1.2 Legal Requirements and Status (NUPAS 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 under 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for legal status, but is not yet legally recognized A charter, constitution, or by-laws, but they are incomplete or out of date.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 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 compliance with all required permits and licenses A charter, constitution, or by-laws that are updated as needed Good awareness of its obligations under its licenses and permits Good awareness of national and tax, labor, occupational health and safety, environmental, and other laws Achieved full compliance with these laws Pending legal actions or ownership changes are unlikely to have a significant adverse effects on operations
1.4 Board Composition and Responsibility (NUPAS 1.5) An external has Not been established or is not functional Little or no independence from management No regular meetings No term limits No process for electing or appointing and removing members and officers No written terms of reference or does not understand its functions No written ethics policy or policy is not enforced Only an advisory role Limited effectiveness in setting strategies, oversight of finance and administration, and programs Most board members have weak experience, skills, or contacts Board members do not receive appropriate training The external board has Members drawn from a narrow group Limited independence from management Regular meetings less than twice a year Meetings that are not well attended Ineffective or poorly documented meetings A weak written terms of reference or limited understanding of its functions Term limits that are not defined or reasonable No process for electing or appointing and removing members and officers A written ethics policy that is weak or not well enforced Limited effectiveness in setting strategies, oversight of finance and administration, and programs Most board members have fair experience, skills, or contacts Board members rarely receive appropriate training The external board has Members drawn from a reasonably broad spectrum Moderate independence from management Regular meetings at least twice a year Meetings that consistently have a quorum Reasonably effective and adequately documented meetings An adequate written terms of reference and understanding of its functions Reasonable, defined term limits A process for electing or appointing and removing members and officers A written ethics policy that is adequate and enforced Reasonable effectiveness in setting strategies, oversight of finance and administration, and programs Most board members have good experience, skills, and contacts Board members receive adequate training The external board has Members from a broad spectrum Good independence from management Regular meetings at three times a year Meetings attended by all or nearly all members Effective and well documented meetings A good written terms of reference and understanding of its functions Reasonable, defined term limits Open and transparent procedures for electing or appointing and removing members and officers A written ethics policy that is good and well enforced Good effectiveness in setting strategies, oversight of finance and administration, and programs All board members have good experience, skills, and contacts Board members receive good training 1.5 Succession Planning Subsection Objectives: Assess the organization’s ability to continue smooth operations and program management in the event of a loss or change in leadership. Resources: Job descriptions of senior managers, succession plan, organization chart or description of the staffing pattern, board and senior manager questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity
conversions, and The organization has a bookkeeper, but no accountant The organization has a partly qualified accountant who reports to the board or a qualified accountant who reports to the chief executive Properly recording all transactions The organization has a qualified accountant who reports to the board, but may need some training The organization has a qualified accountant who reports to the and regularly updates skills 2.3 Internal Controls (Checks and Balances and Segregation of Duties) Subsection Objectives: Assess whether are adequate internal controls to safeguard funds and check the accuracy and reliability of accounting data Resources: Financial manual, accounting journals, chart of accounts, general ledger, financial statements and annexes, bank records, and financial staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 2.3 Internal Controls (NUPAS 2.8) 1 2 3 4 is inadequate separation of duties among procurement staff and staff handling revenues Procedures for managing payments, expenditures, and petty cash are inadequate Many payments are made in cash Checks are not secured or do not get signed by at least two authorized people Checks are pre-signed or made out to “cash” or “bearer” Field offices have inadequate internal controls Field office advances are not adequately reconciled and reviewed There is weak separation of duties among procurement staff and staff handling revenues Procedures for managing payments, expenditures, and cash are weak Few payments are made in cash Checks are secured and signed by at two authorized people Checks are not pre-signed or made out to “cash” or “bearer” offices have weak internal controls Insufficient frequency of reconciling and reviewing field office advances is adequate separation of duties among procurement staff and staff handling revenues Procedures for managing payments, expenditures, and petty cash are adequate Cash payments are not made above petty cash limits Checks are not pre-signed or made out to “cash” or “bearer” Checks are secured and signed by at least two authorized people Field offices have adequate internal controls Adequate of reconciling and reviewing field office advances There is good separation of duties among procurement staff and staff handling revenues Procedures for managing payments, expenditures, and petty cash are good Cash payments are not made above petty cash limits Checks are secured and signed by at least two authorized people Checks are not pre-signed or made out to “cash” or “bearer” Field offices have good internal controls Good frequency of reconciling and reviewing field office advances sub-
