for the organization’s procurement? 4. How does the organization avoid duplicate payments (e.g., are all invoices marked “paid” and are payment vouchers pre-numbered?) 3.5 Fixed Asset Management (Equipment and Property) Subsection Objective: Assess the soundness of policies and procedures for fixed assets management and degree of staff understanding and compliance. Resources: assets register, physical inventory reports; payment vouchers: financial manager, accountant, and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 3.5 Fixed Asset Management 1 2 3 4 Asset management policies and procedures are Not written Written, but inadequate and require substantial changes Not supported by adequate inventory records Not comprehensive, including a definition of equipment and requirements for titling, Asset management policies and procedures are written and Weak and require significant changes Adequate, but not usually followed Hindered by weak inventory records Partly comprehensive, including a definition of equipment and requirements for titling, Asset management policies and procedures are written and Adequate, but may require changes or some updating Generally followed Supported by adequate inventory records Generally comprehensive, including a definition of equipment and requirements for titling, Asset management policies and procedures are written and Good and regularly reviewed and revised as needed Do not require changes Consistently followed Supported by good inventory records Comprehensive, including a definition of non-expendable equipment and requirements for
Staff attrition rates are high for the organization’s size, type, and location Salaries and advancement potential are very low Most staff are dissatisfied with the organization or their positions Staff professional development needs are not identified Rarely provide training and other staff development opportunities for staff Staff attrition is above normal for the organization’s size, type, and location have few opportunities for career advancement and salary increases Most staff are partially satisfied with the organization and their positions Staff professional development needs are not adequately identified Occasionally provide training and staff development opportunities for staff, but the amount or quality may be weak It is difficult to recruit some positions Staff attrition is typical for the organization’s size, type, and location Staff have some opportunities for career advancement and salary increases Most staff are satisfied with the organization and their positions professional development needs are periodically identified, but less than once a year Regularly provide training and other staff development opportunities for staff, but more is needed It is not difficult to recruit a few key positions attrition is relatively low for the organization’s size, type, and location Staff have significant opportunities for career advancement and salary increases Most staff have high satisfaction with the organization and their positions Staff professional development needs are routinely identified at least once a year Regularly provide an appropriate amount and quality of training and other staff development opportunities for staff Recruitment and Retention 1. How does the organization recruit new staff? 2. What does the organization do to retain existing staff? 3. Is the recruitment and hiring process open and transparent? How are positions announced or advertised? 4. Who is involved in screening applications and interviewing and selecting candidates? Are candidate references and salary history consistently checked? 5. How do staff attrition rates compare to other organizations of this size, type, and location? 6. Does the organization offer significant opportunities for career advancement and salary increases beyond inflation? 7. How satisfied are staff with the organization and their positions? 8. Are staff professional development needs regularly identified? What training and staff development opportunities are available? Are these opportunities relevant, appropriately designed, and well used?
4.3 Personnel Policies Subsection Objectives: Assess whether the organization’s personnel policies conform to good practices and donor requirements Resources: Personnel policies and procedures; senior manager and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 4.3 Personnel Policies (NUPAS 4.1) 1 2 3 4 Personnel policies and procedures are Not written Written, but not followed Inadequate and require substantial changes Not supported by adequate human resource records Not comprehensive in addressing work schedules and locations, salaries and benefits, sick leave and annual leave, performance reviews, employee conduct, disciplinary procedures, grievances, resignations, and terminations Not to all staff Not in compliance with legal and donor requirements and certifications Personnel policies and procedures are written and Weak and requires significant changes Not usually followed Hindered by weak recruitment and personnel records Partly comprehensive in addressing work schedules and locations, salaries and benefits, sick and annual leave, performance reviews, employee conduct, disciplinary procedures, grievances, resignations, and terminations Not usually given to all staff Not usually in full compliance with legal and donor requirements and certifications Personnel policies and procedures are written and Adequate, but may require some updating or minor changes Generally followed Supported by adequate recruitment and personnel records Mostly comprehensive in addressing work schedules and locations, salaries and benefits, sick leave and annual leave, performance reviews, employee conduct, disciplinary procedures, grievances, resignations, and terminations Usually given to all staff Usually in full compliance with legal and donor requirements and certifications Personnel policies and procedures are written and Good and regularly reviewed and revised as needed Consistently followed Supported by good resource records Fully comprehensive, addressing work schedules and locations, salaries and benefits, sick leave and annual leave, performance reviews, employee conduct, disciplinary procedures, grievances, resignations, and terminations Consistently to all staff and acknowledged in writing Consistently in full compliance with and donor requirements and certifications
