Technical and Organizational Capacity Assessment Tool

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ORGANIZATIONAL CAPACITY
DEVELOPMENT
PC3 Organizational and Technical Capacity Assessment
Tool
(POTCAT)
Part 2: Organizational Capacity Assessment
PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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PC3 CAPACITY BUILDING
PC3 Capacity Building
The PC3 program is designed in such a way that it will give greater opportunity for mentor organizations
and the CBOs to implement and manage their own activities. The role of Tier Is will be providing
technical and financial support to Tier II or mentor organizations and these organizations are also
expected to provide the same assistance to the CBOs known as Tier III who are actually implementing
and sustaining the program. The major activities under the capacity development will be assessing the
capacity of the mentor organizations and designing subsequent capacity development plans for further
action.
The Operational Capacity assessment is divided into organizational and technical activities. This
manual particularly deals with organizational aspect and looks into the decision making process, the
human resource management and the financial aspect in detail. Before conducting the assessment,
orientation workshop will be held with all tier IIs. During the workshop participants will be familiarized
with the concept of capacity building, the objective of capacity building, the POTCAT tool as well as the
process how to conduct the actual assessment. Finally individual organization will draft a plan or
schedule how to introduce the tool and when to conduct, the participatory capacity assessment in their
respective organization with their Tier I partners. After the actual assessment is conducted, the plan of
action development will take place shortly that will address the capacity gap in the form of training,
material support, coaching, experience sharing etc. Therefore this manual will be helpful in assessing
the organizational need only but later when the actual implementation gains momentum the technical
assessment will follow suit. This does not mean there will not be any kind of training or support
before the assessment. Partners may implement capacity building activities based on field
reports, partners request etc.
I. POTCAT Assessment Process
POTCAT includes an instrument that you can use to collect and summarize technical information and a
guide for applying the instrument. The process is based on the assumption that the most effective way
to initiate organizational change is to involve staff members and other key stakeholders in an open
assessment and consensual planning.
It involves preparing for the assessment, conducting the assessment, and integrating the results into
organizational activities. There are 9 steps defined under the 3 phases.
Phase
Step
Preparing for the
Assessment
Step 1: Plan the assessment
Step 2: Hold on initial meeting and develop a schedule
Step 3: Review the POTCAT instrument/tool
Conduct the Assessment
Step 4: Carry out the assessment and complete the assessment form
Step 5: Prepare a summary for each component
Step 6: Develop a unit level action plan
Integrating Results into
organizational Activities
Step 7: Reach consensus on priority actions at a one-day workshop
Step 8: Develop an integrated action plan for the whole organization
Step 9: Link the action plan to annual operational planning, budgeting, and monitoring
II. Two groups participate in the POTCAT process
A. Core team.
The core team plans and conducts the assessment, monitors its progress, leads the
development of an organization with action plan to make improvements, and advocates for the
institutionalization of the plan within the organization’s planning and monitoring systems. The
team will also plan how to scale up the remarkable achievement of the organization so that
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
other would implement in more effective and efficient manner. The core team should contain a
cross-section of program and financial staff.
B. Assessing Team
The assessment team would be the core team, the senior management and other staffs
preferably form all levels. The different mix will have a greater contribution in providing
balanced views and arrive at effective output also. The team comprise of not more that 15 staff,
during discussion/assessment should base their comment on evidence available or experience
shared in common. For easy reference list of reference document is attached to the manual.
III. General Directions How to Complete the POTCAT Assessment Forms
POTCAT is a participatory organizational and technical assessment whereby staffs are given
the opportunity to self-reflect on the performance of their organization in general on 13
identified key issues. The assessing team should be composed of various staff across the
organization and be given prior orientation by the core team before actual conduct the
assessment.
During the assessment participants will be provided with the tool and based on his/her
understanding of the criteria will rate the organization. With the help of external facilitator (Tier
I), the assessing team will be requested to reach a consensus on each criteria during group
discussion. There will be also a recorder from the organization to record the consensus and
some of the important issues which needs further consideration.
IV. How POTCAT instrument is organized
POTCAT provides users with a rapid assessment tool to identify characteristics and capacity of
an organization’s management and financial systems. The instrument consists of two types of
forms.
1) The POTCAT assessment form with
a. The 13 organizational and financial components
b. Assessment criteria divided into 4 levels of organizational capacity
c. Blank space for users response to each criteria
d. Summary of the assessment where the group will write summary of the findings
and the priorities for the capacity building
2) The action plan form for use by each unit and for an organization wide plan.
POTCAT provides a template for action plan, which can be used both at the end of each unit
assessment and in a final workshop of stakeholders, to organize recommended activities across the
whole organization. On the template, they can indicate a timeline, person(s) responsible, resources
needed, and indicators of achievement for each activity they recommend undertaking.
Area
Variance report
and analysis
Proposed Activities
Develop protocol
for expenditure
review
Timeline
6 month
Person(s)
Responsible
Resources Needed
Internal
Indicators of achievement
External
Component: 8. Financial Planning & Budgeting
Accounting

