OA Tool 6 : Burke Litwin Model

The “Burke-Litwin model” has been developed to examine organisational change and
performance. It provides a link between an assessment of the wider institutional context
and the nature and process of change within an organisation. It makes the following key
points:
• The external environment is the most powerful driver for organisational change
• Changes in the external environment lead to significant changes within an
organisation – its mission and strategy, its organisational culture and its leadership.
• Changes in these key factors lead to other changes within an organisation – changes
to structure, systems and management practices. These are more operational factors
and changes in them may or may not have an organisation-wide impact
• Together these changes affect motivation, which in turn impacts on individual and
organisational performance
• The model describes 12 organisational variables (incorporating the 7 variables of the
7-S model) and the relationships between them. Each of the variables interact and a
change in any one of them can eventually impact on the others. This is useful in
explaining not only how organisations perform, but also how they can be changed.

How do I use it?

• Gather data on relevant boxes based on desk research and interviews with key
stakeholders throughout the organisation
• Summarise findings in a report for senior staff. This report can then be used as a
basis for identifying which boxes relate to which executives and managers, and can
be useful in helping them understand the complex performance and change issues
they are trying to manage
• Key questions to include are summarised in the table below.

Dimensions of Model Key Questions

1. External Environment What are the key external drivers? How are these likely to
impact on the organisation? Does the organisation recognise
these?

2. Mission and Strategy What do top management see as the organisation’s mission
and strategy? Is there a clear vision and mission statement?
What are employees’ perceptions of these?

3. Leadership Who provides overall direction for the organisation? Who are
the role models? What is the style of leadership? What are
the perspectives of employees?

4. Organisational Culture What are the overt and covert rules, values, customs and
principles that guide organisational behaviour?

5. Structure How are functions and people arranged in specific areas and
levels of responsibility? What are the key decision-making,
communication and control relationships?

6. Systems What are the organisation’s policies and procedures,

including systems for reward and performance appraisal,
management information, HR and resource planning, etc?

29
7. Management Practices How do managers use human and material resources to
carry out the organisation’s strategy? What is their style of
management and how do they relate to subordinates?

8. Work Unit Climate What are the collective impressions, expectations and
feelings of staff? What is the nature of relationship with
work unit colleagues and those in other work units?

9. Task and Individual What are the task requirements and individual
Skills skills/abilities/knowledge needed for task effectiveness? How
appropriate is the organisation’s “job-person” match?

10. Individual Needs and What do staff value in their work? What are the
Values psychological factors that would enrich their jobs and
increase job satisfaction?

11. Motivation Do staff feel motivated to take the action necessary to

achieve the organisation’s strategy? Of factors 1-10, which
seem to be impacting most on motivation?

12. Individual and What is the level of performance in terms of productivity,

Organisational customer satisfaction, quality, etc? Which factors are critical
Performance for motivation and therefore performance?

30
 External Environment

Leadership
Mission and Strategy Organisational Cultural

Management Practices

Structure Systems

Work Unit Climate

Task & Individual Skills Motivation Individual Needs & Values

Individual and Organisational Performance

31
OA Tool 7 : EFQM Excellence Model

The European Foundation for Quality Management (EFQM) Excellence Model provides a
framework for assessing the aspects of performance which make an organisation
successful. The version of the model shown below is designed specifically for public and
voluntary sector organisations.

ENABLERS RESULTS

People
People Results

Key
Leadership Processes Performance
Customer Results
Policy & Results
Strategy

Society
Partnerships
Results
& Resources

INNOVATION AND LEARNING

For each of the nine central boxes there is:

• a definition
• a set of sub-criteria which pose specific questions to be considered in an assessment
• a list of possible areas to address to improve performance under each sub-criterion

The self analysis chart below offers an opportunity for an organisation to calculate and
consider its performance using the model.

32
Organisational Self Analysis Chart
Starting with Leadership, read all the statements and choose and circle the number
you feel best reflects the situation within your organisation. Multiply the number you
have chosen by the factor shown and enter your score in the Total box. Repeat the
exercise for the other eight criteria and total your scores to produce a grand total.

