ATTACHMENT J.1.10.pdf

Organizational Capacity Assessment (OCA) Score Guide

February 2009

DISCLAIMER:

This document was made possible by the support of the American people through the United States Agency for International Development (USAID) and the Centers for Disease Control (CDC). The contents are the sole responsibility of Initiatives Inc. and do not necessarily reflect the views of USAID, CDC, JSI, or the United States Government.

Acknowledgements The New Partners Initiatives (NPI) OCA tool and process were developed by Initiatives Inc. with contributions by John Snow Incorporated (JSI) under the USAID-funded New Partner’s Initiatives Technical Assistance (NuPITA) Contract No. GHS-I-00-07-00002- 00 and the CDC/HRSA-funded New Partner’s Initiatives Technical Assistance (TA-NPI) Contract No. 200-204-05316.

Any part of this publication may be reproduced without prior permission from Initiatives, provided this publication is acknowledged and the material is made available free of charge. Initiatives would appreciate a copy of any materials in which the contents of this publication are used.

Copyright © 2009 Initiatives Inc.

264 Beacon Street (6th Floor) Boston, MA 02116 USA Tel: (617) 262-0293 Fax: (617) 262-2514 Email: info@initiativesinc.com Web: www.initiativesinc.com

Version 2-8-09 Governance

Governance

Objective: The objective of this section is to assess the organization’s motivation and stability by reviewing its guiding principles, structure, and oversight.

Vision/Mission

Objective: The Objective of this sub-section is to review the organization’s vision and/or mission statement learn what drives the organization, how the statements are reflected in what they do and how they are communicated and understood by staff.

Resources: Vision and/or mission statement, staff questionnaires

Vision/Mission

1 2 3 4 The organization does not have a clearly stated vision and/or mission of what it aspires to achieve or become

The vision and/or mission provides a moderately clear or specific understanding of what the organization aspires to become or achieve; lacks specificity or clarity; is not widely held and rarely used to direct actions or set priorities

The vision and/or mission is a clear and specific statement of what the organization aspires to become or achieve; is well known to most but not all staff and is sometimes used to direct actions and set priorities

The vision and/or mission provides a clear, specific, and forceful understanding of what the organization aspires to become or achieve; is broadly held within the organization and consistently used to direct actions and set priorities

Vision/Mission Scoring Guidance Score Criteria

1 • Documentation: No documented vision and/or mission statement

• Documentation: A documented vision and/or mission statement exists

• Quality: The statement is not short, clear and/or relevant to what the organization does and/or does not communicate the organization’s aspirations or intentions.

• Staff Awareness: Responses to the staff questionnaire indicate that staff are not widely aware of or understand the statement

• Application: The statement(s) is/are not used to guide organizational activities and priorities

• Documentation: A documented vision and/or mission statement exists

• Quality: The statement is short, clear, and/or relevant to what the organization does and communicates the organization’s aspirations or intentions.

• Staff Awareness: Responses to the staff questionnaire indicate that staff are not widely aware of or understand the statement

• Application: The statement(s) is/are sometimes used to guide organizational activities and priorities

4 • Documentation: A documented vision and/or mission statement exists

• Quality: the statement(s) is/are short, clear, and/or relevant to what the organization does and communicates the organization’s aspirations or

Vision/Mission Scoring Guidance Score Criteria intentions.

• Staff Awareness: Responses to the staff questionnaire indicate that staff are widely aware of and understand the statement

• Application: The statement(s) is/are routinely used to guide organizational activities and priorities

Organizational Structure

Objective: The Objective of this sub-section is to review the organizational structure – which is most often depicted in an organogram, but may be outlined in narrative – and determine if the structure is in line with the organization’s mission, goals and programs and if systems are in place for ensuring strong coordination among departments or functions.

Resources: Organizational diagram or structure description

Organizational Structure

1 2 3 4 The organization has no formal structure and department and or key functions responsibilities are not clearly defined and/or functions are not clear.

The organization has a basic organizational structure with adequate definitions of departmental responsibilities and/or key lines of responsibility and communication among departments and/or key functions somewhat clear.

The organization has an organizational structure which is well designed and relevant to its mission/goals; roles and responsibilities of departments and/or functions are clearly defined and appropriate.

The organization has an organizational structure which is well designed and relevant to the mission/goals, roles and responsibilities of departments and/or key functions are clearly defined and appropriate, and lines of communication and coordination among departments and/or key functions is clear and functional.

• Documentation: There is no formal written structure or defined functions for the organization

• Note: Large organizations may have organograms that list departments and key functions within the executive team and departments. Smaller organizations may have organograms framed simply around key functions.