The organization does not assess financial risks An internal or external or assessment of internal controls has not been done or has found uncorrected significant weaknesses or deficiencies The organization rarely assesses financial risks An internal or external audit or assessment has found significant weaknesses or deficiencies in internal controls that have only been partially corrected The organization periodically assesses financial risks An internal or external audit or assessment has found some weaknesses or deficiencies in internal controls that have been fully corrected The organization regularly assesses and mitigates financial risks An internal or external audit or assessment has found no significant weaknesses or deficiencies in internal controls 2.4 Bank Account Management Subsection Objectives: Assess whether bank accounts properly separate donor and project funds and personal funds and bank records are properly reconciled and reviewed Resources: Financial manual, accounting journals, chart of accounts, general ledger, financial statements and annexes, bank records, and financial staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 2.4 Bank Account Management (NUPAS 2.1) 1 2 3 4 The organization has no bank accounts All donor funds are co-mingled in a single bank account Personal funds of board members or managers are kept in the organization’s bank accounts Bank accounts are not reconciled and reviewed by management at once per month Donor funds are in separate bank accounts for each award Personal funds are not kept in the organization’s bank accounts Bank accounts are usually reconciled and reviewed by management at once a month Donor funds are in separate bank accounts for each award Personal funds are not kept in the organization’s bank accounts Bank accounts are consistently reconciled and reviewed by management at once per month Donor funds are in separate bank accounts for each award Personal funds are not kept in the organization’s bank accounts Bank accounts are consistently reconciled and reviewed by management at once per month
equipment; and the hiring and use of consultants Forms and approval processes are not appropriately standardized and computerized No written guidance on client support and provision of goods and services or guidance is rarely followed Forms and approval processes are not appropriately standardized and computerized Written guidance on client support and provision of goods and services is inadequate or not usually followed Most and approval processes are appropriately standardized and computerized Written guidance on client support and provision of goods and services is adequate and usually followed equipment; and the hiring and use of consultants Forms and approval processes are consistently appropriately standardized and computerized Written guidance on client support and provision of goods and services is good and consistently followed 3.2 Information Technology Subsection Objectives: Assess the soundness of IT policies and procedures and systems and staff compliance. Resources: Policy and procedures manual; staff questionnaires; senior manager and staff questionnaires or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 3.2 Information Technology 1 2 3 4 Information technology policies and procedures are Not written Written, but require substantial changes, or rarely followed IT systems are Inadequate for the current size Not networked Information technology policies and procedures are written and Weak, requiring significant changes Not usually followed IT systems are Barely adequate for the current size Networked Based on weak hardware or software or illegal software Information technology policies and procedures are written and Adequate, but may require some updating Usually followed IT systems are Adequate for the current staff size Networked Based on adequate hardware and legal software Information technology policies and procedures are written Good and regularly updated Consistently followed IT systems are Capable of serving expected growth in the staff size over the next year Networked Based on good hardware and legal software
There are no documented, standard per diem rates or they are not followed Travel expense reports Have no standard format Are not computerized Are not supported by written trip reports Are subject to long delays before reimbursement when complete There are documented, standard per diem rates that are usually applied Travel expense reports Have a standard format Are not computerized Are not usually supported by written trip reports that are centrally filed Are not usually reimbursed promptly when complete There are documented, standard per diem rates that are consistently applied Travel expense reports Have a standard format Are computerized in spreadsheet software Are usually supported by written trip reports, but they might not be centrally filed Are usually reimbursed promptly when complete Travel expense reports Have a standard format Are computerized and integrated with the travel approval and accounting systems Are consistently supported by written trip reports that are centrally filed Are consistently reimbursed promptly when complete 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 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 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 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 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
