CAPACITY ASSESSMENT

TOOL FOR COMMUNITY

BASED ORGANIZATIONS
(CBO)

PROPOSED TO THE IFDC/CATALIST

PROJECT

AUTHORED BY TIM MUZIRA, REGIONAL ADVISER

ON ASSOCIATION BUILDING, IFDC/CATALIST
PROJECT

JANUARY 2008
Table of Contents
Overview ..................................................................................................................................................- 3 -
What is this tool? .....................................................................................................................................- 3 -
How can this tool be used? .....................................................................................................................- 4 -
How to organize a visit with a community organization?....................................................................- 4 -
How to facilitate a discussion? ...............................................................................................................- 4 -
Starting a discussion?..............................................................................................................................- 5 -
Conducting the analysis? ........................................................................................................................- 5 -
How to document the discussion? .........................................................................................................- 6 -
How to follow-up the assessment? ........................................................................................................- 6 -
A. Organization profile ................................................................................................................................ 7
B. Leadership, governance, and strategy...................................................................................................9
C. Finances ................................................................................................................................................. 11
D. Administration and human resources.................................................................................................13
E. Project design and management..........................................................................................................15
F. Technical capacity .................................................................................................................................17
G. Networking and advocacy ....................................................................................................................20

-2-
 IFDC/CATALIST CAPACITY ASSESSMENT TOOL

Overview
The CATALIST (Catalyze Accelerated Agricultural Intensification for Social and
Environmental Stability in Central Africa's Great Lakes Region) project is a 5-year regional
initiative, which seeks to reinforce peace and environmental stability in Central Africa’s Great
Lakes Region (CAGLR). The project is based on the premise that peace in the region is
dependent upon economic growth and market opportunity. Likewise, economic growth and
market opportunity are dependent on adoption of agricultural intensification methodologies
that promote increased productivity and maintain or improve the natural resource base.

The International Fertilizer Development Center (IFDC) and HELPAGE, a regional non-
governmental organization (NGO), began implementing the project in October 2006 with
financing from the Royal Netherlands Embassy in Rwanda. The project is to contribute to the
peace process and environmental stability by focusing on two integral components:
(1) accelerate agricultural intensification and (2) improve the resource base for agriculture
through labor-intensive works such as road improvements and agro forestry. HELPAGE is
responsible for the implementation of the second component through its subcontract with
IFDC.

The CATALIST project was initially designed to be implemented in five countries: Burundi, Eastern
Democratic Republic of Congo, Rwanda, Tanzania, and Uganda. However, on April 9, 2008, the
Royal Netherlands Embassy (RNE) informed the CATALIST project Chief of Party (COP) that no
satellite offices would be needed in Tanzania and Uganda, as a result of discussions at the Dutch
Embassies in Dar Es Salaam and Kampala. The project’s activities in Tanzania and Uganda would
therefore be limited to regional trade. The project’s implementation area is presented below:
Table 1. CATALIST Project Geographical Areas

What is this tool?

This tool can be used with community based organizations to identify capacity-building needs, plan
CATALIST Project Geographical Areas
Country All Areas HIMO Work Areas
Provinces of Ngozi, Kirundo, Kayanza province: Muruta-Kabarore site
Burundi Kayanza, Makamba, and Bujumbura Kirundo province: Kirundo commune
rural Ngozi province: Mwumba commune
Democratic Territories of Uvira, Kabare, Northeast zone in Beni
Republic of Walungu, Masisi, Rutshuru, Lubero, Rutshuru zone (Jomba and its surrounding area) and
the Congo and Beni Kitchanga
(DRC) Zone surrounding Bukavu (Katana and Mudaka)
Districts of Musanze, Gicumbi, Western province: Rusizi and Nyabihu districts
Rwanda Nyagatare, Bugesera, Nyanza, Northern province: Musanze district
Nyamagabe, Nyabihu, and Rusizi Southern province: Nyamagabe district
Tanzania Regions of Kigoma and Kagera
Districts of Kisoro, Kabale,
Uganda Ntungamo, Mbarara, Rukungiri,
Kasese, and Bushenyi

-3-
any technical support needed by the organization, and monitor to evaluate the impact of capacity-
building support to be provided by the IFDC/CATALIST project.