• Documentation: Organization has a basic, documented, organizational structure that accounts for most management, administrative and technical departments and/or functions but the structure is incomplete or not documented (check to see that NPI program positions are included, for example)

• Relevance: Lines of responsibility among departments/functions is not fully clear and/or organogram is not complete or organizational structure is not in line with the organization’s mission, goals and programs

3 • Documentation: Organization’s organizational structure is documented and clear

• Relevance: The structure is in line with the organization’s mission, goals and programs

Score Criteria

• Quality: Function, role and responsibility of each department or position is clear and relevant

• Documentation: Organization ‘s organizational structure is documented and clear

• Relevance: The structure is in line with the organization’s mission, goals and programs

• Quality: Function, role and responsibility of each department or position is clear and relevant

• Linkages: Relationship among departments or functions is clear, communication systems are well defined and operational such that there is good coordination among different departments or functions

Board Composition and Responsibilities

Objective: The Objective of this sub-section is to assess the board’s composition, terms of reference, procedures and oversight to ensure that the board is capable of providing adequate guidance for the organization.

Resources: List of board membership, Board TOR, Board Meeting Minutes, Board Questionnaire

Board Composition and Responsibility

1 2 3 4 Board membership is drawn from a narrow spectrum; members have little or no relevant experience.

Meetings are infrequent and/or poorly attended and undocumented.

Board does not have TOR or a clear understanding of its key functions.

Board term limits are not defined or are unreasonable. There is no process for electing officers.

Board membership is drawn from a somewhat broad spectrum; some members have relevant experience.

Meetings are well planned and occur at regular intervals, but attendance and/or documentation is irregular.

Board has TOR and a clear understanding of its key functions, but those functions are carried out inconsistently. Board term limits not defined or are unreasonable. There is no process for electing officers.

Board membership is drawn from a broad spectrum; all members have relevant experience. Meetings are well planned, documented and occur at regular intervals with good attendance. There are occasional meetings, which are documented and the board has clear TOR and a good understanding of its key functions and those functions are mostly carried out.

Board term limits are defined and reasonable. Officers are informally selected.

Board membership is drawn from a broad spectrum; all members have relevant experience. Board displays a high willingness and proven track record of investing in learning about the organization and addressing its issues.

Meetings are well planned, documented and occur at regular intervals with excellent attendance. Board has clear TOR and a good understanding of its key functions and those key functions are all consistently carried out. Board term limits are defined and reasonable.

Officers are elected/appointed according to board procedures.

Board Composition and Responsibility

• Composition: Review of the board membership list and/or discussions with leadership indicate that board member backgrounds are narrow or not relevant to the organization

• Oversight: Board meets infrequently

• Documentation: Board meetings are undocumented

• Roles: Responses to board member questionnaires indicate that board members do not have a clear understanding of the board’s key functions including fundraising, financial oversight and executive recruitment and guidance.

• Governance: Term limits are not defined or are unreasonable. Processes are not in place for formally electing officers

• Composition: Review of the board membership list and/or discussions with leadership indicate that board member backgrounds are somewhat diverse and are generally relevant to the organization

• Oversight: Board meets regularly but attendance is inconsistent

• Documentation: Board meeting minutes are documented irregularly

• Roles: Responses to board member questionnaires indicate that board members have a clear understanding of the board’s key functions including fundraising, financial oversight and executive recruitment and guidance.

• Governance: Term limits are not defined or are unreasonable. Processes are not in place for formally electing officers

• Composition: Review of the board membership list and/or discussions with leadership indicate that board member backgrounds are broad and relevant to the organization

• Oversight: Board meets regularly and has good attendance

• Documentation: Board meeting minutes are regularly documented

• Roles: Responses to board member questionnaires indicate that board members have a clear understanding of the board’s key functions including fundraising, financial oversight and executive recruitment and guidance.

• Governance: term limits are defined and are reasonable. Processes are not in place for formally electing officers

• Composition: Review of the board membership list and/or discussions with leadership indicate that board member backgrounds are broad and relevant to the organization

• Oversight: Board meets regularly and has good attendance; board members show a strong commitment to understanding the organization, its operations and issues and to promptly addressing issues.

• Documentation: Board meeting minutes are regularly documented

• Roles: Responses to board member questionnaires indicate that board members have a clear understanding of the board’s key functions including fundraising, financial oversight and executive recruitment and guidance.

• Governance: Term limits are defined and are reasonable. Processes are in place for electing or appointing officers and these are adhered to

Legal Status

Objective: The Objective of this sub-section is to assess the organization’s legal standing, and therefore sustainability, by checking legal registration and compliance with local tax and labor laws.

Resources: Registration; where possible and feasible: Local Tax Laws and Local Labor Laws

Legal Status

1 2 3 4 Organization is not legally registered, registration is expired, or organization does not know its legal status and labor laws and is not aware of its tax status and or is not paying taxes.

Organization has applied for legal status but is not currently a legally recognized entity in the country in which it operates. Organization is aware of tax status and labor laws but is not fully compliant.