Staff time

consultant time
directory with

Tier I technical asst.

half day
Human resources
workshop/training
director



monthly expenditure report
distributed
training held
protocol printed
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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Section B - The Checklists
______________________________________
POTCAT Organizational Management Components:
1
2
3
4
5
6
7
8
9
10
11
12
13
Governance & Leadership
Strategic & Operational Planning
Structure: Roles and Responsibilities
Structure: Delegation of Authority and Decision making
Staffing and Human Resource Management
Partnering and Networking
Adequacy of Physical Infrastructure
Financial Planning and Budgeting
Cash and Banking
Accounting and Record Keeping
Procurement
Distribution, Stock and Inventory Management
Management Information System
4
1
Governance & Leadership
Point
No.
1
2
3
4
5
6
Checklist
The organization is registered up to date.
The board and senior management have
written roles and responsibilities.
The organization operates according to the
approved by-laws.
The board and senior management meet
regularly.
The management communication structures are
established and information sharing practices are in
place.
Problem solving and dispute management
mechanisms are established.
0
1
2
3
No
In Part
Mostly
Yes
Not
Relevant
Evidence of Response
PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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2. Operational Planning
Point
No.
Checklist
1
There are systematic procedures for involving
stakeholders (including the community) in formulating
organizational strategies.
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant Evidence of Response
2
An annual work plan exists.
3
The work plan establishes goals, activities, budgets,
timeline and includes who is responsible for their
execution.
4
The management reviews the work plan bi-annually
5
The annual work plan reflects priorities in a long-term,
strategic plan.
.
3. Structure: Roles and Responsibilities
Point
No.
1
2
3
4
Checklist
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant Evidence of Response
Job descriptions exist for all positions and are
updated as required.
Staff has the required background, training and
capabilities/expertise for the positions they hold.
The organizational structure reflects job
responsibility and level of authority.
Delegation of staff respects the line of authority
and follows the organizational structure.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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4. Staffing and Human Resource Management
Point
No.
1
2
3
4
5
6
Checklist
0
1
2
3
No
In Part
Mostly
Yes
Not
Relevant
Evidence of Response
All required staff positions in the organization are
filled.
There are procedures for new staff induction.
Personnel policies include job classification, staff
development, benefits, compensation,
hiring/promotion, grievances, sexual harassment
and work hours.
The organization has work place policies on
HIV/AIDS, gender equity, child right protection.
Systems are established for staff performance
planning and review.
Confidential HR systems are in place for
employee data.
5. Partnering and Networking
Point
No.
Checklist
1
The organization updates & maintains a service
delivery map.
2
The organization regularly attends
coordination/network meetings.
3
4
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant Evidence of Response
The organization has referral practices.
The network and partnership practices facilitate
experience and information sharing among
partners on HIV/AIDS and OVC issues.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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6. Adequacy of Physical Infrastructure
Point
No.
Checklist
1
The organization has adequate office space and
equipment .
2
Physical spaces are appropriate for planned
activities.
3
Staffs have adequate space, lighting, supplies, and
equipment to properly perform their duties.
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant
Evidence of Response
7. Financial Polices and Accounting Procedures
Point
No.
1
2
3
4
5
6
Checklist
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant
Evidence of Response
A clear policy and procedure manual for budgeting
exists and is readily available for all staff.
Responsibilities for budget preparation and budget
approval are clearly defined.
Expenditures are tracked by budget line item, and
recorded as they occur.
Actual revenue/expenditure is compared against
budget, variances are properly followed up and
corrective actions are implemented in a timely.
Budgets are prepared in accordance with the
strategic plan and decisions/ priorities are made
accordingly.
Budgets are integrated in the accounting system.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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8. Cash and Banking
Point
No.
Checklist
1
The policy and procedure manual for cash control,
banking and cash flow are available to all staff
involved in finance.
2
All funds and claims received are properly
recorded and banked intact.
All payments are properly controlled, authorized
and supported by full documentation.
Bank balances are properly reconciled with
bank statements, independently scrutinized and
approved, and reconciling items are
subsequently cleared.
All checks are signed by two officials of
appropriate authority after scrutiny of approved
documentation.
Claims from advances are accurately compiled
and analyzed so that reimbursement is received
promptly.
3
4
5
6
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant
Evidence of Response
Manual
Cash receipt, deposit slip
and the accounting system
Payment documents
Monthly bank reconciliation
documents
Authorization letter, cheque
stub and level of
authorization
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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9. Accounting and Record Keeping
Point
No.
Checklist
1
The chart of accounts’ structure is sufficiently
detailed.
2
All expenditure is authorized, controlled,
balanced and accounted for.
All expenditure is properly coded and allocated
in accordance with an approved chart of
accounts.
A trial balance is extracted and balanced every
month.
3
4
5
6
7
8
0
1
2
3
No
In Part
Mostly
Yes
Not
Relevant
Evidence of Response
Annual financial statements are issued, audited by
external auditors and approved at the end of the
fiscal year.
The accounting system is computerized.
All Staffs are on payroll records and salary amounts
correspond to employees’ contract.
Time sheets are used as the basis for charging
salaries to different funding sources.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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10. Administration and Logistics
Point
No.
Checklist
1
All purchases and procurements are made in
compliance with the purchasing and procurement
procedure/ manual.
The purchasing and procurement procedure/ manual
covers critical areas of:

