Organizational Capacity Assessment Tool (OCAT)

for

U.S. Department of State

Strengthening Civil Society Organizations (CSO’s)

Program

Institute of Rural Management

Building a Prosperous Pakistan

Organization Name: Institute of Rural Management (IRM)

Address: #7, Sunrise Avenue, Main Park Road near COMSATS
University, Islamabad
Registration: Section 42 of Companies Ordinance, 1984.
Tel: +92-51- 8742201-7
Web: www.irm.edu.pk
Email: cso@irm.edu.pk

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 Section A: Self-Assessment by Potential CSO

(to be filled by potential Civil Society Organization)

Guidance on IRM Organizational Capacity Assessment Tool (OCAT) Analysis

1. The CSO analysis is an exercise to be carried out before the selection of CSO for
“Strengthening Civil Society” project in order to review existing strategy of CSO’s
since commencement of their registration.

2. The OCAT consists of following:

A. Self-assessment by potential CSO;

B. Review of self-assessment tool filled in by the potential CSO and the
supporting documents/annexes provided with that by IRM Team; and
C. Visit by IRM Team to verify and seek further evidence (if required).
3. It aims to
i) establish minimum information on the partner organization, including
registration and governance details,
ii) help to identify the gaps of shortlisted organization’s systems, policies and
procedures may have,
iii) help to identify their programme focus and thematic area, and
4. The section A and B of the tool (questionnaire) to be completed by authorized
individual and must be submitted via email cso@irm.edu.pk by the 23rd December
2018.

Most of the questions are straight forward and can be answered by Yes/No.
Please do not leave any section blank if something is not relevant please write
N/A (not applicable). The self-assessment by partner should be completed in a
consultative process by senior management, HR, Finance, Administration and
technical Programme team members. Overall the self-assessment will take around
60-80 minutes, whereas compilation of documents and annexes will require 4-6
hours, depending on nature of operations.

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5. IRM team will conduct the analysis of the partner organization in consultation
with the key partner/project staff, and may conduct a field visit as well during this
analysis (if required). The ‘team’ will seek information from partner-published
documents, to establish a verifiable assessment independent of individual partner
staff. Subsequently, the ‘team’ will corroborate and complement the findings
through interviews with selected partner staff members, including but not limited
to its chief executive or general secretary, ensuring that a sufficiently varied group
of partner staff has had a chance to contribute to the assessment.

6. The assessment will involve an analysis of the following:

i) Governance structure: Board structure and composition, governance

procedures and systems, frequency of meetings, bye-laws, etc.
ii) Financial Controls: Finance policy & manual, DOA, cash handling
practices, segregation of duties, bank accounts / practices, other
related procedures etc.
iii) Human Resource Management: HR policy, procedures, systems, code of
conduct, staffing structure etc.
iv) Office administration: Inventory control and record keeping system
v) Programme Planning and Management: strategic plan / direction,
approach, M&E system, research capabilities, communication systems
and publication, diversified financial resources, etc.
7. The analysis will require review of key partner documents, like vision and mission
statements, recent annual reports, organogram, strategic plan, bye-laws, various
policy documents and manuals etc. and IRM would need copies of the documents
with the consent of the partner organization.

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Section A: Self-Assessment by Potential CSO (to be filled by
authorized official)

A. General Section

Head /National Office Regional Office (if implementing

Office)
Name of CSO/NGO
Acronym (if any)
Name of Director /CEO
Regional Manager
Office Address
Telephone
Cell Number
Fax
E-mail
Web Site

Year of Establishment
Date of Registration
Registration Details (Act/Reg. Number-
Location)
Type of CSO/NGO
Geographic Focus Rural / Urban / Both
Operational Area (s) Nationwide- (Please share details in Annex 1)
Nature of Work (tick more than one, if Service Delivery/ Advocacy/ Research / Capacity
applicable) Building / Others, please specify:

Main Thematic Focus (sub-thematic focus –

please see Annex 2)
Total Annual Budget (Current Year)
Target Group Children/ Women/ Adolescent/Youth/Men
/Minorities/ Vulnerable Groups/ Low income group/
Other; please specify
Funding to other NGOs/CBOs No – If yes, how many
Board Members Men: Women: Other: Total:
Paid Staff (See Section B - Annex 3) Men: Women: Other: Total:

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 Annexes:
Annex 1: Operational Areas of Potential Partner
Annex 2: Sub-thematic focus
Annex 3: HR Strength of the Organization (3.1, 3.2 and 3.3)

Supporting Documents:
Copy of Registration Certificate
Copy of Organogram (If any)

B. Organizational Elements Yes /

No
1. The organization has a clearly articulated mission
2. The organization has clearly stated objectives that accurately reflect its work
3. The organization has a strategic plan document
4. The organization has made an explicit commitment to child rights
5. The organization has an independent board
6. Board membership is diverse and has adequate technical expertise (e.g.,
managerial, technical, legal, financial, etc.)
7. Is any board member on payroll of organization? Or get any benefit (stipend
etc) from organization.
8. Paid managerial staff/ consultant are not relative to the board members.
9. Board members fulfill terms of office according to the organization’s
Constitution/by-laws
10. Board meetings are held on a regular basis in accordance with the
organization’s Constitution/by-laws (as per SECP Rules)
11. Board meeting minutes are duly documented, circulated and approved by
the board members
12. Board and CEO/Director has good understanding and working relationship
13. Governing body appoints the chief executive officer of the organization.