Personnel Policies Notes 1. Describe the organization’s personnel policies. What issues do these cover? (e.g. work schedules, salaries and benefits, sick leave and annual leave, holidays, performance reviews, employee conduct, disciplinary procedures, grievances, resignations, terminations, bonuses). 2. Are the personnel policies and procedures consistently followed? How well do they work for the organization? 3. Do staff receive the personnel policies and procedures and sign an acknowledgment? 4. Do personnel policies fully comply with legal and donor requirements? 4.4 Staff Time Management and Payrolls Subsection Objectives: Assess whether the organization has a well-documented payroll system based on accurate timesheets that are signed and approved and reflect hours spent on each project and indirect activities Resources: Payroll policies and procedures, time sheets, work schedule policies, payment vouchers, timesheets, financial managers and questionnaires and interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 4.4 Staff Time Management and Payrolls (NUPAS 4.2) 1 2 3 4 Payroll policies and procedures are Not written Written, but inadequate and require substantial changes Not followed Payrolls are Not supported by written timesheets signed by staff and supervisors Not approved by senior management Payroll policies and procedures are written and Weak and require significant changes Not usually followed Payrolls are Supported by written timesheets that are often not timely, complete, or signed by staff and supervisors Estimated from project budgets Payroll policies and procedures are written and Adequate, but may require some updating Usually applied Payrolls are Supported by written timesheets that are usually timely, complete, and signed by and supervisors Based on actual time worked on each project and indirect activities Payroll policies and procedures are written and Good and regularly reviewed and revised as needed Consistently followed Payrolls are Supported by written timesheets that are usually timely, complete, and signed by and supervisors Based on actual time worked on each project and indirect activities
Inadequate systems and procedures that would require substantial changes to meet complex donor requirements Not had to comply with complex requirements of and other donors Weak systems and procedures that require significant changes to meet complex donor requirements Not adequately complied with complex requirements of USAID and other donors donor requirements, but they may need some updating Usually complied with complex requirements of USAID and other donors Good systems and procedures to meet complex donor requirements Consistently complied with complex requirements of USAID and other donors Donor Compliance 1. Has the organization received a direct award from USAID? 2. Has the organization received a direct award from other donors? If so, which donors? Do these donors have complex compliance requirements like USAID? 3. Has the organization received a sub-award from USAID? 4. Has the organization filed the certifications needed for a direct award from USAID? 5. Has the organization the certifications needed for a sub-award from USAID? 6. Does the organization have a good understanding of USG cost principles (A-122)? 7. Does the organization have a good understanding of USAID’s Standard Provisions for Non-US organizations? 8. Does the organization have good systems and procedures to meet complex donor requirements? 9. Does the head office consistently comply with complex requirements of USAID and other donors? 10. Have donor reports, audits, or evaluations indicated any compliance issues? 5.2 Sub-Award (Sub-Grant and Sub-Contract) Management (Skip if the organization does not manage sub-awards) Subsection Objectives: Review systems and procedures for awarding, managing, and supervising sub-grants and sub-contracts to other organizations Resources: Grants manual, sub-grant policies, partner agreements, financial and progress reports from sub-awardees, site visit reports, staff and sub-awardee questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1 2 3 4
6. Does the organization provide thorough and timely feedback on the financial and technical reports of sub-awardees? 7. Does the organization have policies and procedures requiring competition, transparency, and ethical behavior by sub-awardees? 5.3 Technical Reporting Subsection Objectives: Assess the organization’s ability to document activities and results for effective implementation, planning, and program development as well as reporting to donors Resources: Progress and technical reports, donor feedback on reports, and interviews with senior managers and donors Low Capacity Basic Capacity Moderate Capacity Strong Capacity 5.3 Technical Reporting (NUPAS 5.2) 1 2 3 4 Technical reports on projects have Not been prepared Been prepared with substantial assistance from donors or technical assistance providers Been incomplete or unreliable Not tracked workplan progress and program or project indicators Not been used to analyze strategies and activities, challenges and opportunities, remedial measures, lessons learned, and good practices Not been reviewed by senior management or shared broadly with staff Technical reports on projects have Been prepared with significant assistance from a donor or technical assistance providers Been reliable, but may not be complete or timely Not usually tracked workplan progress and program or project indicators Demonstrated a limited ability to document quantitative and qualitative progress and review objectives, strategies, and activities Not usually been effectively used to analyze strategies and activities, challenges and opportunities, remedial Technical reports on projects have Been prepared without significant assistance from donors or technical assistance providers Been reliable and reasonably complete, but may not always be timely Usually tracked workplan progress and program or project indicators Demonstrated an adequate ability to document quantitative and qualitative progress and review objectives, strategies, and activities Usually been used to analyze strategies and activities, challenges and opportunities, Technical reports on projects have Been prepared without assistance from donors or technical assistance providers Been reliable, complete, and timely Consistently tracked workplan progress and program or project indicators Demonstrated a good ability to document quantitative and qualitative progress and review objectives, strategies, and activities Consistently been used to analyze strategies and activities, challenges and opportunities, remedial measures,lessons learned, and good practices