Score Leadership Policy and strategy People management

Management act as individuals Partial business plans exist – Training is seen as a cost
in taking and communicating only concentrating on and people are employed to
decisions. They promote the financial targets. Plans are do a job
need to develop and improve not widely communicated or
1 the organisation and to set visibly championed by top
targets team

2
Management act as a team, Business plans encompass The management team
ensure two-way open competition data e.g. recognises that success
communication, become customer satisfaction comes from employees.
involved in improvement measures. Key points are Skills training is encouraged
3 groups. They agree plans and communicated; individuals and training plans are
set priorities. understand and accept agreed and aligned to
responsibility company goals,
4
Managers develop and support Strategic direction – vision, Delegation of responsibility
improvement teams and make mission objectives etc. are to people at appropriate
time available for them to communicated to all levels takes place. Appraisal
work. They check progress and stakeholders. A new culture schemes match the
5 recognise involvement; they is being developed. aspirations of the people
say “thank you”. Resources made available and organisation.
for continuous improvement
6
Managers are willing to “let Strategic direction Employees are allowed to
go” and empower people to understood by all implement improvement
become involved in stakeholders. Visibility activity without reference to
improvement teams between championed by top team. management. A climate
7 department and with Key success indicators (e.g. conducive to personal
customers and suppliers meeting customer needs) development and continuous
are reviewed at all levels in improvements exists.
the organisation
8
All managers are active inside Strategic direction visibility Staff morale is high and
and outside the organisation in achieved. People’s success exceeds the competitive
promoting improvement recognised by leaders at all benchmark. The full
activity. Continuous levels. Innovation and potential of all people is
9 improvement is the culture continuous improvement is being realised to achieve the
and business philosophy the culture throughout the strategic direction.
organisation.
10 Are you REALLY this good?
FACTOR FACTOR FACTOR

X 10 = X8= X9=

TOTAL TOTAL TOTAL

33
Score Resources Processes Customer
satisfaction
Resource management tends Few procedures exist apart Customer satisfaction only
to be directed solely at from financial controls. considered in terms of
financial areas. Decisions on Everyone does their best external complaints.
stock and materials are taken and firefighting is the norm. Complaints are dealt with
1 using hunches and ‘gut’ Changes are made to fix when they arise with little
feelings. Information is ‘kept in problems as and when attempt to find or correct
people’s heads’. appropriate. the cause.
2
Information available – often Procedures have been Customer satisfaction
talked about or over-analysed written and imposed. A measures are available for
but rarely used to improve. bureaucratic system exists surveys. This data is used to
Cash and working capital are with little chance for set performance standards
3 seen by all to be important. improvement. Non and staff hav been trained in
Stock controls in place conformances are seen as customer service.
“bad”. Systems purpose not
clear to operators
4
Decisions are made on the Critical process are owned The need to meet agreed
basis of information. Stock is and there is support to customer needs is reflected
related to customer monitor and improve them. within the core strategic
requirements. Process Ownership is assigned to plans. A customer care
5 improvements and evaluation management who review policy exists and is widely
of new technology takes place. corrective action etc. published.
Planning systems are in use
6
All areas of waste are Meeting customer needs is Continuous research exists
measured and form part of the seen as the purpose of the to identify and meet
improvement plan. Data is system. Procedure and individual customer needs.
gathered to form an accurate operating standards are This research is fully
7 view of competitors and used owned by the operators, integrated into business
in business planning. Financial managers and suppliers. planning, improvement and
plans meet stakeholders needs Processes are being innovation processes.
controlled.
8
All the companies’ resources System ensures all Customer commitment is
are deployed to meet agreed stakeholders’ needs are met being delivered by all
policies and strategies. by existing and new processes and relationships.
Benchmarking against the products and services. Improvement and innovation
9 ‘best in class’ is a key resource Customers find it easy to do exceed customers’
improvement driver. business. Continuous expectations and the
feedback causes competitive edge is being
improvement and increased.
innovation.
10 Are you REALLY this good?
FACTOR FACTOR FACTOR

X9= X 14 = X 20 =

TOTAL TOTAL TOTAL

34
Score People satisfaction Impact on policy Business results

Disputes and grievances are Environmental and social The financial results are
resolved as and when they obligations seen as costly available and some non-
arise. Absenteeism and/or staff and a threat to financial indicators
turnover are high. Morale at competitiveness. Damage published. They are seen as
1 times is poor and management limitation exercises are used management data by the
tend of concentrate on to counter ‘problems’. majority of staff.
themselves. Community work limited to
individuals.
2
People’s views are sought Environmental and social Systems exist to monitor
through surveys. Staff are requirements are dealt with and display financial and
consulted on improvement but to conform fully with legal non-financial indicators.
grievances are dealt with by requirements. Policy They are communicated to
3 “personnel”. Health and safety documents and internal staff and improvement
are treated seriously. standards have been targets indicated.
written.
4
Two way internal discussions Strategic quality planning Indicators are used to
take place and some form of incorporates environmental measure process and output
appraisal process is used for and social obligations. and available for
joint improvement targets. Responsibility is allocated to improvement teams. Trends
5 Communication and feedback senior managers. are monitored and used to
on a broad range of issues Environmental audits take set targets. Supplier quality
happens – morale is good. place. Keen practitioners are is measured and shared.
encourages.
6
Business changes that may Data shows the organisation Benchmarking is used to
adversely affect staff are “betters” legal requirements. compare results with
jointly worked on. Data Encouragement is given for industry and “best in class”
available to show that all employees to become trends. Differences between
7 employees feel responsible for involved in supporting local targets and results are
both their jobs and improving community activities. Public always published and
the organisation’s aware of environmental available on request.
capability. strategy.
8
Benchmarking against other Data is gathered and views The organisation
organisations shows employee sought from local society performance exceeds
satisfaction is high and has an and employees, and is used external benchmarks and
improving trend. Two way in business planning. The stakeholders are proud to be
9 appraisal is taken as “the organisation has received associated with us. A
norm”. formal recognition of commitment by all to
environmental performance. improve our business
continually is our culture.
10 Are you REALLY this good?
FACTOR FACTOR FACTOR