How can this tool be used?

This tool is designed to facilitate group discussions between members of community organizations
and external facilitators providing capacity-building support. Alternatively, the tool may be self-
administered by the implementing community organization (opérateur de proximité). The profile
section has questions that can be asked to establish a basic description of the organization. There
are seven further sections relating to specific areas of capacity.

How to organize a visit with a community organization?

If working as external facilitators (IFDC/CATALIST is a FACILITATOR), there should be a team of two
people, with roles assigned from the beginning so that one person facilitates and the other
documents the analysis. A meeting should be arranged with five to ten members who represent
different levels within the organization and include a balanced gender mix.

The process should take about four hours. Arrange a convenient time and location for the meeting.
Check how far members and volunteers will have to travel to attend the meeting and if they need to
be recompensed for this. Refreshments may also need to be provided, not only during the meeting
but also to sustain people for their journey home. (This is just a suggestion but one will have to put it
into context depending on each country where IFDC/CATALIST operates)

How to facilitate a discussion?

The facilitator is central to the success of the session. This may be someone external, or someone
from within the organization who takes on the role of facilitator for the meeting. The facilitator
holds a very powerful position in a meeting. To impose her or his own views is to abuse that power.
Facilitators should only ever encourage, clarify, or help expand other people’s views.

General responsibilities of the facilitator also include:

 Ensuring that everyone (including less confident or less dominant members e.g.
women and young people) contributes to the discussion and not all questions are
answered by the leaders of the organization.
 Ensuring the discussion remains focused on the questions. Do not let people get
distracted by side issues or become embroiled in details or an ongoing
disagreement.
 Generating discussion and interaction, probing for further information, and asking
the group to respond to each other’s views (using questions such as, “What do the
others feel about that?”).
 Encouraging critical reflections and guarding against the group tendency to provide
only positive responses.
 Ensuring that everyone understands all language used. Participants may not be
familiar with some terms like ‘mission’, ‘technical skills’, book-keeper’, etc.

-4-
Starting a discussion?
 Introduce yourself and ask everyone to introduce themselves and their roles.
Document people’s roles to ensure there is a variety of people form across the
organization.
 Explain that the main purpose of the meeting is not to find out information from
them, but to enable participants to discuss and decide how to improve the way their
organization works, for their own benefit.
 Make a contract about time – the process should take about four hours (this is the
maximum it can take!). Use regular breaks to ensure people stay engaged when
participating in the discussion.

Conducting the analysis?

The assessment is a tool for starting discussions and for keeping discussions focused by returning
back to the series of questions in the tool.
 If all participants have a high level of literacy, it may help to provide copies of the
tool for participants to follow during the discussion. If some participants find the
language difficult, they may be disadvantaged in comprehending the written tool,
and oral translation and discussion may be better.
 The profile provides questions to help describe the organization. To save the
group’s time, this should be completed with the help of key members of the
organization, before the group meeting. If time is limited, consider splitting up
participants into two smaller groups and discussing different sets of questions with
each group.
 In each capacity section, ask the open-ended question first. The group’s response
may help answer some of the specific questions, but use the specific questions and
suggested responses to ask the group where they would rate the organization on a
scale from 1 to 4.
 The suggested responses should be used in an informative way. Participants may
ask for explanations and even challenge the assumptions in the tool. This
encourages participants to reflect critically on the way they work and what needs to
change.
 For organizations with very low or limited capacity, the answers to certain
questions may be obvious (e.g. if it has its own office or computer). These questions
could be completed by the facilitator without asking participants, to avoid repetition
or the risk of discouraging a group with low capacity. The judgment of the facilitator
is important in deciding which questions to ask and how to ask them.
 At the end of each section, ask the group if the discussion has made them think of
any improvements or changes that could be made to the way they work. Try to come
to an agreement on any specific actions or plans. Consider or suggest any external
technical support that might be needed, such as additional resources, further advice,
or training materials and literature.

