Form 1 CNCS Organizational Assessment Tool

Organizational Capacity Assessment Tool

This tool was developed for the Corporation for National and Community
Service (CNCS) by ICF under contract #CNSHQ16T0073.
Contributing Authors:
Adrienne DiTommaso
Bethany Slater
Joe Raymond
Venessa Marks
Nanette Antwi-Donkor
Trevor Hoffberger
Suggested citation: Corporation for National and Community Service. (2017). Organizational Capacity
Assessment Tool. Washington, DC: Author.
CNCS thanks the following people for serving on a technical working group and advising the authors in
the development of this tool: Isaac Castillo, Robert Cox, Meghan Duffy, and Chukwuemeka Umeh. CNCS
would also like to thank the following staff for their contribution to the development of this tool:
Jennifer Kerner, Lily Zandniapour, Anthony Nerino, Carla Ganiel, Molly Pelzer, and Rob Cox.
CNCS also thanks the many organizations that participated in the pilot testing and validation of this tool.

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Table of Contents
Introduction ................................................................................................................. 3
Key Domains of Organizational Capacity ...................................................................... 3
Using This Tool .............................................................................................................. 5
Leadership Capacity ..................................................................................................... 7
Vision and Mission ........................................................................................................ 7
Leadership and Governance ......................................................................................... 8
Strategy and Planning ................................................................................................... 9
Culture and Values........................................................................................................ 9
Management and Operations Capacity ...................................................................... 11
Financial Management ............................................................................................... 11
Human Resources ....................................................................................................... 12
Infrastructure and Information Technology ............................................................... 12
Community Engagement Capacity.............................................................................. 14
Fund Development ..................................................................................................... 14
Communications and Advocacy.................................................................................. 15
Volunteer Management.............................................................................................. 15
Community Partnerships ............................................................................................ 16
Service Capacity ......................................................................................................... 17
Program Design ........................................................................................................... 17
Program Implementation ........................................................................................... 18
Performance Management ......................................................................................... 18
Evaluative Capacity .................................................................................................... 20
Evaluation Planning..................................................................................................... 20
Data Collection ............................................................................................................ 21
Measuring Outcomes and Impact .............................................................................. 21
Learning and Continuous Improvement ..................................................................... 21
Appendix A – Scoring Rubric....................................................................................... 23
References ................................................................................................................. 26

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Introduction
The Corporation for National and Community Service (CNCS), its State Service Commissions, and
intermediaries work with thousands of direct service providers each year to improve the lives of
American citizens. This tool was created for CNCS grantees and the broader field to assess
organizational capacity to deliver effective services. High-performing organizations typically
have a strong understanding of their organization’s strengths and challenges. This tool provides
a practical method of organizational self-assessment that can be used to acknowledge strengths,
clarify different perceptions, and plan strategies to enhance capacity in identified areas. This
introduction explains the intended use of this tool and highlights the five domains of
organizational capacity assessed by the instrument. For each domain, we offer a brief synopsis
of the research literature on effective practice followed by a series of capacity assessment
questions. Each domain also includes suggested reading and research to build capacity in that
area.

Defining key terms
Organizational effectiveness: The ability of an organization to fulfill its mission through
effective leadership and governance, sound management, and the alignment of
measurable outcomes with strategies, services, resources, and partners.
Organizational capacity: The wide range of capabilities, knowledge, and resources that
organizations need to be effective.
Capacity assessment: The use of a standardized process or formal instrument to assess
facets of organizational capacity and identify areas of relative strength and weakness.
Capacity building: Internal or external strategies that use resources or technical
assistance to strengthen an organization’s capabilities to enhance organizational
effectiveness.
Adapted from Grantmakers for Effective Organizations. (2016). Strengthening nonprofit capacity: Core concepts in
capacity building. Washington, DC: Author.

The goal of this tool is to provide CNCS grantees and the broader field with a research-based
instrument to promote organizational capacity self-assessment. State commissions and
other intermediaries may find this tool particularly helpful in working with subrecipients to
identify capacity strenths and areas for support. The tool is designed to be a conversationstarter within an organization and between organizations engaged in a technical assistance
relationship.

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Key Domains of Organizational Capacity
To develop this tool, CNCS commissioned an extensive review of the research literature on
capacity assessment and analyzed leading and widely used assessment tools available in the
marketplace. In developing the domains and subdomains, CNCS aimed to take a straightforward,
functional approach – using terms common in nonprofit management and organizing the
domains based on typical job functions. CNCS also considered domains and subdomains that
may be particularly important for CNCS-funded organizations, including volunteer management,
community engagement, and evaluative capacity. Figure 1 shows these domains relative to their
internal versus external focus. Leadership and evaluative capacity are overarching domains that
set the strategy for the organization and drive organizational culture. Management and
operations capacity includes more internal functions, while service and community engagement
capacity are primarily externally facing. Each of these domains is described in greater detail in
the following sections of this tool.