Organization is legally registered and is aware of tax status, but is not always compliant with tax obligations and/or labor laws.

Organization is legally registered, is aware of tax status and is fully compliant with tax obligations and labor laws.

Legal Status

1 • Documentation: the organization has no documented legal registration or registration is expired;

• Tax status: Organization is unaware of tax status, labor laws and/or has never paid employment taxes before

2 • Documentation: The organization is in the process of seeking legal registration,

• Tax status: Organization has unclear tax status and/or has not paid employee taxes in accordance with local laws in the past

• Documentation: The organization has documented legal registration, but it is not relevant to the organization’s current operations and programs, including the NPI program.

• Tax status: Organization is aware of its tax status but is not consistently in accordance with local laws in the past

• Documentation: The organization has documented legal registration that is relevant to its current operations and programs, including the NPI program

• Tax status: Organization is aware of its tax status and is always compliant with local laws

Succession Planning

Objective: The Objective of this sub-section is to assess the organization’s ability to continue smooth operations and program management in the event of an absence of or shift in leadership.

Resources: Job descriptions of senior management, Succession Plan, and Organizational Chart

Succession Planning 1 2 3 4

Very strong dependence on CEO/executive director, organization would cease to exist without his/her presence. There is no plan for how the organization will continue if the CEO/ED leaves.

High dependence on CEO/ executive director; organization would continue to exist without his/her presence, but likely in a very different form or with significant drops in capability and quality. There is no plan for how the organization will continue if the CEO/ED leaves.

Limited dependence on CEO/executive director; organization would continue in a similar way without his/her presence, but fundraising operations and/or program quality would suffer significantly during the transition. A plan for how organization will continue should the CEO/ED leave exists, but no member of management could potentially take on CEO/ED role.

Reliance but not dependence on CEO/ED; A clear succession plan exists.

A smooth transition to new leader could be expected; fund-raising, operations and program quality would continue without major problems; senior management team can fill in during transition time; one or more members or the management team could take on the CEO/ED role if needed.

Governance: Succession Planning

• Reliance: the organization is entirely dependent on the current CEO/ED, CEO/ED effectively runs the organization, maintaining knowledge and control over financial and program management to the total exclusion of other management staff (or no other management staff).

• Sustainability: Organizational operations and programs would collapse without the CEO/ED

• Planning: The organization does not have a succession plan

• Reliance: The organization is highly dependent on the CEO/ED. CEO/ED has control/sole oversight over financial and program management and fundraising. Little authority, skill or capability in these areas among other management staff.

• Sustainability: Organizational operations and programs would suffer declines in functionality and quality in the absence of the CEO but would likely continue

• Planning: The organization has a very basic succession plan

• Reliance: The organization has limited dependence on the CEO/ED. The CEO/ED has significant oversight but not sole control of key processes such as financial planning and spending and program planning and management. He has full control of fundraising and controls information of funding sources and approaches.

• Sustainability: Organization would continue functioning in more or less the same fashion without the CEO/ED, but fundraising and program quality would suffer

• Planning: The organization has a succession plan

• Internal Capacity: No other member of management could step in (either in interim or long-term) to keep the organization functioning

• Reliance: The organization relays but is not dependent on the COE/ED. CEO/ED may be consulted/ have a decision-making role on key processes, financial planning and spending, program planning and management etc. but is not actively in control of all those processes. Fundraising responsibility and knowledge is diversified in the organization

• Sustainability: The organization would continue to function well without the CEO/ED, fundraising not be interrupted and program quality would be maintained

• Planning: The organization has a succession plan

• Internal Capacity: One or more members of the management team could step in(either in interim or long-term) to keep the organization functioning

Version 2-8-09 Administration

Administration

Objective: The objective of this section is to assess the organization’s functionality by measuring its capacity to develop and apply policies and procedures, the existence and quality of administrative systems, and staff knowledge of these systems.

The scoring criteria presented below apply to all Administration subsections and should be referred to for scoring.

Score Scoring Criteria

1 • Documentation: Policies and procedures are not documented or

• Completeness: No items from the checklist are available

• Documentation: Policies and procedures are documented.

• Completeness: Some written policies noted in the checklist are completed and/or some do not meet standards

• Compliance: and/or most are completed but are not in compliance with USAID rules and regulations

• Documentation: Policies and procedures are documented

• Completeness: Most or all written policies and procedures noted in the checklist are available and meet a good standard

• Compliance: Existing policies are compliant with USAID rules and regulations

• Staff Awareness: Either policies are not known (as noted in the staff questionnaire form where applicable, or discussions with staff) and/or staff do not know where to go to find the policies if needed.

• Application: A review of sample documents shows that policies are not routinely adhered to.