Resources: Policy and procedures manuals, records of communications with field staff, field visit reports, monitoring reports, evaluations Low Capacity Basic Capacity Moderate Capacity Strong Capacity 6.4 Field Support, Operations, and Oversight 1 2 3 4 The organization has No field offices or operations No written procedures and processes for field support, operations, and oversight Written procedures for field support, operations, and oversight that are not applied offices or operations that do not submit annual workplans, budgets, and financial and progress reports for headquarters review A head office that provides inadequate administrative and technical support and oversight to the field Field site visits that are infrequent, irregularly scheduled, or too short The organization has field offices or operations and Weak written procedures and processes for field support, operations, and oversight Procedures for field support, operations, and oversight that are not usually applied Field offices or operations that submit annual workplans, budgets, and financial and progress reports for headquarters review, but receive inadequate feedback A head office that provides weak administrative and technical support and oversight to the field An insufficient frequency or duration of regular field site visits The organization has offices or operations and Adequate written procedures and processes for field support, operations, and oversight that may need some updating Procedures for field support, operations, and oversight that are usually applied Field offices or operations that submit annual workplans, budgets, and financial and progress reports for headquarters review and receive adequate feedback A head office that provides adequate administrative and technical support and oversight to the field An adequate frequency and duration of regular field site visits The organization has Good written procedures and processes for field support, operations, and oversight Procedures for field support, operations, and oversight that are consistently applied offices or operations that submit annual workplans, budgets, and financial and progress reports for headquarters review and receive good feedback A head office that provides good administrative and technical support and oversight to the field A good frequency and duration of regular site visits Field Support, Operations, and Oversight Notes 1. Does the organization have offices or field operations? 2. What governs the operations of field offices? Are there policies and procedures on field support, operations, and oversight, and are they consistently followed? 3. Describe the relationship between headquarters and offices.
Not linked to program or project budgets Lacking clear and measureable goals, activities, timelines, responsibilities, performance indicators, or targets Not prepared with significant staff participation Not used for management decisions, operational planning, and monitoring progress Not modified as needed Not well linked to program or project budgets Needing significant revisions in goals, activities, timelines, responsibilities, or performance indicators and targets Not prepared with broad staff participation Not usually used for management decisions, operational planning, and monitoring progress Modified without required approvals Linked to program or project budgets Containing adequate activities, timelines, responsibilities, or performance indicators and targets Prepared with significant staff participation Usually used for management decisions, or operational planning, and monitoring progress Modified with required donor approvals Containing good activities, timelines, responsibilities, or performance indicators and targets Prepared with broad staff participation Consistently used for management decisions, or operational planning, and monitoring progress Modified with required donor approvals Workplan Development Notes 1. Describe how the organization produces annual workplans. Who is involved in developing annual workplans? Are the annual workplans timely? Are workplans modified as needed, with donor approval as required? 2. Do annual workplans contain clear and specific goals, activities, timelines, responsibilities, or performance indicators and targets? 3. Are the workplans linked to the program budget? 4. How are annual workplans used (e.g., management decisions, operational planning, monitoring and evaluation)? How often are workplans monitored? 7.3 Change Management Subsection Objectives: Assess the organization’s ability to respond to change in the internal and external environment Resources: Policies, processes, and plans for change management; schedule for reviewing policies; response to issues identified in the NUPAS or previous OCAs; and questionnaires or interviews of senior managers, staff, and donors Low Capacity Capacity Moderate Capacity Strong Capacity 1 2 3 4