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Using This Tool
This tool provides a practical approach to beginning or enhancing an organization’s
understanding of its capacity strengths and areas where its capacity might be enhanced.
Organizational capacity is complex and fluid – it changes over time, and perceptions of capacity
often differ within and across organizations. For this reason, CNCS recommends that
organizations invite multiple individuals within the organization to complete this assessment
and then discuss results – including any differences of opinion. Team members well-positioned
to provide insight on organizational capacity include the chief executive officer (CEO)/executive
director, members of the board of directors (or comparable entity), leadership team members,
and managers. External stakeholders – such as volunteers, partners, or service recipients – can
also provide a valuable perspective on all or sections of this assessment tool. Diversity of
opinion can indicate misunderstandings that can be easily addressed, or it could reveal areas
where there is more work to be done. The tool might also reveal strong areas of capacity to
acknowledge and to be sustained.

How to take this assessment:
Prepare
Identify at least 2-3 individuals within your organization to independently take this
assessment. This could include the CEO, members of the board of directors, leadership
team members, or even well-informed external stakeholders.
Set a deadline for respondents to complete the assessment and schedule a meeting to
debrief your findings and conclusions.
Assess
Take the assessment. Check off any statements that are true for your organization from
your perspective. Note any questions that are not applicable to your organization.
Tally the number of checked statements at the end of each domain and the number of
skipped questions if any were not applicable.
Complete the scoring rubric in Appendix A. Identify the domains where your
organization has the strongest capacity and domains that could benefit from capacity
building.
Reflect
Discuss your conclusions with the larger respondent team. Dig into any areas of
disagreement, seeking to understand and address differences of opinion.
Share your group’s key findings, conclusions, and any action items with the larger staff
and board.

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Appendix A offers a scoring rubric to help you identify domains and subdomains of capacity that
might particularly benefit from capacity-building efforts. To simplify and streamline scoring, all
questions are framed negatively – requiring you to simply check off whether a specific capacity
is a challenge or a gap for your organization.
This tool has been validated for use with a wide variety of organization types: national and local
nonprofits; state, local and tribal governments; institutes of higher education; and funders and
intermediary organizations. If a question is not appropriate for your organization, simply skip
that question and note its exclusion in your scoring calculation.
The tool was also designed to help organizations assess changes to capacity over time. Consider
taking and retaking this assessment on an annual or biannual basis to track how organizational
capacity strengths and needs change over time.
Capacity building takes time and effort. This capacity tool can be a critical first step toward
increasing basic understanding about capacity and prioritizing potential capacity-building
efforts. The suggested resources at the end of each domain section provide a helpful starting
place to learn more about effective practices for organizational development.

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Leadership Capacity

This domain focuses on capacity functions that are typically the responsibility of senior leadership and
executive board members (in the case of nonprofits) to guide or execute. Markers of effective
organizational leaderships include:
Vision and Mission: An organization’s vision and mission statements articulate its sense of
purpose and direction (McKinsey & Company, 2001). Effective vision and mission statements set
parameters for what the organization will and will not do; inspire staff, volunteers, and donors;
and set the basis for strategy (McKinsey & Company, 2001; Paynter & Berner, 2014; Smith,
Howard, & Harrington, 2005).
Leadership and Governance: An organization’s governance model is a critical component for
organizational functioning and sustainability (Liket & Mass, 2015). For nonprofits with executive
boards, clear separation between the board and the organization’s leadership is important, as
are documented roles and responsibilities (Liket & Mass, 2015). Research suggests that
professional diversity, the ability to raise funds, and the size of the board can affect nonprofit
effectiveness. Note: Organizations that do not have an executive board or suitable proxy
should mark that question as not applicable (N/A).
Strategy and Planning: An organization’s vision and mission establish its aspirations, but its
strategy articulates the means for achieving those goals (McKinsey & Company, 2001). Research
has shown that strategic planning – the process of mission review, stakeholder analysis, and
visioning, coupled with the development of resource allocation strategies, boosts organizational
capacity (Bryson, Gibbons, & Shaye, 2001; Paynter & Berner, 2014).
Culture and Values: An organization’s culture affects every aspect of its functioning – from how
leaders interact with the board and staff to how staff members respond to external or internal
challenges. Building a strong values-based culture is a strategic and often difficult process that
must be led and modeled by organizational leadership. Organizational culture is typically divided
into three interrelated components: core values, beliefs, and behavior norms (McKinsey &
Company, 2001). Cultural competency, diversity, equity, and inclusion are critical components of
a strong organizational culture.