4.2 Recruitment and Retention Policies and procedures for staff recruitment and retention are Not written Inadequate or not followed Not supported by adequate records Recruitment and hiring are prone to favoritism or bias References and salary history are not verified It is difficult to recruit most positions 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 Policies and procedures for staff recruitment and retention are written and Weak or incomplete Adequate, but not usually followed Hindered by weak records Recruitment and hiring are not open and transparent References and salary history are not usually verified It is difficult to recruit many positions Staff attrition is above normal for the organization’s size, type, and location Staff 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 other staff development opportunities for staff, but the Policies and procedures for staff recruitment and retention are written and Adequate, but may require some updating Usually followed. Supported by adequate records Recruitment, hiring, and retention are usually open and transparent References and salary history are usually verified 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 Policies and procedures for staff recruitment and retention are written and Good and regularly revised as needed Consistently followed Supported by good records Recruitment, hiring, and retention are consistently open and transparent References and salary history are consistently verified It is not difficult to recruit a few key positions Staff attrition is relatively low for the organization’s size, type, and location Staff have significant opportunities for career advancement and salary increases Most 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
programs or only made for a subset of eligible employees Does not pay overtime or compensatory leave as required by law Does not usually pay overtime or compensatory as required by law Does not control overtime through advance approvals programs for all eligible employees Usually pays overtime or compensatory leave as required by law Usually control overtimes through advance approvals Consistently pays overtime or compensatory leave as required by law Consistently controls overtime through advance approvals 4.7 Staff and Contractor Supervision and Work Planning Subsection Objectives: Assess the clarity of supervisory responsibilities and staff and contractor work planning Resources: Organization chart, supervision plan, supervisor reports, training needs assessment and training plans for supervisors, employee and contractor work plans, questionnaires or interviews of managers and staff Low Capacity Basic Capacity Moderate Capacity Strong Capacity 1 2 3 4 4.7 Staff and Contractor Supervision and Work Planning The organization has Not defined and documented supervisory assignments No written policies and procedures for and contractor supervision Written supervision policies and procedures that are not usually followed Many supervisors with inadequate skills and training Employees and contractors do not have written workplans or performance objectives Staff and consultants lack clear and detailed guidance The organization has Defined and documented some supervisory assignments, but they may be incomplete, unclear, or out of date Weak written policies and procedures for staff and contractor supervision Supervision policies and procedures that are not usually followed Some supervisors with weak skills and training Employees and contractors do not usually have written workplans or performance objectives prepared at least once a year or they are not timely The organization has Defined and documented most supervisory assignments, but some may need updating Adequate written policies or procedures for staff and contractor supervision Supervision policies and procedures that are usually followed Supervisors with adequate skills and training Most employees have written workplans or performance objectives prepared at least once a year on a timely basis The organization has Defined and documented supervisory assignments and revised them as needed Good written policies or procedures for staff and contractor supervision Supervision policies and procedures that are consistently followed Supervisors with good skills and training Employees consistently have written workplans or performance objectives prepared at once a year on a timely basis Staff and consultants consistently have clear and