X9 = X6 = X 15 =

TOTAL TOTAL TOTAL

GRANT TOTAL

35
 OA Tool 8 : Capacity Assessment Guide
The assessment guide below might be useful in helping you as a facilitator, identify
appropriate questions or to reflect upon information already collected to identify gaps
in your knowledge. It is not intended that you work systematically through the list.

CAPABILITY INDICATORS

1. ORGANISATIONAL • Organisation vision, mission and strategy are clearly defined, consistent and
FOUNDATIONS shared among staff.
• Strategy links core programmes with organisational capacities and
environmental realities, to promote sustainable change. Key programmes
include:
• ________________________________________________________
• ________________________________________________________
• ________________________________________________________
• Strategy and programmes address fundamental societal values and issues
(e.g. disaster relief, gender)
• Legal form and organisational policies (e.g. governance, personnel, financial)
make organisation accountable to and legitimate within larger society.
2. ORGANISATIONAL PHYSICAL AND INFORMATION RESOURCES
RESOURCES • Physical space/facilities are adequate to tasks
• Needed equipment and materials are available
• Information (technical, social political) for programme performance is
available.
FINANCIAL RESOURCES
• Funds are available for planned activities
• Financial data are up-to-date and accurate
• Effective financial management and accounting systems are in place
• Financial systems are transparent to key constituents.
HUMAN RESOURCES
• Staff skills and numbers are adequate to do work
• Compensation is adequate and equitable
• Staff have relevant development plans and opportunities
• Recruitment, reward and promotion systems encourage good performance
and staff morale.
3. ORGANISATIONAL LEADERSHIP
CAPACITIES • Leaders articulate and communicate core values and visions
• External constituents respect organisational leadership
• Leaders involve staff in organisational planning and decision-making
• Leaders set good example for staff.
ORGANISATION AND MANAGEMENT
• Organisation structures and systems divide and co-ordinate work effectively
• Vertical and horizontal communications are clear and understood
• Delegation of authority enables responsible staff participation
• Organisation uses staff differences in skills and perspectives constructively
LEARNING
• Organisation fosters individual and team problem-solving
• Organisation makes systematic effort to learn from its experience and
problems
• Organisation translates learning into innovative action.
4. CORE TASK • Core tasks are clearly understood and accepted
IMPLEMENATION • Staff and staff teams work and learn together well
• Staff are held accountable to clear performance standards
• Monitoring and evaluation provides feedback used for performance
improvement and organisational learning
5. BENEFITS AND • Programmes reach planned and measurable performance objectives/targets
IMPACTS • Intended beneficiaries perceive and value benefits
• Programmes build sustainable local capacities and resources rather than
dependency
• Programmes validate or elaborate organisation's strategy and theory of
development
• Unintended consequences are recognised and dealt with effectively

36
6. EXTERNAL • Organisation creates and maintains stable relationships with donors
RELATIONS • Government agencies respect and are influenced by organisation's work
• Organisation build alliances with and learns from other NGOs
• Larger publics perceive organisation's work as valuable
• Organisation can construct alliances across sectors to solve development
problems.

37
OA Tool 9 : Organisation Effectiveness Questionnaire

These questions can be used to identify appropriate areas of investigation or gaps in

information so far acquired. They represent an elaboration of the Capacity
Assessment Guide included in this Manual.

PURPOSE AND STRATEGY

1. Does the organisation have a clearly-defined purpose to which staff and Board are
committed?

2. Does it have a well developed and realistic strategy to achieve its purpose? Has it, for
example, taken into account: the organisation's capacity to deliver the programmes;
the availability of the necessary resources; the needs and wishes of the target groups;
and various "environmental" factors (government policy, the political and economic
situation, climate, and so on)? Does the organisation engage in strategic planning -
who is involved?