Vision and Mission

Instructions: Read each statement and check the box to the left if it is true or mostly true for your
organization. If the question does not apply to your organization (e.g. the question asks about a
governing board practice and you are a school and do not have a traditional governing board or suitable
proxy), check the oval to the right. If the statement is not true for your organization, mark nothing and
proceed to the next question.

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Check
if true

Check
if N/A

1.1

Our vision statement does not describe the future our organization intends to
achieve.

1.2

Our mission statement does not clearly define what we want to achieve and for
whom.

1.3

Not all staff fully embrace or could clearly describe our vision and mission to
individuals who have never heard of our organization.

1.4

Organizational decisions are sometimes not reflective of the mission and vision of
the organization and detract from its fulfillment.

Leadership and Governance

1.5

Our board does not have an adopted set of bylaws that defines its essential
responsibilities and complies with federal and state statutes.

1.6

Our board does not adopt and regularly review an annual set of organizational
strategic goals and measurable outcomes.

1.7

Our board does not adopt an annual budget aligned with its strategic goals and
measurable outcomes.

1.8

Our board does not regularly update and adopt a set of policies to govern the
organization in the areas of finance, human resources, fund development, and
communications.

1.9

Our board does not evaluate the performance of its CEO on regular basis.

1.10 Our board does not evaluate its performance on a regular basis.
1.11 Our board does not have the right mix of skills and expertise to govern the
organization and routinely consider diverse points of view from internal and
external stakeholders.
1.12 The composition of our board does not reflect the community we serve.
1.13 Board members do not have enough knowledge about our organization and
current issues relevant to our organization to make effective policy decisions.
1.14 Few or none of the board members are effective at getting others in the
community to invest time, money, or other resources in our organization.

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Strategy and Planning

1.15 Our organization does not have a written strategic plan 1 that includes a clear,
specific, and measurable set of goals 2 and objectives 3 to ensure success.
1.16 Our organization does not formally share progress on the strategic plan’s goals and
objectives with board and staff members on a regular basis.
1.17 Our organization either did not solicit or did not use external stakeholder input as it
developed its strategic plan.
1.18 Our board either has not reviewed or has not approved the existing strategic plan
in the past 12 months.
1.19 Our organization has too many priorities, and our capacity is insufficient or
stretched too thin to achieve all of our goals.
1.20 Implementation of the action steps in our strategic plan is significantly behind
schedule.
1.21 Our overall strategy is not broadly known and has limited influence over day-to-day
behavior.
1.22 There is a lack of clarity on how to make decisions when priorities come into
conflict with each other.
1.23 Our organization has a history of failing to meet program or organizational goals
and benchmarks.

Culture and Values

1.24 Our organization does not have a common set of basic beliefs and values that are
written, shared broadly, and held by all or the majority of staff.
1.25 Our organization does not provide regular opportunities for staff to express
constructive feedback or concerns to leadership.
1.26 Many staff members are not culturally sensitive with respect to internal
management or delivery of services.

1A

strategic plan is a documented framework that communicates an organization’s goals, sets priorities, and focuses energy on
actions that accomplish those goals (Balanced Scorecard Institute, n.d.).
2
Strategic goals are the realistic and clearly defined outcomes that guide implementation of a program or intervention (The
NCJA Center for Justice Planning, n.d.).
3
Strategic objectives are concrete explanations of how goals will be accomplished and the necessary steps to reach that end
(The NCJA Center for Justice Planning, n.d.).

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1.27 Our organization invests little time or resources in reflection or learning.
1.28 Our organization does not openly embrace diversity of race, ethnicity, class,
gender, sexuality, ability, and other facets of human identity.
1.29 The demographics of our staff do not represent the population it serves.

Domain

Leadership Capacity

Number of True Statements

Number N/A

Optional: Use the space below for reflection. Which particular subdomains were strongest, and
which could use capacity building?

Resources to build leadership capacity
The strategic plan is dead. Long live strategy, by Dana O’Donovan and Noah Rimland
Flower. Stanford Social Innovation Review. January 10, 2013.
Boards that make a difference: A new design for leadership in nonprofit and public
organizations, by John Carver. December 10, 2007.
Trying hard is not good enough: How to produce measurable improvements for customers
and communities, by Mark Friedman. March 8, 2015.