Roles and responsibilities

Review and approval

Code of conduct

Procurement planning

Monitoring and reporting
There are clearly defined levels of authority for
approving different values of purchases.
A Good Receiving Note is completed by store keeper
for all goods received.
Procedures for procurements are periodically
reviewed and modified as needed.
Existing systems and practices ensure that all donorfunded purchases are acquired according to the
terms specified by donor.
2
3
4
5
6
0
1
2
3
No
In Part
Mostly
Yes
Not Relevant
Evidence of Response
11. Stock, Inventory, and Fixed Assets Management
Point
No.
1
2
3
Checklist
0
1
2
3
No
In Part
Mostly
Yes
Not
Relevant
Evidence of Response
Policy and procedure exists for inventory of fixed
assets.
Fixed assets are recorded in a register for controlling
of their status.
Fixed assets are periodically inventoried and all
missing items are followed up and documented.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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The organization has insurance coverage for all
properties/assets.
4
Vehicle Management
5
Logbooks are maintained for each vehicle.
6
Inventory of vehicles is made annually.
12. Management Information System
Point
No.
1
2
3
4
Checklist
0
1
2
3
No
In Part
Mostly
Yes
Not
Relevant
Evidence of Response
The organization has a defined information
sharing process.
The annual report includes program reports and
financial statements.
Best practices and innovative activities are
documented, reported and shared with
stakeholders.
The organization has a monitoring framework.
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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Summary Profile POTCAT Assessment
Name of Tier II Partner:
Date of Assessment:
Assessment Sheet Completed by:
Rating Scale
(1)
Beginning Steps
(meeting up to 25% of agreed upon Checklist )
(2)
Showing Results
(meeting up to 50% of Checklist )
(3)
Systematically Achieving Results (meeting up to 80% of Checklist )
(4)
Model System for Technical Exchange (meeting up to 100%)
A. Organizational Capacity
General Management
1. Governance & Leadership
2. Strategic & Operational Planning
3.Structure: Roles and Responsibilities
4.Structure: Delegation of Authority and Decision-Making
5.Staffing and Human Resource Management
6.Partnering and Networking
7.Adequacy of Physical Infrastructure
Finance
8.Financial Planning and Budgeting
Points
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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9.Cash and Banking
10.Accounting and Record Keeping
Logistics & Information
11. Procurement
12. Distribution, Stock and Inventory Management
13. Management Information System
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
(0)(1)(2)(3)
Consensus Priorities for Capacity Development Action Plan
Priority Component
Target Indicator of Improvement
1
2
3
Organizational Documents as Evidence:
The assessment team writes the evidence that justifies its response. Most responses require actual evidence, which may include:
a. Verification of documents and records, such as: annual and long-term plans; personnel records; job descriptions; organizational
charts; financial reports; financial statements; and, bank statements
b. Examination of system tools and manuals, such as registers, vouchers receipts book, purchase requests, inventory forms,
