Organizational Capacity Assessment Tool (OCAT)

Transcription

1 Asia Regional Cash Working Group Bangkok, Thailand March 2016 Organizational Capacity Assessment Tool (OCAT) Self-assessing capacity for effective Cash Transfer Programming (CTP) CaLP Asia Regional Focal Point, Rebecca H. Vo

2 OCAT Overview 1. Background of CaLP OCAT & capacity building 2. Purpose & intended users of the tool 3. Tool & User Guide format & content 4. Process to prepare for and use the OCAT Organizational Capacity Assessment Tool (OCAT) - Scoring Matrix Category 1: Governance/Leadership # Criteria Score Comment 1.1 The organization has a clear vision of where & There is no mission Organizational structure has Organizational structure has Organizational structure has why CTP as a modality fits into its statement or org. chart, or been reviewed but not yet been reviewed, adapted to been adapted to CTP and mission/mandate, goals and structure they have not been adapted to CTP CTP but not rolled out been fully rolled out reviewed 1.2 Senior management understands, supports and Senior management does Senior management Senior management Senior management drives advocates for CTP and is willing to invest in not understand or support supports CTP, but is not supports CTP and is willing CTP change, makes needed planning, resources and systems CTP willing or able to invest as to invest, but not yet fully investment as and when needed done so needed 1.3 The organization has a strategy to effectively No strategy for CTP has Strategy not fully in place, Strategy in place but not Strategy known to all, & manage any changes required for CTP, including been considered or CTP focal point(s) not widely known, or CTP focal empowered CTP focal empowered focal point(s) for institutionalization identified point(s) not very point(s) in place to manage and support to staff empowered change Category 2: Organizational Management # Criteria Score Comment 2.1 CTP is integrated into strategic planning and No strategic or contingency CTP is partially integrated CTP is fully integrated into CTP is fully integrated into emergency preparedness activities planning process, or CTP not into strategic and strategic & contingency strategic & contingency considered contingency plans plans, and preparedness planning, and preparedness activities underway activities are complete 2.2 Sufficient donor or internal funding can be Fundraising does not seek Fundraising can find some Fundraising can find CTP Fundraising can find CTP secured for CTP to meet response needs and to CTP funding CTP donors, but cannot donors, develop strong donors, develop successful justify the required investment in organizational secure much CTP funding proposals and secure some proposals and secure capacity CTP funding sufficient CTP funding 2.3 CTP is integrated into mechanisms for learning, No learning process in Process in place to learn & Process in place to learn, Processes in place to learn, sharing and using good practice place, or does not capture share CTP good practice, share & use CTP good share, and regularly review CTP but learning not used practice, but no review of use & success of CTP good its use or success practice Category 3: Human Resource Management # Criteria Score Comment 3.1 Management, program, finance, logistics and Few staff have skills to Some staff have the Most staff have the All staff have the required other staff have the necessary knowledge, skills implement CTP, with no required skills to implement required skills to implement skills to implement CTP and experience to effectively design, implement plans to develop capacity CTP, but plans are made to CTP, and work is underway effectively with plans for & monitor CTP as needed develop capacity to develop full capacity regular review 3.2 Staff learning and development builds knowledge No staff L&D or does not and skills in line with CTP industry good practice, include CTP and involves and includes management, program and operations staff 3.3 Systems to recruit and retain qualified staff HR systems not in place or include required CTP competencies, and they can are not adapted for CTP effectively meet the staffing needs for CTP in both normal and emergency situations OCAT Results Graphs Staff L&D includes CTP but not fully in line with good practice HR systems are not fully adapted for CTP or not often effective in recruiting & retaining staff Organiza>onal Capacity Assessment Total Scores by Category Staff L&D includes CTP in line with good practice, but not for all mgmt., program & operations staff HR systems are fully adapted for CTP and often effective in recruiting & retaining qualified staff 1. Governance/ Name Leadership Total Score 1. Governance/Leadership 0 2. Organizational Management 0 3. HR Management Financial External Management 0 2. Organiza>onal 5. Rela>ons Program/Project Management 0 Management 6. External Relations 0 Staff L&D includes CTP in line with good practice, and reaches all mgmt., program & operations staff HR systems are fully adapted for CTP and effective in recruiting & retaining qualified CTP staff as needed 5. Program/Project Management 3. HR Management 4. Financial Management

3 Purpose of the OCAT Organizational Capacity Assessment Tool (OCAT) is intended for organisations to self-assess their capacity to deliver or scale-up CTP effectively Can be used to identify capacity gaps & needs in key functional areas, and to measure progress Not intended as performance evaluation or comparison of un-related organizations