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Management and Operations Capacity

This domain focuses on internal-facing capacities, including the capacity of an organization to manage its
finances; recruit, develop, and retain talent; and maintain critical infrastructure and systems. Markers of
effective management and operations include:
Financial Management: Financial capacity is more than just managing a budget; it is an
organization’s ability to align its financial capital with its strategic plans and mission (Paynter &
Berner, 2014, Misener & Doherty, 2009). Effectively managing resources is critical for mission
fulfillment, yet many capacity assessment studies have revealed that direct service providers are
frequently troubled by insufficient financial management capacity. An effective organization has
the skills and systems necessary, relative to its size and revenue base, for financial planning,
accounting, budgeting, and other activities to ensure financial health.
Human Resources: Human resource capacity is the ability to effectively recruit, manage, develop,
and retain staff within an organization. Researchers have argued that this ability is the key
element that directly affects all other organizational capacities, and it is often seen as a strength
in nonprofit and voluntary organizations (Hall et al., 2003; Misener & Doherty, 2009). Staff
structures and roles are often used to approximate organizational maturity, with more
developed organizations having more specialized and defined staff functions (Schuh & Leviton,
2006). Effective organizations have policies and procedures for staff recruitment, management
and supervision, development and training, succession planning and leadership development,
compensation, and staff retention.
Infrastructure and Information Technology: Infrastructure refers to the tangible property or
goods staff members need to do their jobs. Effective organizations have sufficient infrastructure
to facilitate their day-to-day functions. As organizations become more dependent on technology
to operate, many struggle to ensure that they have the right systems in place, that they can
adequately maintain those systems, and that staff members have adequate training to use
information technology (IT) systems such as databases, websites, hardware, and software.

Financial Management

Instructions: Read each statement and check the box to the left if it is true or mostly true for your
organization. If the question does not apply to your organization (e.g. the question asks about a
governing board practice and you are a school and do not have a traditional governing board or suitable
proxy), check the oval to the right. If the statement is not true for your organization, mark nothing and
proceed to the next question.
Check
if true

Check
if N/A

2.1

Our organization does not have an up-to-date fiscal policy and procedures manual.

2.2

Our organization does not compare actual with budgeted expenses each month.

2.3

Our operations plan and annual budget do not align with our current strategic plan.

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2.4

Our organization rarely reforecasts year-end revenue and expenses to assist
management decision-making.

2.5

Our organization does not effectively manage its finances (e.g., it does not have
balanced books, appropriate internal controls, on-time accounts payable, or an
adequate reserve fund, or it has year-over-year deficits).

Human Resources

2.6

Our organization does not have written human resource policies that have been
approved by the board and explained to staff.

2.7

Staff members are not given constructive feedback from managers or supervisors
on a regular basis.

2.8

Our organization does not routinely assess workloads to ensure adequate
resources are available to meet performance objectives.

2.9

Our organization does not have an adequate total compensation system, 4
including salary standards, retirement benefits, health care benefits, and systems
for bonuses, awards, or recognition of high performance, that is on par with
similar organizations.

2.10

Our organization does not fill open positions with highly qualified applicants in a
timely manner.

Infrastructure and Information Technology

2.11 Our organization does not have the right facilities (e.g., space, equipment, or office
supplies) to implement our programs and achieve our mission.
2.12 Our organization does not have sufficient expertise (on staff or through volunteers
or consultants) to effectively and efficiently run and manage our technology
systems.
2.13 Our staff members do not have the necessary hardware (e.g., computers) and
software (e.g., word processing systems and database systems) to do their jobs
consistently, efficiently, and effectively.
2.14 Important data and files are not backed up at least once a month.

4Total

compensation is a holistic model of employee payment that incorporates both monetary compensation (such as base
pay, performance-based pay, and bonuses) and nonmonetary compensation (such as health care benefits, trainings, and
retirement benefits) (Sharpe, 2016).

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Domain

Management and
Operations Capacity

Number of True Statements

Number N/A

Optional: Use the space below for reflection. Which particular subdomains were strongest, and
which could use capacity building?

Resources to build management and operations capacity
Managing to change the world: The nonprofit manager’s guide to getting results, by Alison
Green and Jerry Hauser. 2012.
An executive director’s guide to financial leadership, by Kate Barr and Jeanne Bell. The
Nonprofit Quarterly. Fall/Winter 2011.
Financial management for human service administrators, by Lawrence Martin. May 5,
2016.