• Documentation: Policies and procedures are documented

• Completeness: All written policies and procedures noted in the checklist are available and meet a high standard

• Compliance: Policies are compliant with USAID rules and regulations

• Staff Awareness: Staff are aware of policies and know where to locate them (as noted in the staff questionnaire form where applicable, or discussions with staff)

• Application: A review of sample documents indicates that policies are consistently adhered to.

Operational Policies, Procedures and Systems

Objective: The Objective of this sub-section is to assess the availability of and adherence to key operational policies in the organization.

Resources: Policy and Procedures Manual, Staff Questionnaires, Related Payment Vouchers

1 2 3 4 The organization has no documented administrative procedures and information systems are insufficient to manage its operations and/or programs.

The organization has some documented administrative procedures but they are not complete and appropriate.

Information systems support operations and programs at basic levels of functionality.

The organization has most or all documented administrative procedures and they are appropriate.

They are either not known to staff and/or are not consistently adhered to.

Information systems are sufficient to support operations and programs at a good level of functionality without major inputs.

The organization has complete and appropriate documented administrative procedures, updated as necessary, which are known and understood by staff and which are consistently adhered to, reviewed and updated. Information systems support operations and programs at a high level of functionality and systems are in place for sustaining them.

Sub-section Checklist Yes No NA Comments/Quality Notes

1. Are there written office procedures?

2. Do they include: mail, phone, fax and photocopying procedures?

3. Are there office supply policies?

4. Is there a filing system?

5. Are there written safety and security procedures?

6. Are there written information technology (IT) policies and procedures including equipment borrowing procedures, signatures for equipment and staff held responsible for equipment?

7. Does your IT structure adequately support the needs of your organization?

8. Are there procedures for lost or stolen equipment?

9. Are there written vehicle use and management policies?

10. Do policies include all of the following: authorized drivers, proper use, driver responsibility, fuel policy, use/fuel/maintenance logs, safety procedures, vehicle security, accident reporting, trip reports, use of taxis/privately owned vehicles?

11. Is there a written consultant policy?

12. Is there a consultant hiring and fair compensation policy?

13. Is the consultant policy compliant with the geographic code?

14. Does the payment process distinguish between local, third country national, and US consultants (applicable only to US-based organization)?

15. Is there a written advance and reconciliation policy for workshops, travel, etc?

16. Is there a policy on personal advances or loans? (unallowable if with government funds)

Travel Policies and Procedures

Objective: The Objective of this sub-section is to assess the availability of and adherence to key travel policies and procedures.

Compliance with USG rules and regulations is a key focus of this section.

Resources: Travel Procedure Manual, Staff Questionnaires, Related Payment Vouchers

Travel Policies and Procedures

1 2 3 4 The organization has no documented travel procedures. (i.e.

per diem levels, forms, approval procedures).

The organization has some documented travel policies procedures but they are not complete and appropriate.

The organization has most or all documented travel procedures and they are appropriate. They are either not known to staff and/or are not consistently adhered to.

The organization has complete and appropriate documented travel procedures, updated as necessary, which are known and understood by staff and which are consistently adhered to, reviewed and updated.

Travel Policies and Procedures

1. Are there written travel policies and procedures?

2. Is there an internal approval process for travel?

3. Is there a policy for lodging? Are there different rates per respective region? Is there option for direct lodging payment?

4. Is there a policy for meals and incidental expenses (M&IE)? Are M & IE broken down? Is there a day trip policy? Is there a meal deduction policy?

5. Is there a travel expense report used?

6. Is there a trip report format that is used?

7. Is international travel tracked and approved per cooperative agreement requirements?

8. Do international travel policies reflect Fly America restrictions

Procurement

Objective: The Objective of this sub-section is to assess the availability of and adherence to key procurement policies and procedures.

Compliance with USG rules and regulations is a key focus of this section.

Resources: Procurement Policies, Procurement Plan, Related Payment Vouchers, Procurement Files

The organization has no documented procurement procedures. (i.e. procurement plan, procurement manual, USG approvals).

The organization has some documented procurement policies procedures but they are not complete and appropriate. They are either not known to staff and/or are not consistently adhered to.

The organization has most or all documented procurement procedures and they are appropriate.

They are either not known to staff and/or are not consistently adhered to.

The organization has complete and appropriate documented administrative procedures, updated as necessary, which are known and understood by staff and which are consistently adhered to, reviewed and updated.

1. Are there written procurement policies and procedures?

2. Is annual procurement planning conducted in accordance with workplanning and budgeting as applicable?

3. Are annual procurement plans approved by USAID, as required?

4. Are approvals obtained as appropriate?

5. Does it include approval/authority thresholds? Are they compliant with USG thresholds?

6. Is it compliant with the geographic code?

7. Are restricted and ineligible goods and services, ineligible suppliers, and special source rules defined?

8. Do the policies include guidance on codes of conduct, conflict of interest, fair and open competition?

9. Is there a procurement documentation checklist?

Fixed Asset Control

Objective: The Objective of this sub-section is to assess the availability of and adherence to policies and systems for fixed asset management.