ORGANISATIONAL CULTURE

3. Do the Board and staff have the same values concerning both the purpose and the way
that the organisation operates? How are these values expressed?

CONTROL AND ACCOUNTABILITY

4. Does the Board really control the organisation? What power does the Executive
Director, the staff, target groups, or donors have over the decision-making process? Is
this power appropriate in the long term?

5. Are there good relations between the Board and the staff? Does the Board receive
adequate information to be able to take realistic decisions?

6. Is the organisation accountable to its various interest groups; target groups, local
communities, government, donors and staff? Does it have a clear policy on
accountability? Is this policy implemented?

PRODUCTS, PROGRAMMES AND SERVICES

7. Do the target groups participate in the planning, management and evaluation of the
programmes?

8. Are the programmes effective and appropriate? Do they meet the priority needs of the
target groups? Are they sustainable in the long term? Do the programmes have a long-
term impact on the local community and/or country?

9. Does the organisation have the ability to adapt the programmes (and the strategy) to
changing situations and needs?

10. Does the organisation have the ability to develop and/or expand the programmes
without over-extending itself?

38
11. Does it have the staff with the relevant skills and experience for each programme
(sectoral skills, facilitation skills, experience with target groups, etc.)?
A LEARNING ORGANISATION

12. Does the organisation have the ability to think critically about itself? Does it have the
ability to learn from its successes and failures? What evidence is there of this?

GROWTH AND CHANGE

13. Has the organisation grown significantly in recent years? What is the attitude of the
staff to change? How has it coped with the change?
14. Has the organisation diversified recently? Did it over-extend itself? Did the staff have
the relevant capacity before diversification? Was the diversification planned or was it
forced on the organisation?

RESOURCES IN GENERAL

15. Does the organisation have adequate resources to carry out its activities? If not, does it
have a realistic plan for obtaining the resources?

16. Is there a plan for distributing the resources? Are they, in fact, distributed efficiently
and fairly? Is there a system for resolving conflict over resources?

FINANCIAL RESOURCES

17. Does the organisation have several sources of funding? If it is dependent on grants,
does it have plans to generate income in alternative ways?

18. Does the organisation have to spend an unreasonable proportion of its time on
obtaining financial resources (and on satisfying donor reporting demands)? Do donors
unduly influence the organisation's strategy and programmes?

19. Is there a difference between what the organisation says it does and what it actually
does? Is there adequate communication between the fund-raising and the operational
departments?

20. If the organisation does not have sufficient funding, how does it cope with inadequate
funding?

21. If the organisation is offered more funding than it immediately needs, is it pressurised
into expanding or diversifying without planning or possibly without having the
necessary capacity?

HUMAN RESOURCES

22. Is there an adequate number of staff with the required skills to carry out the
programmes and to run the organisation?

23. Is there an adequate system for recruiting and firing staff? Do political, family or
personal ties unduly influence this process?

39
24. Does the organisation have the ability to resolve conflict among the staff, or between
outside groups and the organisation?

25. Is there a formal or informal training programme for the staff? Are different individual
needs acknowledged in this programme?

26. Is there a high turnover of staff? Does the organisation have the appropriate incentives
for motivating and retaining staff?
27. Is there an adequate personnel system for administering staff, ensuring equitable
treatment, resolving grievances, and so on?

COMMUNICATION

28. Does the organisation have an effective system for circulating information to all
concerned? Are there aspects of the organisation's activities that are kept unnecessarily
secret?

29. Is there a spirit of open communication within the organisation? Do people work as a
team or as individuals? Are office doors kept closed as much as possible? Does the
staff get together over coffee and/or lunch? Are there social occasions?

30. Is conflict managed or ignored? How is conflict resolved between: Board and staff;
volunteers and professionals; headquarters and field staff?

31 Is communication two-way? In other words are staff acknowledged as important

sources of operational AND strategic information
LEADERSHIP

32. Is the leadership style(s) used by the directors and/or senior staff appropriate to the
organisation, its purpose and values? Do staff resent the way that they are managed?

33. Are responsibilities delegated to the appropriate staff? Does the delegation work?

34. Is the organisation dominated by the original Founder? If so, does s/he control (or try
to control) every aspect of the organisation and to resist change?

35. Are there any possible successors to the current director?

36. Does the staff feel that they can speak openly?

PROBLEM-SOLVING AND DECISION-MAKING

37. Does the organisation have a system (and do the staff have the skills) for identifying
problems, analysing options and then taking the relevant decisions?

38. Is the staff involved in the decision-making process? Are they consulted about issues
before the decisions are taken? Do they feel that their opinions are considered?