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Community Engagement Capacity

This domain is primarily external facing, focusing on an organization’s capacity to draw on strategic
relationships with funders, community partners, corporations, media, and individuals to access
resources and expertise and to leverage time and in-kind contributions. Markers of effective community
engagement include:
Fund Development: The lack of core, stable, long-term funding is often noted as the greatest
challenge to the development of organizational capacity (Hall et al., 2003). Uncertainties about
future funding and constraints on how funds can be used can have a significant impact on the
ability of an organization to plan strategically – or to execute those plans (Misener & Doherty,
2009). Organizations that are mature in their fund development capacity have provisions for
covering overhead costs and routine or formal fundraising activities (such as annual campaigns
or events) and have a diverse or strategic array of funding sources (Schuh & Leviton, 2006).
Communications and Advocacy: Increasingly in the digital age, effective and transparent
communications are considered essential to nonprofit effectiveness (Liket & Mass, 2015).
Communications capacity includes marketing skill, online presence, media relations, and use of
social media to raise awareness, advocate, and attract resources to the organization or issue
(Grantmakers for Effective Organizations, 2016b). Transparency is often judged by posting the
organization’s strategic plan and annual and financial reports online and by providing a list of
executive board members on the organization’s website (Liket & Mass, 2015).
Volunteer Management: Many small community-based nonprofits, as well as larger
organizations, rely on volunteers to deliver services or cover other essential staff functions. For
some small community-based organizations, the commitment of volunteers can be more
important than other capacity areas, such as infrastructure (Paynter & Berner, 2014). Effective
volunteer management requires the development and execution of effective recruitment,
screening, training, and retention strategies.
Community Partnerships: Partnership capacity includes the skills and mindset to create and
sustain relationships with peer organizations, government, corporations, and other key
stakeholders to advance the organization’s mission (Grantmakers for Effective Organizations,
2016b). Many direct service providers rely on organizations with complementary services to
meet the needs of their clients. Volunteer-based organizations often heavily rely on
corporations or religious organizations to help recruit volunteers or provide in-kind donations.

Fund Development

Instructions: Read each statement and check the box to the left if it is true or mostly true for your
organization. If the question does not apply to your organization (e.g. the question asks about a
governing board practice and you are a school and do not have a traditional governing board or suitable
proxy), check the oval to the right. If the statement is not true for your organization, mark nothing and
proceed to the next question.

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Check
if true

Check
if N/A

3.1

Our organization would shut down or dramatically reduce services if it lost 1-2
key funders.

3.2

Our organization has difficulty identifying or cultivating new funders.

3.3

Our organization has insufficient discretionary funds independent of projectspecific or restricted funds.

3.4

Our organization does not have a viable fundraising plan that was developed
within the past 12 months.

Communications and Advocacy

3.5

Our organization does not have an up-to-date external communications
strategy 5 that addresses crisis communications, marketing, and public relations.

3.6

Our organization has outdated communications tools and messages.

3.7

Our materials or website do not reflect the quality of our organization.

3.8

Our organization has limited or no social media presence.

3.9

Our organization leaders are rarely asked by other community or nonprofit
leaders to provide leadership, knowledge, or advice on community-level issues.

Volunteer Management

3.10 Our organization does not have a written volunteer recruitment and
management plan.
3.11 Our organization often fails to recruit the volunteers it needs to provide
essential services.
3.12 Our organization struggles to retain volunteers.
3.13 Volunteers often do not know who is managing them.
3.14 Volunteers often do not understand their role in the organization.
3.15 Volunteers do not always receive the resources, support, and training they
need to do their jobs.
3.16 Our organization often struggles to recruit the right mix of volunteers (e.g., with
the right skills, availability or with backgrounds that reflect the community).

5A

communications strategy is a document that establishes the objectives, audiences, messages, resources, responsibilities, and
measures for an organization’s outreach. The objectives in a communication strategy should be segmented by target audience
(Hovland, 2005).

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Community Partnerships

3.17 Our organization spends insufficient time meeting, interacting, and collaborating
with community members, program participants, and leaders for the purpose of
learning about what is going on in the community.
3.18 Our organization has limited engagement in partnerships because of a lack of
awareness or an inability to take advantage of real partnership opportunities.
3.19 Our organization has spent so much time on partnership work that it interferes
with our ability to implement important goals.
3.20 Our organization has focused efforts on partnership work or networking that is
not aligned with our mission.
3.21 Our organization has not assessed the results of key partnerships, alliances, or
participation in networks.