Resources: Fixed Asset Register, Physical Inventory Reports

Fixed Assets Control

The organization has no documented fixed asset procedures.

(i.e. inventory of assets and systems for stock control.)

The organization has some documented fixed asset policies but they are not complete and appropriate.

The organization has most or all documented fixed asset procedures and they are appropriate. They are either not known to staff and/or are not consistently adhered to.

The organization has complete and appropriate documented fixed asset procedures, updated as necessary, which are known and understood by staff

Fixed Asset Control

1. Is there a policy for inventory, maintenance, insurance, disposition and custody of non-expendable equipment?

2. Is expendable/non-expendable equipment defined (non-expendable = >$5,000)?

3. Is physical inventory conducted in compliance with policies and documented?

4. Are inventory tags/USAID labels used for those items purchased with USG funds?

5. Is there title and disposition statements for non-expendable equipment?

6. Do you share equipment across projects? Is there a way of billing usage?

7. Is a system for maintaining equipment in place? (describe)

Branding and Marking

Objective: The Objective of this sub-section is to assess the availability of and adherence to branding and marking procedures.

Compliance with USG rules and regulations is a key focus of this section.

Resources: Branding/Marking Plan, Staff Interviews, Publications produced with USAID funds

Branding/Marking

1 2 3 4 The organization has no documented branding/marking procedures.

The organization has some documented branding/marking policies but they are not complete and appropriate.

The organization has most or all documented branding/marking procedures and they are appropriate.

They are either not known to staff and/or are not consistently adhered to.

The organization has complete and appropriate documented branding/marking procedures, updated as necessary, which are known and understood by staff and which are consistently adhered to, reviewed and updated. Branding and marking strategy is approved by USG as required.

Branding and Marking Sub-section Checklist Yes No NA Comments/Quality Notes

1. Are there written marking and branding policies in compliance with USAID regulations?

2. Is the branding strategy and/or marking plan approved by USAID?

Version 2-8-09 Human Resources Management

Human Resources Management

Objective: The objective of this section is to assess the organization’s ability to maintain a satisfied and skilled workforce, manage operations and staff time, and implement quality programs by reviewing human resource management systems and processes.

Job Descriptions

Objective: The Objective of this sub-section is to review the organization’s systems for developing, disseminating, following and up-dating job descriptions to ensure that staff roles and responsibilities are clearly defined and understood and that they remain relevant to the needs of the organization.

Resources: Sample job descriptions for each position or level in the organization (depending on size of org)

Job descriptions

The organization has no job/task descriptions for staff, volunteers, or interns.

The organization has job/task descriptions, but staff, volunteers and interns are not aware of or do not have copies of their job/task descriptions. Job descriptions do not include all key sections.

The organization has clear job/task descriptions; staff, volunteers and interns have copies or access to copies; job descriptions cover all key sections; but job/task descriptions are not respected/adhered to, reviewed or updated.

The organization has job/task descriptions that staff, volunteers and interns have copies of or access to; job descriptions have all key sections; they are respected/ adhered to, reviewed and updated. Both staff and the organization have job descriptions on file.

Job Descriptions

1. Are there job descriptions for all positions in the organization, including volunteers and/or interns?

2. Do the job descriptions include title, job duties/responsibilities, report to details, supervision responsibilities (if any), qualifications, skills required. (review sample job descriptions)

3. Are the job descriptions filed in personnel files?

4. Do staff, volunteers and interns have copies of their job descriptions?

5. Does the organization have a process for updating job descriptions?

Job Descriptions Score Criteria

1 • Documentation: Organizations does not have job descriptions for each staff member

• Documentation: Job descriptions exist for each staff member.

• Completeness: Some of the checklist items related to job descriptions are fulfilled

• Staff Awareness: All staff, volunteers or interns do not have copies of their job descriptions or know where to find them

• Documentation: Job descriptions exist for each staff member

• Completeness: Most or all of the checklist items related to job descriptions are fulfilled

• Staff Awareness: All staff have copies of their job descriptions (or at least have reviewed copies and know where to find them or who to ask to receive them)

• Application: Some or all staff do not adhere to their job descriptions or some staff do, or are asked to do, additional tasks or take on responsibilities that are not in their job description

• Documentation: Job descriptions exist for each staff member

• Completeness: All of the checklist items related to job descriptions are fulfilled

• Staff Awareness: All staff have copies of their job descriptions (or at least have reviewed copies and know where to find them or who to ask to receive them)

• Application: The organization and the staff adhere to the job descriptions meaning they do and are asked to do what is listed in the job description

• Up-Dating: There is a process for reviewing and updating job descriptions that can include annual updates when the workplan is reviewed, modifications if job responsibilities/tasks need to be added or changed due to structure or program changes.