See Section B Annexes:

Annex 4: Governance Structure of the Organization
Annex 5: Current Board Composition of the Organization
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Annex 6: CEO/Director Appointment and Tenure
Annex 7: Board Sub-committees Information

Supporting Documents:
Copy of Vision and Mission of organization
Copy of Strategic Plan document (if any)
Copy of last two board meeting minutes

C. Finance and Administration Yes /

No
1. Does the organization have a manual containing accounting and
operational policies and procedures?
2. Does the organization have a policy on fraud, theft, malfeasance and
misappropriation?
3. Delegation of authorities for the payment, principal approval and
signing to the agreement are defined.
4. Does the organization have appropriate and adequate documents
(vouchers and forms) to record the transactions?
5. Is there a full voucher system?
6. Are the month-end and year end accruals, adjustments and closing
entries made within a reasonable time of the end of relevant period?
7. Are all accounting entries reviewed and approved by designated
individuals at appropriate levels in the organization?
8. Are separate bank accounts maintained for funds received from
different donors / for different projects?
9. Are all bank accounts in the name of the entity?
10. Does the entity have a joint signatory system?
11. Are bank reconciliations prepared for all bank accounts at regular
intervals?
12. Are cash funds kept in safe place?
13. Does the organization use computerized accounting software to
perform its accounting function?

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14. Is access to financial / accounting records restricted?
15. Does the organization have a purchase and procurement policy?
16. Does the policy entails in detail the procedures to be followed in
procurement, receiving, recording and payment and states the
authority and approval limits?
17. Are all substantial purchases based on written requisitions? Are such
requisitions duly approved by the department head or chief executive,
as the case may be?
18. Are properly approved supporting documents presented with cheques
and reviewed by the cheque signatory before signing them?
19. Are purchasing, receiving, invoicing and payment functions handled by
separate individuals?
20. Does the organization has a written fixed assets capitalization policy?
21. Are there properly laid down procedures for acquisition, recording,
maintenance, dispositions and transfers of fixed assets?
22. Are detailed records maintained in the Fixed Assets Register reconciled
at reasonable intervals with the books of accounts?
23. Are the fixed assets / equipment labeled with control number and
records?
24. Is access to financial / accounting record restricted?
25. Is there any Board member who has a reasonable background of
Finance?
26. Does the entity have a Finance Committee or a designated Board
member (Treasurer) to monitor the finance function of the
organization?
27. Does the organization have standard operating document/ procedure?
28. Does the organization fulfill all government regulations on tax
requirements?
29. Are the financial statements, meeting the requirements of the law and
the auditors, generated as a routine from the accounting system (trial
balance) of the entity?
30. Does the organization have a regular internal audit system?
31. Does the organization have a regular external audit system?
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 32. Is the appointment of auditor duly appointed by the Board of
Directors?
33. There is a proper information management system in place that
records software and intellectual assets
34. Administrative procedures and operating manuals exist and are
followed
35. Adequate office space is available for the current level of operations

Annexes:
Annex 8: Financial Details / Contribution of Past and Present Institutional Donors /
Partners
Annex 9: Banking Details
Annex 10: Details of Past 3 Years Budget
Annex 11: Contact Details of Auditors

Supporting Documents:
Copy of Accounting Manual and Procedures with Tools and Templates (if any)
Copy of Policy on fraud, theft malfeasance and misappropriation (if any)
Copy of Fixed Assets Policy (if any)
Copy of Administrative Manual and Procedures with Tools and Templates (If any)
Copy of IT Policy (If any)
Copy of Last audit report (If any)

D. Human Resource Management Yes /

No
1. There is a clear organizational structure with well-defined lines of authority
and responsibility
2. Recruitment, employment and personnel practices are clearly defined and
followed
3. Are the personnel files properly maintained?
4. The organization has document such as a HR manual or Policies
5. The organization’s hiring policies are non-discriminatory

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6. The organization has appropriate annual and sick leave policies
7. The organization has an appropriate maternity and paternity leave policy
8. Performance appraisals for all staff are held every six months
9. Constructive feedback given to staff members, both during performance
appraisals and otherwise
10. There is a system in place to ensure annual salary increases based on
performance and cost of living adjustment
11. Relevant sectoral/programmatic expertise exists within organization
12. Human resource development planning and implementation take place on
a regular basis
13. The HRD plan is based on programmatic needs and strategic objectives
14. Any staff was trained based on the assessment conducted?
15. Job descriptions are clearly defined, documented, updated and respected
16. Grievance and conflict resolution procedures are in place and practiced
Supporting Documents:
Copy of HR Manual or Policy (if any)
Copy of Appraisal form and TNA form (if any)
Copy of Two JDs & Review of personal files