PLANNING, MONITORING AND EVALUATION

40
39. Are there well-established systems for planning, monitoring (controlling) and
evaluation? Does the staff have the necessary skills? Are the systems actually used?
What are the staff's attitudes to planning and evaluation?

40. What happens to the results of the evaluation? Are they gathering dust or are the
recommendations put into practice? Are they used in the planning process?

STRUCTURE AND SYSTEMS

41. Does the organisation have a structure (and administrative systems) that is appropriate
to its functions? Is the structure over-complicated for the size of the organisation or,
for that matter, so simple that it is almost non-existent?

42 Does the staff have clear job descriptions? Do they know what authority they have,
what results they are expected to achieve and how they will be assessed?

43 Does the organisation have adequate systems and administrative procedures?

FINANCIAL MANAGEMENT

44. Does the organisation have an adequate financial management system (and skills)? Are
the budgets realistic? Do the financial controls work? Does the programme staff have a
reasonably accurate picture of the financial situation of the various projects and
activities?
45. Is the organisation technically bankrupt? Has it pre-financed projects that have not
been guaranteed by donors? Has it commitments (for example, staff salaries or even
projects) that are greater than its reserves?

46. Are project funds clearly separated? Is there any danger that temporary credits in one
project account could be used to finance (however temporarily) another project -
especially where local and foreign currencies are separated?
47. How does the organisation deal with cash-flow difficulties? Does it have any reserves?

CROSS-CULTURAL ISSUES

48. Are there any cross-cultural issues affecting the organisation. If so, how does the
organisation deal with them?

EXTERNAL LINKAGES

49. Does the organisation have good relations with government (national and local)? Does
its strategy take the government's plans into account?

50. Has the organisation established links with other organisations working in the same
sector or geographical area, or with the same target groups? Is its basic attitude one of
collaboration or of competition?

51. Does the organisation have good relations with the local communities? Can it mobilise
participation in its programmes?

41
 OA Tool 10 : Discussion Orientated Self Assessment (DOSA)

This wide-ranging questionnaire requires internal facilitation. It can be adapted or

reduced to suit the needs of the organisation being assessed. It is particularly
effective when ‘broken down’ into smaller parts and for this reason, each new section
of the questionnaire is started on a new page. This should assist with photocopying.

DOSA has been designed for a variety of purposes:

- to serve as a diagnostic tool to determine the specific changes needed to
strengthen an NGO development
- establish an existing baseline for capacity building
- monitor progress towards organisational development objectives
- serve as a means to educate staff about the components and attributes of an
effective NGO
- create a strong and shared commitment to change within an NGO.

42
 Discussion Oriented Organisational Self-Assessment
(DOSA)

Date of self-assessment:

Facilitator:

Other self-assessment team members:

I. Human Resource Management

Discussion:
a) What and when was our most recent staff training? Who participated?

b) How often over the last 12 months have we held joint staff training events?

1 We provide adequate joint Strongly Disagree Neutral Agree Strongly

staff training for successful Disagree Agree
implementation of our
programme
1 2 3 4 5

Discussion:
a) For our three most recent staff training events, what evidence is there that they
strengthened staff capacity and performance?

b) To what extent were the areas of improved staff capacity relevant to our human resource
needs?

43
c) To what degree did these training events prepare staff to respond to our strategic
objectives?

2 Our staff training directly Strongly Disagree Neutral Agree Strongly

contributes to the Disagree Agree
achievement of our
organisation's
objectives
1 2 3 4 5

Discussion:
a) What are three primary, activities that we undertake to achieve our mission?

b) To what extent does staff, as a group, have the necessary skills to carry out these functions?

c) How many staff are in our organisation? To what extent is the number of employees carrying
out these functions appropriate with work demands?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
3 We have the appropriate
staff skills to achieve our 1 2 3 4 5
mission

4 We have the appropriate

staff numbers to achieve our 1 2 3 4 5
mission

44
Discussion:
a) Over the last 12 months, to what degree have the personnel and management practices
noted below influenced the performance of new recruits and old employees?

b) Give examples of instances in which the practices listed below either contributed to or
detracted from employee performance.