Domain

Community Engagement
Capacity

Number of True Statements

Number N/A

Optional: Use the space below for reflection. Which particular subdomains were strongest, and
which could use capacity building?

Resources to build community engagement capacity
Ten nonprofit funding models, by William Foster, Peter Kim, and Barbara Christiansen.
Stanford Social Innovation Review. Spring 2009.
Twenty-first-century communications versus the illusion of control: An epic battle, by Ruth
McCambridge. Nonprofit Quarterly. August 27, 2014.
Working better together: Building nonprofit collaborative capacity, by Grantmakers for
Effective Organizations. 2013.
Management of human service programs, by Judith A. Lewis, Thomas R. Packard, and
Michael D. Lewis. August 15, 2011.

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Service Capacity

This domain focuses on the capacity of the organization to design research-informed programs, monitor
and support quality implementation, and make course corrections as needed. Markers of service
effectiveness include:
Program Design: Programs are more likely to produce reliable, positive outcomes for their clients
if they use evidence-based practices and have a clearly articulated logic model or theory of
change (Easterling & Metz, 2016). A critical element in strong program design includes taking
steps to understand and document relevant community and individual-level needs and assets.
Community needs assessment, asset mapping, and focus groups with potential clients and key
stakeholders are all strategies that can assist organizations in designing (or refining) programs
that are responsive to client needs and the larger community environment (Sharpe, Greaney,
Lee, & Royce, 2000).
Program Implementation: Program implementation is more effective and sustainable if it is
documented, monitored, and well-coordinated with other program or organizational functions.
Policy and procedure manuals provide evidence of a structured, step-by-step approach to
programming and are an essential knowledge and risk management tool (Paynter & Berner,
2014). Coordination across functional teams or other interagency programs can keep programs
from operating in isolation and reduce inefficiencies. Finally, monitoring fidelity to policies and
practices or to evidence-based programs (if applicable) is essential to ensure that programs
provide the intended services (Easterling & Metz, 2016).
Performance Management: Similar to evaluative capacity, performance management capacity
focuses on the organization’s ability to identify, collect, and monitor key performance indicators
(KPIs) directly related to service provision. These KPIs are typically program activities and
outputs that provide real-time input on program implementation and client participation
(Parmenter, 2015).
Note: if your organization runs multiple programs, be sure to align with your colleagues also taking
the assessment on which program(s) you are focusing on as you complete the questions.

Program Design

Instructions: Read each statement and check the box to the left if it is true or mostly true for your
organization. If the question does not apply to your organization (e.g. the question asks about a
governing board practice and you are a school and do not have a traditional governing board or suitable
proxy), check the oval to the right. If the statement is not true for your organization, mark nothing and
proceed to the next question.
Check
if true

Check
if N/A

4.1 Our organization does not have a clear understanding of how our resources and
strategies will result in our intended outcomes.

17

4.2 Our program design is not grounded in the best and most recent research literature
available.
4.3 National service members or volunteers are not explicitly included as a component
in our logic model or theory of change.
4.4 Our organization has minimal knowledge or understanding of other program models
in our field.
4.5 Our organization’s clients or participants do not provide input or feedback on our
program design or implementation.
4.6 Our organization does not conduct regular assessments of client needs.
4.7 Our new programs are created largely in response to funding availability rather than
client needs or community service gaps.

Program Implementation

4.8

Policy and procedure 6 documents are out-of-date or insufficient to provide staff
guidance on current program practices.

4.9

Insufficient financial or staffing resources are allocated to ensure strong program
implementation.

4.10 Not all of our program staff has the required knowledge, experience, or skills to
implement our program in a manner that will achieve the greatest positive effect.
4.11 Staff members with different roles rarely have the time to meet and share their
work, coordinate their work, or develop ideas for working together.
4.12 Program leadership does not regularly monitor fidelity to program design 7 or
adaptations 8 made to implementation.
4.13 Staff members do not have a clear understanding of the program logic model 9 or
the relationship between implementation and expected outcomes.

Performance Management

4.14 Our program does not have clearly defined key performance indicators. 10
4.15 Key performance indicators are not reviewed and discussed by organizational or
program leadership at least biannually.

6

Policy and procedure documents define how an organization operates and provide guidance on program-specific practice
(NCVO Knowhow Nonprofit, 2016).
7
Fidelity is the “extent to which delivery of an intervention adheres to the protocol or program model originally developed”
(Mowbray, Holter, Teague, & Bybee, 2003). Providing consistent services is important for evaluating impact and making
adjustments.
8
Program adaptations are data-driven changes to implementation to ensure sustainability and effectiveness (Center for Public
Health Systems Science, n.d.).
9
A logic model is a visual and written depiction of the inputs and activities that will result in the desired outputs and outcomes
(W.K. Kellogg Foundation, 2004).
10
A key performance indicator is a quantifiable performance measurement that indicates the effectiveness of a program or
organization in achieving its goals (Jackson, 2015).