Recruitment and Retention

Objective: The Objective of this sub-section is to assess the organization’s systems for recruiting and retaining staff. Organizations with strong recruitment and retention processes are able to identify, bring on and keep skilled staff members who work well in the organization. Strong recruitment and retention systems also improve program quality and reduce interruptions in program implementation.

Resources: Recruitment manual/guidelines or policy, Recruitment guidelines example, Outline of a complete personnel manual, Retention strategy or policy document

Organization has no guidelines or consistent approach to recruitment and/or no approaches for retaining staff are in place.

Organization has basic guidelines for recruitment and hiring but they are not consistently applied or followed and HR staff have not been trained/oriented to apply them. And/or the organization has basic aproaches for retaining staff, but does not conduct exit interviews, store information on leavers or provide opportunities for career advancement

The organization has clear recruitment and hiring guidelines and the process is transparent; but the guidelines are not consistently applied. HR staff have not been trained/oriented to apply the guidelines. The organization has good approaches for retaining staff, conducts exit interviews, stores information on leavers and provides opportunities for career advancement.

The organization has clear recruitment guidelines and the process is transparent; the guidelines are consistently applied and HR staff have been trained/oriented to apply the guidelines. The organization has strong approaches for retaining staff that are reviewed and modified to ensure effectiveness. Exit interviews are conducted and information on leavers is stored. Opportunities for career advancement are available.

1. Are there written recruitment procedures?

2. Does the process for recruitment guidelines on announcing positions/advertising, collecting CVs, interviewing candidates, checking references and salary history, making offers, employment agreements and transparency.

3. Have staff been trained to follow recruitment procedures?

4. Are recruitment procedures always followed?

5. Does the organization have approaches for retaining staff? (LIST)

6. Does the organization keep data on leavers and conduct exit interviews?

7. Does the organization review and update the retention approaches?

Recruitment and Retention Score Criteria

1 • Documentation: The organization does not have recruitment procedures or approaches for retaining staff.

• Documentation: The organization has basic recruitment procedures and/or approaches for retaining staff

• Completeness: Some of the items in the checklist are addressed/available

• Staff Competence: Staff have not been oriented or trained to implement recruitment and retention processes

• Application: Processes are not consistently applied

• Analysis: The organization does not have a process for collecting information on people who leave the organization and reasons for leaving.

• Documentation: The organization has clear recruitment procedures and approaches for retaining staff

• Completeness: Most or all of the items in the checklist are addressed/available

• Staff Competence: Staff have been oriented or trained to implement the recruitment and retention processes

• Application: Processes are not consistently applied

• Analysis: The organization collects information on people who leave the organization and their reason for leaving.

• Documentation: The organization has clear recruitment procedures and approaches for retaining staff

• Completeness: All of the items in the checklist are addressed/available

• Application: Staff have been oriented or trained to implement the recruitment and retention processes and processes are consistently applied

• Analysis: The organization collects information on people who leave the organization and their reason for leaving.

Staffing Levels

Objective: The Objective of this sub-section is to assess the organization’s ability to function by reviewing its management of staffing – positions available, positions filled, vacancies – for the NPI program and the organization as a whole, and assess processes for ensuring staffing levels are maintained at the level required for the organization to function effectively.

Resources: Staffing Plan and/or Organizational Diagram

Staffing Levels

1 2 3 4 The organization has no formal staffing plan. Many key management and technical positions within the organization are unfilled, or filled by persons without the right qualifications or skills.

Attrition is high or staff attendence problems severe.

The organization has a formal staffing plan and most key management, technical, administration and finance positions are filled with qualified and skilled staff and the organization’s attrition rate and/or staff attendence problems are moderate.

The organization has a staffing plan and all key management and other positions (technical, admin, finance) within the organization are staffed with qualified and skilled persons and the organization’s attrition rate and/or attendence problems are minimal.

All positions within the organization are staffed with qualified and skilled persons.

When gaps exist they are minimal, recent and recruitment is active. No attendence problems exist. The organization has an approach to rapidly filling new positions in evironments where staff turnover is high.

1. Does the organization have documentation of positions and staffing status?

2. Are all key positions in the organization filled or active recruitment is in process to fill minimal gaps?

3. Does the organization have staff for the NPI program with skills in financial management, program management, monitoring and evaluation and key technical areas addressed by the program?

4. Are other key positions in the organization currently filled or being actively recruited?

Score Criteria

• Documentation: The organization has no documentation of positions or vacancies.

• Completeness: None of the items on the checklist are completed

• Sustainability: Staff attrition and/or attendance problems are severe and no system is in place for ensuring positions are quickly filled.

• Documentation: The organization has documentation of positions and some sort of data on positions filled and vacancies are available.