The following systems or practices Strongly Disagree Neutral Agree Strongly

contribute to good performance by Disagree Agree
our employees:
5 Recruitment 1 2 3 4 5

6 Compensation 1 2 3 4 5
(Salary and benefits)
7 Personnel evaluation 1 2 3 4 5

8 Promotion (Professional
advancement) 1 2 3 4 5
9 Grievance and conflict 1 2 3 4 5
resolution policy

10 Work place environment 1 2 3 4 5

11 Lines of authority and 1 2 3 4 5

responsibility

12 Job description 1 2 3 4 5

13 Leadership practices 1 2 3 4 5

45
Discussion:
a) Over the last 12 months, to what extent have we experienced loss of competent staff?

b) What factors contributed to this loss?

c) For the same time period, what examples do we have of practices listed below that directly
contributed to retention of competent staff?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
14 Our organisational culture
(leadership style and
management practices)
encourages staff retention 1 2 3 4 5
and continuity and stability
15 Commitment and feeling of
ownership encourage staff 1 2 3 4 5
continuity and stability in
our organisation

46
Discussion:
a) List three key ways in which staff are supervised

b) To what degree did these practices improve the supervisee's ability to meet organisational
expectations?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
16 Supervisory practices
enhance our staff's capacity
to meet the organisation's
objectives

1 2 3 4 5

47
II. Finance Resource Management

Discussion:
a) What are our practices and procedures/systems for account keeping

b) What are the difficulties we encounter?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
17 We have appropriate
accounting systems in place
which provide adequate 1 2 3 4 5
financial control
18 Our financial transaction
provides adequate 1 2 3 4 5
transparency and
accountability
19 Internal and external
financial reviews provide
confidence among staff and 1 2 3 4 5
other stakeholders including
donors

48
Discussion:
a) What are our organisational objectives this financial year and to what extent are these
reflected in our current budget?

b) What specific features of this year's budgeting process facilitated consideration of mission
and programme priorities?

20 The budgeting process Strongly Disagree Neutral Agree Strongly

leads us to allocate funds in Disagree Agree
a way that closely reflects
our organisational priorities

1 2 3 4 5

Discussion:
a) How accurate were last year's financial projections?

b) How timely is the distribution of financial reports?

49
c) Do we have contingency measures currently in place if projected revenue fails to
materialise?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
21 Our financial management
practices lead to accurate 1 2 3 4 5
financial projections

22 We regularly modify our

programme expenditures 1 2 3 4 5
based on findings presented
in our internal financial
reports

Discussion:
a) List three recent procurements (goods or services)

b) Did procurement follow written procedures?

c) What was the impact of these procedures on costs?

23 Our procurement practices Strongly Disagree Neutral Agree Strongly

contribute to the effective Disagree Agree
use of recourses
1 2 3 4 5
Discussion:
a) Over the past year, what problems, if any, have we had regarding delayed transfer of
funds to the field or our partner organisations if any?

50
b) What mechanisms are in place to ensure that money flows to our partner organisations in
a timely manner?

c) How effective are these mechanisms?

24 Our cash management Strongly Disagree Neutral Agree Strongly

procedures lead to the timely Disagree Agree
disbursement of funds

1 2 3 4 5

Discussion:
a) When was the last time we reviewed the level of reserves in relation to our annual
operating budget?

b) For how many months could we maintain our current level of operations if we were solely
dependent on the reserves we have on hand?

c) What concrete measures are we currently taking to enhance our reserves?

51
25 We take concrete steps to Strongly Disagree Neutral Agree Strongly
build our reserve fund Disagree Agree

1 2 3 4 5

52
III. Service Delivery

Discussion:
a) List three representative projects in our current programme portfolio together with key
stakeholders in these projects? Who are our stakeholders?

b) For the three projects identified, what are some concrete examples of stakeholder
involvement in each of the processes listed below?

Stakeholder in our Never Seldom Occasionally Frequently Always

programmes are engaged in:
26 Assessing needs 1 2 3 4 5

27 Designing projects 1 2 3 4 5

53
28 Implementing projects 1 2 3 4 5
29 Monitoring projects 1 2 3 4 5

30 Assessing their impact 1 2 3 4 5

Discussion:
a) For the three projects identified in the preceding question, to what degree are traditionally
under represented stakeholders (e.g. rural poor, women, ethnic minorities) engaged in the
tasks listed below?

Traditionally under- Never Seldom Occasionally Frequently Always

represented stakeholders are
engaged in:
31 Assessing needs 1 2 3 4 5

32 Designing projects 1 2 3 4 5

33 Implementing projects 1 2 3 4 5

34 Monitoring projects 1 2 3 4 5

35 Assessing their impact 1 2 3 4 5

Discussion:
a) For the same three representative projects, what impact indicators are we using to track
progress towards meeting project objectives?

b) To what extent does the evidence that we have in hand suggest that we are achieving
intended impact?

54
c) To what extent does the evidence that we have in hand suggest that we are enhancing the
capacity of local organisations?

Our projects: Never Seldom Occasionally Frequently Always

36 Routinely use result-based

indicators to monitor 1 2 3 4 5
progress in achieving
objectives
37 Are routinely monitored
through internal 1 2 3 4 5
evaluations

38 Achieve intended impact

as captured through 1 2 3 4 5
internal and external
evaluation
39 Enhance local/village
organisational capacity as 1 2 3 4 5
captured through
evaluation

Discussion:
a) For the same three representative projects, to what degree have we addressed each of the
sustainability issues listed below?

b) To which kinds of sustainability (environmental, economic, political, social, cultural) do we

pay most attention?