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4.16 Internal performance data are rarely used to improve the program or organization.
4.17 Our organization rarely or never compares our program performance with
comparable programs run by other organizations.

Domain

Service Capacity

Number of True Statements

Number N/A

Optional: Use the space below for reflection. Which particular subdomains were strongest, and
which could use capacity building?

Resources to build service capacity
Within our reach: Breaking the cycle of disadvantage, by Lisbeth B. Schorr. March 23, 2011.
Designing and managing programs: An effectiveness-based approach, by Peter Kettner,
Robert Moroney, and Lawrence Martin. January 20, 2016.

19

Evaluative Capacity

This domain focuses on the capacity of an organization to gather data, measure impact, and assess
lessons learned to strengthen the organization’s work over time. Markers of evaluative capacity include:
Evaluation Planning: Organizations with strong evaluative capacity develop a systematic plan for
evaluation activities with the full engagement and support of senior management (Bourgeois &
Cousins, 2013). Execution of the evaluation plan can be the responsibility of internal evaluators
and staff or external consultants.
Data Collection: The capacity to collect quality data is often indicated by clear data collection
protocols that identify who is collecting what data, when, from whom, and for what purpose
(Grantmakers for Effective Organizations, 2016b). Without high-quality data collection, the
value of the analysis is questionable.
Measuring Impact: Organizations are best positioned to measure their impact if they use
validated or research-based outcome assessment tools that align with their service intervention
and their short- and long-term intended outcomes (Grantmakers for Effective Organizations,
2016b). Programs that participate in quasi-experimental or randomized control trials will have a
better understanding of the degree that client outcomes can be attributed to organization
intervention.
Evaluation Use, Learning, and Continuous Improvement: Organizations that maximize their
learning from evaluation activities and use that information to drive continuous improvement
tend to share similar characteristics: (1) they openly and widely share evaluation findings with
internal and external stakeholders, (2) they link the evaluation process to other organization
decision-making processes, and (3) they recognize the value of empirical data in decision-making
and problem-solving (Bourgeois & Cousins, 2013).

Evaluation Planning

Instructions: read each statement and check the box to the left if it is true or mostly true for your
organization. If the question does not apply to your organization (e.g. the question asks about a
governing board practice and you are a school and do not have a traditional governing board or suitable
proxy), check the oval to the right. If the statement is not true for your organization, mark nothing and
proceed to the next question.
Check
if true

Check
if N/A

5.1 Within the past three years, our organization has not developed or not revisited a
systematic plan that defines the purpose of our evaluation efforts and our
methodology, outlines our evaluation activities, and establishes clear
responsibilities.
5.2 Our senior leadership does not prioritize evaluation and does not routinely
dedicate resources to it.

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5.3 Our organization has not engaged an internal or external experienced evaluator to
design or implement an evaluation plan.
5.4 Our organization dedicates insufficient resources for evaluation.

Data Collection

5.5

Our organization does not have clear protocols 11 for data collection.

5.6

Our organization does not provide regular staff training on how to use data
collection protocols.

5.7

Our organization does not have sufficient or effective data collection systems. 12

Measuring Outcomes and Impact

5.8 Our organization does not internally evaluate the effects of our programs.
5.9 The questions in our evaluation instruments 13 are not clearly stated.
5.10 The questions in our evaluation instruments are not in-line with our proposed
methods of evaluation and program design.
5.11 Our organization has not participated in a high-quality external evaluation, such as
a quasi-experimental study 14 or a randomized control trial, 15 to assess the degree
that the results can be attributed 16 to the program intervention.

Learning and Continuous Improvement

5.12 Staff members across the organization have low levels of knowledge about
evaluation and its benefits.

11Data collection protocol is the systematic procedure through which individuals and organizations collect, maintain, secure,
and use data. Protocols ensure that evaluations are effective and valid (Faculty Development, 2005).
12Data collection systems, typically using computer-based software, aggregate and analyze sets of data in an efficient manner
(Techopedia, n.d.).
13
An evaluation instrument is a questionnaire or survey that assesses knowledge gain or behavior change in a group of program
participants (Rutgers University, n.d.).
14A quasi-experimental study compares outcomes for individuals receiving an intervention with outcomes for comparable
individuals not receiving that intervention (Moore, 2008).
15A randomized control trial randomly assigns individual participants to either a control or treatment group to measure the
impact of an intervention on specific outcomes (Himmelfarb Health Sciences Library, n.d.).
16For results to be attributed to program interventions, a causal relationship must exist between them, effectively ruling out
other variables as the primary cause (Australian Bureau of Statistics, 2013).