E. Programme Elements Yes /

No
1. The organization has sufficient capacity in project / programme
implementation
2. The organization has a social mobilization strategy
3. The organization has a community development strategy
4. The organization follows Rights Based Approach to Development
5. An M&E system exists that defines and tracks indicators of success and
allows for programme/project modifications during implementation
6. The organization submit timely reports to donor (s), beneficiaries and
other stakeholders
7. The organization networks and shares resources with local, national and
international NGOs and other organizations

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 8. The organization has well-articulated advocacy strategy
9. The organization has experience in printing/publishing posters/
handbills/ brochures/ booklets/ TV Commercials/ radio spots/etc.
10. The organization’s project implementation strategies and plans take
into account existing gender roles and needs and interests of both men
and women
11. The organization has a written gender policy that affirms a commitment
to gender equity

Annexes:
Annex 12: Major Projects undertaken by the Organization (within last 2 years including
current)

Supporting Documents:
Copy of Social mobilization, community development strategy (if any)
Copy of Advocacy strategy (if any)
Copy of List of network/ alliances membership (if any)
Copt of Gender policy and anti-sexual harassment policy (if any)

E.3. Creating Sustainable Livelihood Opportunities Yes /

No
1. Is the organization’s “Vision & Mission” is related to the livelihoods
prevalent in the geographical operational area (local context) of the
organization
2. Has the organization any experience in implementation of livelihood
programme/projects (on-going and past)?
3. Is there any poverty targeting approach adopted by the organization?
4. Is there any specific primary target group of livelihood intervention?
5. Is environment incorporated in the livelihood programme?
6. Does the organization relate its livelihood programme to the right
based approach?
7. Do the organization work in any of the following livelihood sectors (If
your answer is Yes to any below field, please complete the relevant /

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 applicable section below only):
a. Provision of financial service (microfinance, savings, insurance
etc.)
b. Enterprise development
c. Vocational & technical skills training
d. Agriculture, Livestock, forestry and fisheries
e. Cash for Work (CfW)
f. Any other (Describe)
Financial Services (Microfinance):
8. Is the organization currently implementing any microfinance
programme especially the loan/financial products?
9. Does the organization offer savings, insurance any other similar
services?
10. Is the financial services programme supported through the provision of
other support services/training etc?
Enterprise Off-farm livelihoods Development
11. Is the organization currently implementing any enterprise development
programme?
12. Does the organization provide enterprise development training?
13. Does the organization help micro entrepreneurs to establish backward
(purchasing raw material, stock) and/or forward linkages (selling,
marketing & production linkages)?
14. Does the organization improve the technical skills through provision of
technical trainings etc.?
15. Does the organization provide financial service (microfinance/grants
etc.) to support local business?
Vocational training etc.
16. Is the organization currently implementing any vocational training
project or programme?
17. Does the organization have its own training centers/facilities?
18. In addition to technical skill training does the organization provide Life
skills training and business management training?

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 19. Does the organization offer carrier counseling and or job placement to
the target groups?
20. Does the organization provide financial service to the trainees
(microfinance/grants etc)?
Livestock Sector
21. Is the organization currently implementing any livestock project or
programme?
22. Does the organization provide livestock related services to the
communities i.e. Animal husbandry, Veterinary services, Breed improved
(breeding), Training, and Livestock produce processing?
23. Does the organization support livestock farmers groups to establish
market linkages or production linkages?
24. Does the organization train paraprofessionals in the delivery of livestock
services?
25. Are farmers link-up with government livestock production extension
and training services?
26. Does the organization install biogas plants?
Farm management (Agriculture)
27. Is the organization currently implementing any farm management
project or programme?
28. Does the organization focuses on any land-based interventions in the
agriculture sector e.g. Irrigation/water conservation, Farming, Crop
cultivation, Vegetables cultivation, Orchards, Tree plantation,
Agricultural marketing, Integrated pest management , Organic farming,
1

Soil fertility and Nutrient management etc?

29. Does the organization critically consider the environmental impacts of
fertilizer and other farming practices etc?
30. Is value addition of agriculture products at the farmers/village-level
promoted?
Cash for Work (CfW) schemes
31. Is the organization currently implementing any cash for work project or

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 programme?
32. Does the organization undertake any baseline?
33. Does the organization engage communities in the implementation of
the CfW schemes?
34. Does the organization has any procedure (s) and mechanisms (forms)
adopted to manage attendance and payment mechanism during
implementation of the CfW schemes?
Annexes:
Annex 13- E-3-A: Target Group /Beneficiaries & Strategy of their engagement
Annex 13-E-3-B: Thematic Focus & Nature of Project/ Programme Intervention
Annex 13-E-3-C: Working experience with government
Annex 13-E-3-D: Capacity Building experience of diverse stakeholders
Annex 13-E-3-E: Livelihood Programme Staff Profile
Supporting Documents:
Copy of Livelihood strategy (If any)
Copy of List of network/ alliances membership related to Livelihood
Copy of In-house developed training material contents

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