55
c) Least attention?

Throughout the project cycle Never Seldom Occasionally Frequently Always

(design, implementation,
monitoring and impact
assessment) we give
adequate attention to:

40 Environmental
sustainability (how
project activities impact 1 2 3 4 5
on the quality of water,
air and soil, and
biodiversity)
41 Economic sustainability
(how recurrent costs 1 2 3 4 5
associated with project
activities will be met)
42 Political sustainability
(how project-supported
innovations will be
accommodated within 1 2 3 4 5
the framework of
existing laws, policies
and political institutions)
43 Institutional
sustainability (how the
long-term viability of 1 2 3 4 5
institutions created
through project activities
will be maintained)
44 Cultural sustainability
(how project-supported
innovations fit within the 1 2 3 4 5
framework of existing
norms, values, roles and
practices)
Discussion:
a) With respect to the same three projects, how have we delivered technical support to the
field?

56
b) To what degree has this technical support to the field been timely and appropriate?

c) What discernible impact has this technical support had on meeting project objectives?

45 The quality of technical Never Seldom Occasionally Frequently Always

support for our field-based
activities contributes to
achievement of project
objectives
1 2 3 4 5

57
IV. External Relations

Discussion:
a) Over the last 12 months, what kinds of information about our work have we shared with
our members (if any), users and the general public?

b) In the context of all the information we present to our members, users and the general
public, what relative priority have we assigned to information about our impact?

c) How effectively do we demonstrate the impact of our work to group members and the
general public?

We routinely share information Strongly Disagree Neutral Agree Strongly

on our progress in achieving our Disagree Agree
mission through our
communications with:
48 Constituency/Membership 1 2 3 4 5

49 Users/Beneficiaries 1 2 3 4 5

50 General public 1 2 3 4 5

58
Discussion:
a) Over the last 12 months, to what kinds of donors (e.g. bilateral, major foundations,
corporations) have we submitted narrative and financial reports?

b) To what degree have these reports increased donor confidence in our work?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
51 Timely financial reports
contribute to donor 1 2 3 4 5
confidence in our
programmes

52 Timely narrative reports

contribute to donor 1 2 3 4 5
confidence in our
programmes

Discussion:
a) Over the past 12 months, what has been the frequency and nature of our organisational
contacts with policy makers?

b) To what degree are these contacts part of an ongoing communication strategy?

53 We regularly engage relevant Strongly Disagree Neutral Agree Strongly

policy makers and institutions Disagree Agree
in dialogue related to our
mission
1 2 3 4 5

59
Discussion:
a) Over the past 12 months, what specific linkages have we established or maintained with the
private business sector?

b) During the same period, to what degree have we offered companies the opportunity to
assume a role other than that of donor?

54 We forge innovative Strongly Disagree Neutral Agree Strongly

linkages with the private Disagree Agree
business sector

1 2 3 4 5

Discussion:
a) What concrete measures have we taken over the last 12 months to diversify our funding?

60
b) How effective have these measures been?

c) To what degree is our organisational viability dependent upon the continued support of just
a few large donors?

55 We take active measures to Strongly Disagree Neutral Agree Strongly

diversify our financial support Disagree Agree

1 2 3 4 5

Discussion:
a) Who are our current donors?

b) Do we have fewer or more than last year?

b Who funded us last year and who stopped funding?

61
The following categories of Strongly Disagree Neutral Agree Strongly
donors are increasingly Disagree Agree
interested to fund our
organisation

56 Private individuals 1 2 3 4 5

57 Bi-laterals 1 2 3 4 5

58 Public Sector/Government 1 2 3 4 5

59 Multilaterals 1 2 3 4 5

60 Others 1 2 3 4 5

Discussion:
a) How do we develop project proposals for donors? Who participates and how?

b) To what extent do our funding proposals influence the donor?

Strongly Disagree Neutral Agree Strongly

Disagree Agree
61 Proposal development
process builds donor 1 2 3 4 5
confidence
62 Proposals draw adequate
funds for accomplishing 1 2 3 4 5
planned activities
Discussion:
a) Over the past 12 months, what feedback on our performance have we gathered from
donors, members, users or the general public?

62
b) What are some concrete examples of changes we have made on the basis of this
feedback?