7.3 Change Management The organization has No process or structures for responding to changes in leadership, staffing, budgets, government policies, and donor funding levels and priorities Not demonstrated the ability to identify and adapt to changes in internal and external environments Not responded to issues identified in the NUPAS and previous capacity assessments Experienced substantial setbacks, problems, or delays in response to changes Management that does not assess staff comfort levels with changes No system for monitoring whether changes are implemented and their positive and negative effects The organization has Weak processes or structures for responding to changes in leadership, staffing, budgets, government policies, and donor funding levels and priorities Demonstrated little capacity to identify and adapt to changes in internal and external environments Only partly responded to issues identified in the and previous capacity assessments Experienced significant setbacks, problems, or delays in response to changes Management that does not usually assess staff comfort levels with changes A weak system for monitoring whether changes are implemented and positive and negative effects The organization has Adequate processes or structures for responding to changes in leadership, staffing, budgets, government policies, and donor funding levels and priorities Demonstrated adequate capacity to identify and to changes in internal and external environments Adequately responded to most issues identified in the NUPAS and previous capacity assessments Experienced moderate setbacks, problems, or delays in response to changes Management that usually assesses staff comfort levels with changes An adequate system for monitoring whether changes are implemented and their positive and negative effects The organization has Good processes or structures for responding to changes in leadership, staffing, budgets, government policies, and donor funding levels and priorities Demonstrated good capacity to identify and adapt to changes in internal and external environments Fully responded to most issues identified in the NUPAS and previous capacity assessments Experienced few setbacks, problems, or delays in response to changes Management that consistenly assesses staff comfort levels with changes A good system for monitoring whether changes are implemented and positive and negative effects Change Management 1. Have major changes in leadership, staffing, budgets, government policies, and donor funding occurred in the last 3 years? How did the organization respond to these changes? 2. Has the organization demonstrated a good capacity to identify and adapt to changes in the internal and external environment? Give examples. 3. Has the organization experienced setbacks, problems, or delays in response to internal or external changes? What happened and why? 4. Does management regularly assess staff comfort levels with changes? How? 5. Is there a good system for monitoring how well changes are implemented and their positive and negative effects? Discuss examples.
Only one major funding source Insufficient funds for existing programs next year No regular funding from cost recovery, sales, or membership fees Little absorptive capacity for additional projects Insufficient unrestricted income and cash reserves to cover 2 months of operating costs without new donor funding No access to new loans or a line of credit Had occasional cash flow problems, but positive net income last year Insufficient for existing programs next year Only one funding source Insignificant funding from cost recovery, sales, or membership fees Limited absorptive capacity for additional projects Unrestricted income and cash reserves to 2-3 months of operating costs without new donor funding No existing line of credit or limited access to new Had no significant cash flow problems and positive net income over the last year Sufficient for existing programs next year At least two major funding sources Limited funding from cost recovery, sales, or membership fees Adequate absorptive capacity for additional projects Unrestricted income and cash reserves to cover 3-6 months of operating costs without new donor funding Access to new loans, but no existing line of credit Sufficient funds for existing programs next year At least three major funding sources Significant funding from cost recovery, sales, or membership fees Good absorptive capacity for additional projects Unrestricted income and cash reserves to over 6 months of operating costs without new donor funding Good access to new or an existing line of credit Fundraising and New Business Development Notes 1. Describe how the organization raises funds to continue its operations. 2. Has the organization had any significant cash flow problems over the last two When? How serious were the problems? What had to be done? 3. Did the organization have positive net income in the last two How large? 4. How many major funding sources does the organization have? 5. Does the organization have significant funding from cost recovery, sale of and services, and membership fees? 6. Does the organization have sufficient financial resources to continue existing programs next year without new donor funding? 7. Does the organization have good absorptive capacity to implement additional projects? 8. How much unrestricted income does the organization have? What are the sources of unrestricted income? How large are cash reserves? Without new donor funding, how many months of operations could unrestricted income and cash reserves cover? 9. Does the organization have access to new Does it have an existing line of credit? 10. How would the organization weather an unexpected reduction in funding? For businesses only:
1. What is the debt-to-assets ratio? What is the debt-to-equity ratio? What is the cash flow- to-debt ratio? 7.6 Internal Communications and Decision Making (within the organization) Subsection Objectives: Assess the effectiveness of the organization’s internal communications within and across departments or functions and the process Resources: Assessments of internal communications, reports on major organizational planning and program review meetings, organization chart, list of staff participants in board and major management meetings, questionnaires and interviews of senior managers and staff Low Capacity Basic Capacity Moderate Capacity Strong Capacity 7.6 Internal Communications and Decision Making 1 2 3 4 The organization has Poor two-way communications between management and staff No structured settings to exchange and discuss problems or opportunities Management rarely listens to or encourages staff ideas Staff rarely initiating discussions with management and raising challenging issues Inadequate communications within and across departments or functions A decision-making process that lacks staff involvement for shared responsibility, ownership, and accountability The organization has Limited two-way communication between management and staff Few structured settings to exchange and discuss problems or opportunities Management sometimes listens to staff ideas, but does not