-5-
How to document the discussion?
Start by getting consent for documentation to take place and explain how the information will be
used and by whom. Explain if a report will be written, and how copies will be shared with them.
Also remember to:
 Record the main points of the discussion as they are made, on a flipchart if available
or otherwise in a notebook.
 Summarize key actions agreed at the end of each section.
 Ask questions to clarify when necessary.
 Try to write up notes and flipcharts into a report as soon as possible after the
meeting.

How to follow-up the assessment?

At the end of the meeting, go back to the objectives discussed, ask participants if they have found
the process useful and how it could be improved. Before finishing, discuss how the assessments will
be followed up with next steps, including:
 Who will document and share the final report? For example, would it be useful to
share the report with other partners of the organization e.g. donors, support
providers, or community organizations facing similar challenges?
 How will agreed actions and plans be implemented? For example, who will take
responsibility for they and how will they be monitored?
 How can technical support be provided? For example, are there useful publications
or training resources that can be obtained for the organization? Are there
organizations or people who could provide advice or share experiences with
participants?
We hope to learn from lessons as this tool is used, and incorporate any suggestions or
improvements in future versions of the tool. Any comments or feedback from users should be sent
to tim@ifdc.org.

-6-
A. Organization profile
Organization profile details
1. Name/Title of Community Based Organization (CBO) 2. When was it established

3. What type of CBO are you?

Association
Cooperative
Private business
Other

4. Contact details of the CBO

Name and contact details, including mailing address, telephone/fax numbers, and email, if available

Is there access to:

email
internet
CD-ROM
Telephone
Cellular phone
Postal mail
What is the preferred way of receiving information?

5. Locations where the CBO works

7
6. Staff and structure
Who manages the CBO? How many full-time staff, part-time staff, and volunteers? What are their roles?
Does it have a technical advisor? If so, who?

7. Overview of CBO’s work

With whom does the CBO work? What activities does it conduct? Estimate how many people it reaches with different activities.

8. Key achievements and main challenges

Key highlights/successes of the CBO’s work; main problems/issues it faces.

9. Sources of funding
Financial, material, or in-kind support received from a) within the community; b) outside the community.

10. Future plans

What are immediate needs/priorities? Does the CBO have any plans to scale up? If so, how?
If the CBO received more funding, how would they use it?

11. Date and name of person completing profile

8
 B. Leadership, governance, and strategy
How do you select leaders, make important decisions, and resolve conflict within the organization?
Question Capacity score
1 2 3 4
1. Constitution Do you have a written No constitution Some Written Written constitution
constitution accepted and rules/principles constitution exists approved by
approved by all the written down but wasn’t widely representatives of the
members of the approved community and
organization? organization

2. Governing Do you have a No committee, Committee Occasional Regular

committee/boar committee/board that no meetings established, but it meetings, but meetings(quarterly),
d meets and makes decisions never meets rarely agree on with useful guidance
that guide your any decisions and decisions made
organization’s for the organization
development?
3. Mission and Do you have a mission and No clear Can describe the Mission and/or Mission and values
values set of values which are mission/values mission/values of values written were agreed by all
clearly understood, agreed the organization, down long ago, stakeholders, and are
and approved by all the but they have but few people regularly used to
members of the never been agreed were consulted or guide decisions about
organization? If so, how are or written down understand them projects and activities
they used? now
4. Association What is the level of No A limited number Committee Committee members
building understanding among understanding of CBO members members have a and other selected
members of the association at all have some good leaders in the
or cooperative on the understanding but understanding on organization have
reasons of coming together don’t know the the reasons of actually received
as a group, the policy Rwandan coming together training on
implications, etc? legislation as a group and the association building,
regarding benefits community
associations or associated mobilization on policy
cooperatives herewith issues, etc.