policies and procedures manuals, and supporting forms
c. Physical examination of facilities, such as store rooms, warehouses, and other facilities that maintain inventory.
Component
Governance & Leadership
Accounting and Record
Keeping
Purchasing and
Procurement
Criterion
Organizational chart
Data entry
Journal entry
Purchasing and
procurement policies
Evidence Found
The organization no longer reflects the current organizational structure
Accumulated vouchers are waiting on clerk’s desk for entry
A sample of journal entries contained codes which could not be interpreted
All purchasing and procurement staff have a copy of updated, compiled
purchasing and procurement procedures at their desk
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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and procedure
Stock inventory and fixed Storekeeping
Some stock records are out of date
asset
 Where actual evidence is not available, responses need to be substantiated by interviews with staff.
Examples of Evidence Documents for Organizational Assessment
Put numbers in chronological order
1. By-law or constitution of the
2. Revised organizational chart
3. Profile of board members
5. Annual reports of recent years
6. Weekly, monthly and quarter
organization
4. Minutes: board meetings, mgt
meetings, department level
reports
meetings, general staff meetings,
stakeholders meeting, general
assembly meetings
7. Board selection Checklist
8. Certificate of registration
9. Project proposals
10. Strategic plan
11. Various MOUs signed for projects
12. Job description
13. Staff promotion and acting
14. New staff orientation documents
15. Organization’s newsletter
17. Need assessment document
18. Payroll payment document/
formats/policy
16. Beneficiary cost sharing procedure/
guideline
19. Staff performance evaluation
mechanism
20. Staff personal files
21. Service sub-contracting
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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format/policy/procedure
22. Work place policy
format/working guideline
23. Network membership
24. Referral mechanisms/guideline in
documents/manuals
25. Internal auditing
place
26. financial manual
27. Administrative manual
28. Personnel manual
29. Purchase requisition form
30. Petty cash payment voucher
31. Checque payment voucher
32. Cash/checque receipt voucher
33. Receipt voucher
34. External audit report
35. Sample purchase document
36. Goods receiving note
37. Issue note
38. Bank statement and reconciliation
39. Asset management manual
40. Store requisition or issue voucher
41. Inventory record
42. Stock card
43. Bin card
44.
45.
document/mechanisms
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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Site Visit Summary
Current Operations (Yr)
Operating Expenditures
Number of Full Time Staff
Number of Project Sites
Range of Services/Interventions Offered
________________________________________________________________
A.
Brief Description of the Challenge of the Organization
B.
Findings of Team
C
Recommendations
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PC3 ORGANIZATIONAL AND TECHNICAL CAPACITY ASSESSMENT TOOL – (POTCAT)
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D.
Degree of Consensus on the Assessment Tool Results
E.
Target Indicators for Year 1-2 Capacity Development Action Plan
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