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5.13 Our organization does not openly and widely share evaluation findings with key
stakeholders. 17
5.14 Our organization makes limited use of internal evaluation data to make decisions
regarding organization strategy or fiscal allocations.
5.15 Our organization makes limited use of external research to make decisions
regarding organization strategy or fiscal allocations.
5.16 Our organization has no systematic evaluation recommendation follow-up
process.

Domain

Evaluative Capacity

Number of True Statements

Number N/A

Optional: Use the space below for reflection. Which particular subdomains were strongest, and
which could use capacity building?

Resources to build evaluative capacity
The challenge of organizational learning, by Katie Smith Milway and Amy Saxton. Stanford
Social Innovation Review. Summer 2011.
Building a strategic learning and evaluation system for your organization, by Hallie Preskill
and Katelyn Mack. 2013.
Collective genius, by Linda Hill, Greg Brandeau, Emily Truelove, and Kant Lineback.
Harvard Business Review. June 2014.
Building evaluation capacity: Activities for teaching and training, by Hallie Preskill and
Darlene Russ-Eft. September 15, 2015.

17Key

stakeholders are individuals or organizations that share an interest in the program’s success. Stakeholders can be funders,
partners, community members, participants, board members, or volunteers (The Denver Foundation, n.d.).

22

Appendix A – Scoring Rubric

Once you have completed the assessment, complete this scoring rubric to identify the areas of greatest
strength and need within your organization. This rubric will allow you to reflect on the various aspects of
your organization to drive capacitybuilding efforts. A copy of the
domain diagram is included for
reference.
The table below displays each of the
5 domains examined through the
assessment. To complete the rubric,
follow these steps for each domain
row:
1. Tally the number of boxes
checked within each domain
and record it in the Number
of Checks column.
2. Tally the number of
questions marked as ‘Not
Applicable’ and record it in
the Total Applicable
Questions Column. Subtract this number from the total number of questions in each domain to
determine your “Total Applicable Questions” count.
3. Divide the Number of Checks by the Total Applicable Questions.
4. Convert the answer into a percentage and write that number in the Percentage column.

Domain

Leadership Capacity

Number of
Checks

Total
Applicable
Questions*

29 - ___ = ___

Management and Operations
Capacity

14 - ___ = ___

Community Engagement Capacity

21 - ___ = ___

Service Capacity

17 - ___ = ___

Evaluative Capacity

16 - ___ = ___

Percentage

*Subtract the total number of questions skipped in each domain because of inapplicability from the total number of
questions.

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After completing the table above, briefly reflect on your results in the space provided. By identifying
your strongest domains and the areas of greatest need, you will be better equipped to prioritize capacity
building efforts.
Which domain(s) within your organization do you feel are strongest, based on your assessment results?
1. Domain: ______________________________________
Use this space for thoughts and reflections about this domain. What is your organization doing well?

2. Domain: ______________________________________
Use this space for thoughts and reflections about this domain. What is your organization doing well?

Which domain(s) show the greatest need for capacity building? These gaps can represent possible focal
points for strategic planning, technical assistance, or staff training. The Resources to build capacity
section at the end of each domain can support your exploration.

1. Domain: ______________________________________
Use this space for thoughts and reflections about this domain. Where specifically could your organization grow, and
what resources may be helpful?

2. Domain: ______________________________________
Use this space for thoughts and reflections about this domain. Where specifically could your organization grow, and
what resources may be helpful?

24

Be sure to discuss your initial conclusions with colleagues and board members who have also completed
the assessment to explore areas of alignment and differences in perspective. The team should be
prepared to summarize the group’s conclusions and share recommendations on next steps with the
larger staff and board. If your organization is working with a technical assistance provider or consultant,
share your findings and work together to identify capacity building priorities and next steps.

Using your assessment findings
Acknowledge and celebrate capacity strengths.
Explore and resolve differences of opinion on capacity needs across team members or
stakeholders.
Discuss findings with your board, leadership, or management team.
Gather additional information about your identified gaps in capacity.
Invite an external resource in to a board or staff meeting to discuss specific areas of
capacity building.
Prioritize needs and develop plans to build capacity to address those needs.

25

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