• Completeness: Some of the items in the checklist are addressed/available

• Allocation: Some, but not all, staff with the appropriate skills are allocated to the NPI program to ensure financial management, program management, M and E, and key technical areas are addressed. Other staff in the organization are also appropriately allocated

• Sustainability: Staff attrition and/or attendance problems are moderate.

• Documentation: The organization has documentation of positions and some sort of data on positions filled and vacancies are available.

• Completeness: Most or all of the items in the checklist are addressed/available

• Allocation: Staff with the appropriate skills are allocated to the NPI program to ensure financial management, program management, M and E, and key technical areas are addressed. Key positions in the organization are filled through gaps remain among other staff.

• Sustainability: Staff attrition and/or attendance problems are minimal

• Documentation: The organization has documentation of positions and some sort of data on positions filled and vacancies are available.

• Completeness: All of the items in the checklist are addressed/available

• Allocation: Staff with the appropriate skills are allocated to the NPI program to ensure financial management, program management, M and E, and key technical areas are addressed. All other staff in the organization are also appropriately allocated and positions filled.

• Sustainability: Staff attrition is minimal and systems are in place to address staff turnover in settings where turnover is high. There are no attendance problems.

Personnel Policies

Objective: The Objective of this sub-section is to review the organization’s personnel policies to ensure that personnel policies are in place, that key USG compliance issues with regard to personnel are addressed and that best practices regarding personnel policy management are adhered to.

Resources: Personnel Manual

Personnel Policies

1 2 3 4 The organization has no personnel policy manual.

The organization has personnel policies that include either a drug free workplace policy, non-discrimination policies (for US organizations), or timekeeping policy. The policies may or may not correspond to the organization’s practice with regard to HR and they do not require signature statements and have not been disseminated to all staff. There is no process for updating personnel policies and manuals

The organization has personnel policies which include a drug free workplace policy, non-discrimination policies (for US organizations) and timekeeping policy. The policies correspond with the organization’s practice with regard to HR, but they do not require signature statements and/or have not been disseminated to all staff. There is no system for updating personnel policies and manuals.

The organization has personnel policies which include a drug free workplace policy, non-discrimination policies (for US organizations) and timekeeping policy. The policies correspond with the organization’s practice with regard to HR. They require signature statements and have been disseminated to all staff and are on file. There is a system for updating personnel policies and manuals.

1. Are their documented Personnel Policies

2. Does the document include policies on: Recruitment and selection of staff, work schedule, employee compensation (salary) and benefits, leave, performance review, grievance and disciplinary procedures, ending employment (resignation, termination), administrative procedures, employee conduct.

3. Is there a process for staff signing for the personnel manual and are these signatures recorded/filed?

4. Is there a process for updating the personnel manual?

5. Does the organization have a written drug free workplace policy that meets USG requirement and is signed by each staff member

6. Does the organization have written policies about time keeping and timesheets that include who should fill them in, how often, how to fill them in/make corrections, who submitted to, who reviews, who signs and how they are filed?

Score Criteria

1 • Documentation: Personnel policies and procedures are not documented

• Completeness: None of the items in the checklist are available

• Documentation: Personnel policies and procedures are partially documented

• Completeness: Some of the items on the checklist are available

• Compliance: Existing items are not compliant with USAID rules and regulations

• Staff Awareness: Relevant staff are not aware of the policies, staff questionnaires suggest that few staff are aware of where to find the personnel policies

• Documentation: Personnel policies and procedures are documented

• Completeness: Most or all of the items on the checklist are available

• Compliance: Existing items are compliant with USAID rules and regulations

• Staff Awareness: Relevant staff know the policies exist

• Application: An examination of documentation suggests that policies are not fully adhered to. Staff questionnaires suggest that most staff are aware of where to find the personnel policies

• Documentation: Personnel policies and procedures are documented

• Completeness: All items on the checklist are available

• Compliance: All items are compliant with USAID rules and regulations

• Staff Awareness: Relevant staff know the policies exist

• Application: An examination of documentation suggests that policies are adhered to. Staff questionnaires suggest that all staff are aware of where to find the personnel policies.

Staff Time Management

Objective: The Objective of this sub-section is to assess if the organization actively uses timesheets for each staff member, that timekeeping practices meet USG requirements and that the organization has processes in place for reviewing timesheets and ensuring accuracy.

Resources: Staff Time Sheets, Work schedule policies, 2-3 staff files, Payment Vouchers

The organization has no policy or system for documenting staff work hours.

The organization has a staff billing policy and timesheets but they do not meet USG requirements: staff and supervisors have not been oriented to complete them properly; timesheets are not reviewed or signed by a supervisor.

The organization has a billing policy and timesheets that conform to USG requirements. Staff and supervisors have been oriented to complete them properly. Timesheets are reviewed and signed by a supervisor, but they are not always completed and submitted in a timely manner and payment is not based on the information included in the timesheets.