actively seek staff input Staff occasionally initiating discussions with management and raising challenging issues Weak communications within and across departments or functions A decision-making process with little staff involvement for shared responsibility, ownership, and accountability The organization has Adequate two-way communication between management and staff Occasional structured settings to exchange ideas and discuss problems or opportunities Management usually listens to ideas and periodically seeks staff input Staff usually initiating discussions with management and raising challenging issues Adequate communications within and across departments or functions A decision-making process with some staff involvement for shared responsibility, The organization has Good two-way communications between management and staff Regular structured settings to exchange ideas and discuss problems and opportunities Management consistently listens to staff ideas and seeks staff input Staff frequently initiating discussions with management and raising challenging issues Good communications within and across departments or functions A decision-making process with extensive staff involvement for shared
strategy and overseeing written and oral products No process for pre-testing external communication messages and materials and monitoring their effectiveness No templates or style guide for documents and the website No website or just a placeholder Little name recognition or a negative reputation with key stakeholders Little capacity for implementing an external communications strategy and overseeing written and oral products Weak or inconsistent process for pre-testing external communication messages and materials and monitoring their effectiveness Weak templates or style guides for documents and the website A weak website A neutral reputation with key stakeholders Adequate capacity for implementing the external communications strategy and overseeing written and oral products Adequate process for external communication messages and materials and monitoring their effectiveness Adequate templates or style guides for documents and the website An adequate website A positive reputation with key stakeholders and overseeing written and oral products Good process for pre-testing and revising external communication messages and materials and monitoring their effectiveness Good templates or style guides for documents and the website An effective website A strongly positive reputation with key stakeholders External Communications Notes 1. Who are the key external audiences for the organization? How does the organization communicate with them? 2. How are external communication messages determined? What of communication have been most effective? What types of communication have been least effective? 3. Does the organization have an effective strategy for external communications? When was it revised last? 4. Does the organization pre-test external communication messages and materials? 5. Does the organization have a website? Does it have templates or a guide for the website and publications? 6. Does the organization have good name recognition and reputation with donors, government, and clients or beneficiaries? (Discuss each category of stakeholders separately.) Do donors, government, and clients have a good understanding of the organization’s programs and results?
7.8 Advocacy and Influence (Skip if the organization does not have an advocacy objective) Subsection Objectives: Assess the strategies and effectiveness of the organization’s work on advocacy of policies and issues Resources: Publications; conferences; social media messaging; changes in national and local government policies, regulations, and laws; changes in donor and regional organization policies and public views; questionnaires and interviews of senior managers, staff, stakeholders, and the general public Low Capacity Basic Capacity Moderate Capacity Strong Capacity 7.8 Advocacy and Influence (if applicable) 1 2 3 4 The organization has an objective of advocacy on policies and issues and Has not carried out significant advocacy activities over the past three years No written plan or strategy for advocacy work or it is not followed staffing or skills for effective advocacy Has not effectively mobilized its clients for advocacy Has not developed alliances with stakeholders for advocacy Has not influenced the formulation or implementation of government policies at the national or level Has not influenced donor or regional organization policies The organization has an objective of advocacy on policies and issues and Has occasionally carried out significant advocacy activities over the past three years A weak written plan or strategy for advocacy work Insufficient number or skills of staff for effective advocacy Has been weak in mobilizing its clients for advocacy Has been weak in developing alliances with other stakeholders for advocacy Has had little influence on the formulation or implementation of government policies at the national or local level Has had little influence on donor or regional organization policies The organization has an objective of advocacy on policies and issues and Has regularly carried out significant advocacy activities over the past three years An adequate written plan or strategy for advocacy work Adequate number and skills of staff for effective advocacy Has been adequate in mobilizing its clients for advocacy Has been adequate in developing alliances with other stakeholders for advocacy Has had some influence on the formulation or implementation of government policies at the national or local level Has had some influence on donor or regional organization policies The organization has an objective of advocacy on policies and issues and Has regularly carried out significant advocacy activities over the past three years A good written plan or strategy for advocacy work Good number and skills of staff for effective advocacy Has been good in mobilizing its clients for advocacy Has been good in developing alliances with other stakeholders for advocacy Has had significant influence on the formulation or implementation of government policies at the national or local level Has had significant influence on donor or regional organization policies