63 We routinely use feedback to Strongly Disagree Neutral Agree Strongly

improve performance Disagree Agree

1 2 3 4 5

63
V. Organisational Learning

Discussion:
a) What information has flowed between senior management at Headquarters and non-
supervisory staff (including field staff) over the past month? Typically, who initiated these
communications?

b) Is the prevailing flow of information top-down or bottom-up? Is information exchanged

horizontally, e.g. between field offices?

c) Typically, to what degree did recipients perceive this information to be useful?

Information flows freely: Never Seldom Occasionally Frequently Always

64 Across Headquarters 1 2 3 4 5
units and functions
65 To and from field offices 1 2 3 4 5

Discussion:
a) Over the last 12 months, what have been our organisational priorities? What information
was available to us as we worked through these issues?

64
b) To what degree was the information useful in achieving our organisational objectives?

c) How typical are these examples of informational resources within our organisation in terms
of content and timeliness?

Never Seldom Occasionally Frequently Always

66 Available information is 1 2 3 4 5
accurate
67 Available information is 1 2 3 4 5
relevant
68 Available information is 1 2 3 4 5
timely

Discussion:
a) Over the last 12 months, what data (qualitative and quantitative) have we routinely
analysed and reviewed:

b) List some examples of how this data analysis has influenced our practice

c) To what extent does data analysis and review contribute to our organisational learning?

65
 Never Seldom Occasionally Frequently Always

69 We routinely collect and

analyse data related to 1 2 3 4 5
programme priorities
70 We modify our practices
based on findings 1 2 3 4 5
generated through data
collection and analysis
Discussion:
a) Over the past 12 months, what are some difficult organisational challenges that we have
faced?

b) To what degree have we used teamwork to resolve these issues?

71 We use teamwork Never Seldom Occasionally Frequently Always

effectively to achieve our
organisation objectives

1 2 3 4 5
Discussion:
a) Over the last 12 months, what are three examples of staff participation (including field
staff) in planning and decision making?

b) In each of these instances, how broad-based was this staff participation?

66
c) In each of these instances, how influential was this participation in the overall decision-
making process?

Never Seldom Occasionally Frequently Always

72 Our leadership
encourages staff 1 2 3 4 5
participation in
planning and decision-
making
73 Staff views are
reflected in 1 2 3 4 5
organisational planning
and decision-making
Discussion:
a) To what degree did meetings over the last month lead to progress in achieving
organisational objectives?

b) To what degree did these meetings promote organisational learning?

c) What are some specific examples of learning that emerged from these meetings?

67
74 Our staff meetings Never Seldom Occasionally Frequently Always
directly contribute to
organisational learning
and mission achievement
1 2 3 4 5

68
VI. Strategic Management

Discussion:
a) Over the last 12 months, in what strategic planning activities has our organisation
engaged?

b) What conclusions about our external environment did we draw as a result of these
activities?

c) What changes did we make in our operations to reflect and enhance understanding of the
environment in which we operate?

Never Seldom Occasionally Frequently Always

75 We use strategic
planning to examine 1 2 3 4 5
ourselves in relation to
our external
environment
76 We modify our strategic
objectives based on 1 2 3 4 5
findings generated
through strategic
planning exercise

69
Discussion:
a) List three important activities, programme and non-programme, that we have initiated over
the last 12 months

b) To what extent do these activities reflect our strategic and operating plans?

Never Seldom Occasionally Frequently Always

77 Our activities are

developed and 1 2 3 4 5
implemented in ways that
are in line with our
strategic and operation
plans

78 We routinely track
progress in achieving our 1 2 3 4 5
strategic objectives

Discussion:
a) With respect to each of the areas listed below, what are some representative actions that
our board has taken in the last 12 months?

70
b) What has been the discernible impact of these actions on our organisation?

Our Board has contributed Never Seldom Occasionally Frequently Always

competently in carrying out
such functions as:
79 Fund raising 1 2 3 4 5

80 Public relations 1 2 3 4 5

81 Advocacy 1 2 3 4 5

82 Financial oversight 1 2 3 4 5

83 Policy definition 1 2 3 4 5

84 Strategic direction 1 2 3 4 5
setting
85 Representation to key 1 2 3 4 5
constituencies

Discussion:
a) What are the most important programme and non-programme decisions that our Board,
Senior Management frontline staff (non-supervisory positions) and field staff have made in the
last 12 months?

Board

Senior Management

Frontline Staff

Field Staff

71
b) To what degree have these decisions meshed with our mission, goals and philosophy?

c) What factors contribute to this degree of "fit" between decisions taken and organisation
values?

Our organisation's visions, Never Seldom Occasionally Frequently Always

mission and strategies are
understood and well
articulated by:
86 Frontline workers 1 2 3 4 5

87 Senior staff 1 2 3 4 5

88 Field staff 1 2 3 4 5

89 Board members 1 2 3 4 5

72