Little understanding of USG cost principles (A-122) and USAID’s Standard Provisions for Non-US organizations Inadequate systems and procedures that would require substantial changes to meet complex donor requirements Not had to comply with complex requirements of USAID and other donors A basic understanding of USG cost principles (A-122) and USAID’s Standard Provisions for Non-US organizations Weak systems and procedures that require significant changes to meet complex donor requirements Not adequately complied with complex requirements of USAID and other donors and Standard Provisions for Non-US organizations Adequate systems and procedures to meet complex donor requirements, but they may need some updating Usually complied with complex requirements of USAID and other donors A good understanding of USG cost principles and USAID’s Standard Provisions for Non-US organizations Good systems and procedures to meet complex donor requirements Consistently complied with complex requirements of USAID and other donors 5.2 (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 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 Capacity Moderate Capacity Strong Capacity 5.2 Sub-Award Management (NUPAS 3.2) 1 2 3 4 Policies and procedures for management are Not written Written, but inadequate and require substantial changes Not followed Policies and procedures for sub-award management are Weak and require significant changes Not usually applied The organization has Limited experience providing Not adequately oriented on their responsibilities Policies and procedures for management are Adequate, but may require some updating Usually applied The organization has Significant experience providing Policies and procedures for sub-award management are Good Consistently applied The organization has Substantial experience providing sub-awards Consistently oriented on their responsibilities
to identify effective remediation measures and lessons learned for subsequent projects and lessons learned for subsequent projects 6.2 Project and Program Evaluation Subsection Objectives: Review the organization’s ability to conduct objective internal evaluations of project strategies, approaches, outcomes and impacts or to organize, manage, and use external evaluations Resources: Project and program evaluation plans, evaluation tools, evaluation reports, staff and stakeholder surveys or interviews Low Capacity Basic Capacity Moderate Capacity Strong Capacity 6.2 Project and Program Evaluation 1 2 3 4 Policies and procedures for evaluation are Not written Written, but not followed The organization has Inadequate ability to prepare a scope of work for an evaluation of approaches, performance, and results Inadequate ability to provide support and documentation for evaluators Inadequate ability to review evaluation data quality and reports Inadequate ability to address evaluation findings and recommendations in existing and new projects Written policies and procedures for evaluation are Weak and require significant changes Not usually applied The organization has Weak ability to prepare a scope of work for an evaluation of approaches, performance, and results Weak ability to provide support and documentation for evaluators Weak ability to review evaluation data quality and reports Weak ability to address evaluation findings and recommendations in existing and new projects Written policies and procedures for evaluation are Adequate, but may require some updating Usually applied The organization has Adequate ability to prepare a scope of work for an evaluation of approaches, performance, and results Adequate ability to provide support and documentation for evaluators Adequate ability to review evaluation data quality and reports Adequate ability to address evaluation findings and recommendations in existing and new projects Written policies and procedures for evaluation are Good Consistently applied The organization has Good ability to prepare a scope of work for an evaluation of approaches, performance, and results Good ability to provide support and documentation for evaluators Good ability to review evaluation data quality and reports Good ability to address evaluation findings and recommendations in
Subsection Objectives: Assess the organization’s systems for management and oversight of field offices and operations 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 Field 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 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 An insufficient frequency or duration of regular site visits The organization has field 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 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 field site visits 6.5 Project Performance (past 3 years)
7.4 Knowledge Management and External Linkages The organization has Inadequate or unproven analytical capacity to identify good practices and lessons learned No systematic approach to documenting, storing, and disseminating program knowledge Not analyzed and shared good practices and lessons learned internally through a regular process Not joined any formal networks Rarely participated in discussions with donors, governments, and civil society organizations on approaches, lessons learned, and good practices Not presented its approaches and results at external events The organization has Weak analytical capacity to identify good practices and lessons learned Weak systems for documenting, storing, and disseminating program knowledge Occasionally analyzed and shared good practices and lessons learned internally, but not annually Joined some formal networks, but has not taken an active role in them Occasionally participated in discussions with donors, governments, and civil society organizations on approaches, lessons learned, and good practices Occasionally presented its approaches and results at external events The organization has Adequate proven analytical capacity to identify good practices and lessons learned Adequate systems for documenting, storing, and disseminating program knowledge Analyzed and shared good practices and lessons learned internally at least once a year Regularly participated actively in some formal networks, although not in a leadership role Regularly participated in discussions with donors, governments, and civil society organizations on policies, lessons learned, and good practices Regularly presented its approaches and results at external events The organization has Good proven analytical capacity to identify good practices and lessons learned Strong systems for