4 Users of the OCAT Designed for organizations of any type or size can adapt definitions to the specific context Multi-country or multi-member organizations can agree definitions & targets to use Can also help implementing partners to selfassess against agreed benchmarks

5 OCAT Format & Content OCAT comprises User Guide & Tool Worksheets User Guide has instructions for the tool, and descriptions of what is to be assessed & scored

6 OCAT Format & Content Worksheets are for scoring & graphing results Organizational Capacity Assessment Tool (OCAT) - Scoring Matrix Category 1: Governance/Leadership # Criteria Score Comment 1.1 The organization has a clear vision of where & There is no mission Organizational structure has Organizational structure has Organizational structure has why CTP as a modality fits into its statement or org. chart, or been reviewed but not yet been reviewed, adapted to been adapted to CTP and mission/mandate, goals and structure they have not been reviewed adapted to CTP CTP but not rolled out been fully rolled out 1.2 Senior management understands, supports and advocates for CTP and is willing to invest in needed planning, resources and systems Senior management does not understand or support CTP 1.3 The organization has a strategy to effectively No strategy for CTP has manage any changes required for CTP, including been considered empowered focal point(s) for institutionalization and support to staff Category 2: Organizational Management Senior management supports CTP, but is not willing or able to invest as needed Strategy not fully in place, or CTP focal point(s) not identified Senior management supports CTP and is willing to invest, but not yet fully done so Senior management drives CTP change, makes investment as and when needed Strategy in place but not Strategy known to all, & widely known, or CTP focal empowered CTP focal point(s) not very point(s) in place to manage empowered change # Criteria Score Comment 2.1 CTP is integrated into strategic planning and No strategic or contingency CTP is partially integrated CTP is fully integrated into CTP is fully integrated into emergency preparedness activities planning process, or CTP not into strategic and strategic & contingency strategic & contingency considered contingency plans plans, and preparedness activities underway planning, and preparedness activities are complete 2.2 Sufficient donor or internal funding can be Fundraising does not seek Fundraising can find some Fundraising can find CTP Fundraising can find CTP secured for CTP to meet response needs and to CTP funding CTP donors, but cannot donors, develop strong donors, develop successful justify the required investment in organizational secure much CTP funding proposals and secure some proposals and secure capacity CTP funding sufficient CTP funding 2.3 CTP is integrated into mechanisms for learning, sharing and using good practice No learning process in place, or does not capture CTP Process in place to learn & share CTP good practice, but learning not used Process in place to learn, share & use CTP good practice, but no review of its use or success Processes in place to learn, share, and regularly review use & success of CTP good practice Category 3: Human Resource Management # Criteria Score Comment 3.1 Management, program, finance, logistics and Few staff have skills to Some staff have the Most staff have the All staff have the required other staff have the necessary knowledge, skills implement CTP, with no and experience to effectively design, implement plans to develop capacity required skills to implement required skills to implement skills to implement CTP CTP, but plans are made to CTP, and work is underway effectively with plans for & monitor CTP as needed develop capacity to develop full capacity regular review OCAT Results Graphs Organiza>onal Capacity Assessment Total Scores by Category 1. Governance/ Name Leadership Total Score 1. Governance/Leadership 0 2. Organizational Management 0 3. HR Management Financial External Management 0 2. Organiza>onal 5. Rela>ons Program/Project Management 0 Management 6. External Relations 0 5. Program/Project Management 4. Financial Management 3. HR Management 3.2 Staff learning and development builds knowledge No staff L&D or does not and skills in line with CTP industry good practice, include CTP and involves and includes management, program and operations staff 3.3 Systems to recruit and retain qualified staff HR systems not in place or include required CTP competencies, and they can are not adapted for CTP effectively meet the staffing needs for CTP in both normal and emergency situations Staff L&D includes CTP but not fully in line with good practice HR systems are not fully adapted for CTP or not often effective in recruiting & retaining staff Staff L&D includes CTP in line with good practice, but not for all mgmt., program & operations staff HR systems are fully adapted for CTP and often effective in recruiting & retaining qualified staff Staff L&D includes CTP in line with good practice, and reaches all mgmt., program & operations staff HR systems are fully adapted for CTP and effective in recruiting & retaining qualified CTP staff as needed

7 OCAT Format & Content and for recording recommendations to address gaps

8 OCAT Categories Assessment covers six Categories of organizational capacity: Governance/Leadership Organizational Management Human Resources Capacity Financial Management Capacity Program/Project Management External Relations