The organization has a billing policy and timesheets that conform to USG requirements. Staff and supervisors have been trained to complete them.

Timesheets are reviewed and signed by a supervisor, they are completed and submitted in a timely manner, and payment corresponds to the information documented in the timesheets.

1. Does the organization have functional timesheets?

2. Does the timesheet include a section for tracking paid time off (holiday, sickness, vacation etc.)

3. Does the timesheet breakdown time by project?

4. Do the timesheets conform to USG regulations (no more than 40 hours billed, etc. -

Review)?

5. Staff and supervisors have been oriented to complete timesheets correctly?

6. Staff complete timesheets (at a minimum relevant to those billing to the NPI program)?

7. If errors occur they are crossed out and initialled, no whiteout is used?

8. Is there a person designated to review and sign each staff member's timesheet?

9. Are timesheets signed and filed in personnel files?

Staff Time Management Score Criteria

1 • Documentation: The organization does not have timesheets

• Completeness: Non of the items on the checklist have been available/addressed

• Documentation: The organization has timesheets

• Completeness: Some of the items on the checklist are available/addressed

• Compliance: Existing checklists and timekeeping practices are not compliant with USG rules and regulations

• Staff Awareness: Staff and supervisors have not been oriented to complete timesheets

• Documentation: The organization has timesheets

• Completeness: Most or all of the items on the checklist are available/addressed

• Compliance: Existing checklists and timekeeping practices are compliant with USG rules and regulations

• Staff Awareness: Staff and supervisors have been oriented to complete timesheets

• Application: An examination of documentation suggests that timekeeping policies and procedures are not always adhered to and/or that billing is not linked to the timekeeping system

• Documentation: The organization has timesheets

• Completeness: All of the items on the checklist are available/addressed

• Compliance: Existing checklists and timekeeping practices are compliant with USG rules and regulations

• Staff Awareness: Staff and supervisors have been oriented to complete timesheets

• Application: An examination of documentation suggests that timekeeping policies and procedures are adhered to and that billing is linked to the timekeeping system

Staff Professional and Salary History Documentation

Objective: The Objective of this sub-section is to review the organization’s practices related to confirming and keeping record of staff professional and salary history. Keeping records helps ensure that the organization has needed information in case of legal disputes regarding staff and has documentation on site to submit for the purpose of proposals.

Resources: Staff Bio-data forms

Staff Professional and Salary History Documentation

1 2 3 4 The organization does not keep staff and consultant CVs or biodata forms on file

The organization keeps staff and consultant CVs, but biodata forms are not kept on record. Changes in staff work status (part/full time, maternity leave), salary and benefits are not kept on file.

The organization keeps staff and consultant CVs and biodata forms are kept on file but are not used to check staff salary history. Changes in staff work status are filed, but not up-to-date.

The organization keeps staff CVs and these are up dated for records and proposal purposes. Staff biodata forms are kept on file and are used to check salary history. Changes in staff work status are filed and up-to-date.

Staff Professional and Salary History Documentation

1. Does the organization collect staff and consultant CVs and keep them on file?

2. Are CVs updated for files and proposal purposes?

3. Are USAID biodata forms for staff and consultants collected used to verify past work experience and salary and update biodata forms for proposal purposes? (not a compliance issue for cooperative agreements, NPI grantees, but preferred)?

4. Are changes in staff work status routinely filed in personnel files?

Staff Professional and Salary History Documentation

1 • Documentation: The organization does not keep staff and consultant CVs on file

• Completeness: Non of the items on the checklist are available/addressed

2 • Documentation: The organization keeps staff and consultant CVs

• Completeness: Some of the items on the checklist are available/addressed

• Documentation: The organization keeps staff CVs and biodata forms

• Completeness: Some of the items on the checklist are available/addressed

• Application: Changes in staff work status are filed but are not up-to-date

• Documentation: The organization keeps staff CVs and biodata forms

• Completeness: All of the items on the checklist are available/addressed

• Application: Changes in staff work status are filed and up to date

Staff Salaries and Benefits

Objective: The Objective of this sub-section is to review the organization’s systems for setting and managing salaries and benefits.

Resources: Organization’s salary grade and range, 2-3 personnel files representative of different levels

Staff Salaries and Benefits

1 2 3 4 The organization has no clear rationale for staff salaries, such as pay grade and range, benefits are not clearly documented in a policy manual and/or are not equitably applied and/or do not conform to national labor requirements.

The organization has a clear rationale for staff salaries, such as pay grade and range, but it is not consistently applied and is not reviewed and updated annually; benefits are clearly documented in a policy manual but are not equitably applied and/or do not conform to national labor requirements.

The organization has a clear rationale for staff salaries, such as pay grade and…