documenting, storing, and disseminating program knowledge Analyzed and shared good practices and lessons learned internally at least twice a year Frequently participated actively in formal networks and in a leadership role Frequently and routinely participated in discussions with donors, governments, and civil society organizations on approaches, lessons learned, and good practices Frequently presented its approaches and results at external events 7.5 Fundraising and New Business Development Subsection Objectives: Assess the organization’s progress toward financial sustainability by reviewing its ability to identify and obtain funding Resources: Business development (resource mobilization) plan; fundraising history; partnership agreements; cash flow statements and projections; questionnaires and interviews with board, chief executive (director), senior financial managers, and new business development and fundraising managers Low Capacity Basic Capacity Moderate Capacity Strong Capacity 7.5 1 2 3 4 The organization has The organization has The organization has The organization has
Fundraising and New Business Development No written fundraising and new business development plan A written fundraising and business development plan that is not being implemented Had frequent cash flow problems or negative net income last year Only one major funding source Insufficient funds for existing programs next year No regular funding from cost recovery, 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 A weak fundraising and new business development plan Weak implementation of the fundraising and new business development plan Had occasional cash flow problems, but positive net income last year Insufficient funds for existing programs next year Only one major funding source Insignificant funding from cost recovery, sales, or membership fees Limited absorptive capacity for additional projects Unrestricted income and cash reserves to cover 2-3 months of operating costs without new donor funding No existing line of credit or limited access to new loans An adequate fundraising and new business development plan that may need updating Satisfactory implementation of the fundraising and new business development plan Had no significant cash flow problems and positive net income over the last year Sufficient for existing programs next year At 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 A good fundraising and new business development plan that is regularly updated and well implemented Had no significant cash flow problems and positive net income over the last 2 years 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 cover over 6 months of operating costs without new donor funding Good access to new loans or an existing line of credit 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 1 2 3 4
7.6 Internal Communications and Decision Making The organization has Poor two-way communications between management and staff No structured settings to exchange ideas 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 Inadequate space and infrastructure to facilitate internal communications The organization has Limited two-way communication between management and Few structured settings to exchange ideas 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 involvement for shared responsibility, ownership, and accountability Weak and infrastructure to facilitate internal communications 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 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, ownership, and accountability Adequate and infrastructure to facilitate internal communications 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 responsibility, ownership, and accountability Good space and infrastructure to facilitate internal communications 7.7 External Communications Subsection Objectives: Assess the effectiveness of the organization’s external communications general public, government, donors, private sector, and civil society organizations) Resources: External communications policy, website, brochures, public annual reports, publications, social media messaging, questionnaires and interviews of senior managers and staff and target audiences 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 Lacks staffing or skills for effective advocacy Has not effectively mobilized its clients for advocacy Has not developed alliances with other stakeholders for advocacy Has not influenced the formulation or implementation of government policies at the national or local level Has not influenced donor or regional organization policies Has not influenced the general public’s views 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 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 Has had little influence on the general public’s views 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 Has had some influence on the general public’s views 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 Has had significant influence on the general public’s OCA Score Sheet Section NUPAS Item Number  Sub-Section NUPAS Score Scores: OCA #1* Scores: OCA #2 Scores: OCA #3 1.1 Vision and mission
In the first OCA, USAID’s Non-US Organizations Pre-Award Survey (NUPAS) scores may be used for the corresponding OCA items if no significant changes have occurred since the NUPAS was done. Not included in the NUPAS, so the NUPAS score cell has been shaded out. Recommended Format for an OCA Action Plan Organization ______________________________ OCA Dates _______________ Subsection Actions Initial Priority Score Final Priority Score Planned Start Date Expected End Date Internal Lead Other Internal Participants Resources and Technical Assistance Needed Status1 Scale for priorities (1 to 5): 1= High, 5 = Low