9 Criteria Cash Learning Partnership (CaLP) Organizational Capacity Assessment Tool (O Scoring Matrix Each category has a number of Criteria that P&Ps in place but describe what not fully capacity, in line with systems or good processes practice; P&Ps must be in are place not known to be to or routinely used by able to do effective CTP Category 5: Program/Project Management # Criteria Policies & procedures (P&Ps) to determine the most appropriate response are in line with CTP good practice and are routinely used effectively, including needs and market assessment, feasibility and risk analysis, and response options analysis No P&Ps in place or do not include CTP staff P&Ps with g no pro P&Ps routin alway 5.2 Policies & procedures (P&Ps) for program design and implementation using CTP modalities are in line with CTP good practice and routinely used effectively, including calculation of No P&Ps in place or do not include CTP P&Ps in place but not fully in line with good practice; P&Ps are not known to or routinely used by P&Ps with g no pro P&Ps routin

10 Indicators Each criteria has Indicators that explain in more detail or give examples of various aspects of the criteria Often references CTP good practice resources, and sometimes includes further Guidance

11 P sought e No cash or funding reserves are available Scores Cash and/or funding Cash and/or funding reserves are set reserves are rapidly aside but are not usable, but no system rapidly available or to recover or replenish usable Cash and/or funding reserves are rapidly usable, with system in place to recover and replenish the CTP tively, options Score Comment No P&Ps in place or do not include CTP P&Ps in place but not fully in line with good practice; P&Ps are not known to or routinely used by staff P&Ps in place & in line with good practice, but no process for review; P&Ps known & routinely used but not always effectively P&Ps in place & in line with good practice, with process for regular review; P&Ps are known & routinely used effectively Each criteria has four possible scores, depending on an assessment of the extent to which the criteria is met

12 Annex 2: OCAT Sample Results Graphs Results Graph The tool worksheets include a Results Graph Each of the category scores are displayed on a spider web graph for comparison CaLP OCAT User Guide v2.0 Jan 2016.docx 26

13 Recommendation Matrix CaLP Organizational Capacity Assessment Recommendations for Improvement Category 5: Program/Project Management Criteria Recommendation Implications, costs/effort, timing/priority, etc. 5.1 Policies & procedures (P&Ps) to determine the most appropriate response are in line with CTP good practice and are routinely used effectively, including needs and market assessment, feasibility and risk analysis, and response options analysis 5.2 Policies & procedures (P&Ps) for program design and implementation using CTP Tool worksheets include Recommendation Matrix modalities are in line with CTP good practice and routinely 5.3 Policies & procedures (P&Ps) Place to record recommendations to address the for monitoring & evaluation (M&E) identified account for the specific gaps, and implications for doing so information needed to analyse response effectiveness and Category 6: External Relations Criteria Recommendation Implications, costs/effort, timing/priority, etc. 6.1 Effective advocacy & communication strategies & systems reach all relevant stakeholders with appropriate 6.2 Program, technical and operational coordination on

14 The Process Using the OCAT should be just one part of a broader organizational preparedness process First set the goal, then use the OCAT, then make a Plan of Action to address gaps by priority Use the OCAT in a participatory workshop with key stakeholders management, program & operations/support staff across the organization

15 Example 1 Indicators for Criteria 5.1 include: Processes for market assessment includes baseline & post-disaster analysis & mapping of availability of goods, supply chain capacity & obstacles, market trader preferences, and govt. policies See CaLP s Minimum Requirements for Market Analysis in Emergencies MINIMUM REQUIREMENTS FOR MARKET ANALYSIS IN EMERGENCIES LOIS AUSTIN AND SEBASTIEN CHESSEX The Cash Learning Partnership

16 Example 2 Indicators for Criteria 5.2 include: Agreements & systems are in place so that the organization and all third parties take appropriate steps to protect beneficiary privacy See CaLP s Protecting Beneficiary Privacy Principles and operational standards for the secure use of personal data in cash and e-transfer programmes PROTECTING BENEFICIARY PRIVACY Principles and operational standards for the secure use of personal data in cash and e-transfer programmes The Cash Learning Partnership

17 Example 3 Indicators for Criteria 5.3 include: M&E includes assessment of impacts both on beneficiaries including protection concerns, and on markets including price monitoring to ensure transfer amounts are still adequate See Humanitarian Practice Network s Good Practice Review, Cash transfer programming in emergencies Table 13: Key questions for monitoring and evaluating cash projects

18 Questions? THANK YOU! Link to OCAT webinar: Follow us Cash Learning Partnership