9
Capacity-building needs

Plans for action or change

Suggestions for technical support

10
 C. Finances
How does the organization plan and manage its finances and budget?
Question Capacity score
1 2 3 4
1. Finances Does your No accounts kept Records kept of Accounts kept up- Balances and
organization keep money received and to-date and statements
accounts of money spent, but difficult balances and prepared quarterly.
that can be presented to know much statements are At year end,
on demand? money is held at any prepared at the presented to
one time end of the year external
stakeholders for
approval

2. Bank account Does your Organization has Someone’s personal Bank account A manual record of
organization have a no bank account account used for any registered in all payments
bank account to hold but manages all funds organization’s (cashbook) is kept
its funds? funds in cash name, which and compared with
requires dual (or all bank statements
specific
authorized)
cheque signatories

3. Supporting Do you maintain No – Receipts/invoices Receipts/invoices All receipts/invoices

documents supporting receipts receipts/invoices are needed to justify are needed to and other
and invoices for every are only asked for expenses justify any use of supporting
expenditure? when claiming or sometimes, but grant money and documents filed for
using money to rarely kept on file these are kept on three years, and
justify expenses file, but rarely regularly reviewed
reviewed by by authorized
anyone person

11
4. Budgets and cash Does your Budgets are Budgets are Budgets are Every six months
flow planning organization prepare, prepared for prepared to decide presented budgets are
monitor, and review a every proposal how much to spend annually for compared to money
budget? but not used for on all project and approval to a already spent and
anything else organization costs, board or planned cash flow,
to ensure there is representative to make sure there
enough money for group of members will be enough cash
all future plans to keep the
organization
running

5. Reporting Do you provide No experience of Reports are Some reports get Reports always
requirement accurate financial having to submit submitted, but submitted on time submitted on time
reports on time to donor reports always late and with but are often and always meet all
donors? incomplete incomplete or get donor requirements
information queried by the
donor
Capacity-building needs

Plans for action or change

Suggestions for technical support

12
 D. Administration and human resources
How do you organize for your work?
Question Capacity score
1 2 3 4
1. Staff/volunteer Does your Fewer than five Five to fifteen One full-time staff One to two full-time staff
organization organization involve a volunteers run the volunteers with person is paid a are paid salaries, and
number of salaried entire organization different roles, salary and organizes volunteers all have
staff and volunteers some who all the other different, fixed areas of
who have different lead/manage the volunteers responsibility
areas of organization
responsibility?

2. Staff and How do you ensure No meetings or Few meetings. Occasional meetings Regular
volunteer that staff and trainings. Low skill Volunteers sent to share lessons and meetings(monthly),
development volunteers support levels, as for training only support each other. training and team-
and motivate each volunteers only do occasionally Training is provided building activities to
other and have basic work informally and keep staff and volunteers
sufficient skills? externally motivated

13
3. Office and Does the organization No office, no Occasional access Office and Own office and
equipment have its own office, equipment to another office equipment(computer equipment(computer
meeting space and and equipment plus printer) shared plus printer)
equipment for with another
handling organization or
administration and individual
writing reports? What
equipment does the
organization have?

Capacity-building needs

Plans for action or change

Suggestions for technical support

14
 E. Project design and management
How do you develop, manage, and evaluate you projects?
Question Capacity score
1 2 3 4
1. Activity Does the organization Organization mainly Occasional short- All the organization’s Annual plans are always
development plan the development responds to term planning, e.g. ongoing activities are developed and agreed with
and planning of its activities, immediate needs, major events or normally planned in community members,
involving all people with little planning monthly activities advance with all staff volunteers, staff, and
concerned? and volunteers board(if one exists)

2. Project and Are you satisfied with Organization Funding has been Funding has been Funding received for at
proposal the quality of the responds to received for one received for at least least two proposals
development projects you develop? immediate needs, successful one successful developed internally in the
with no project proposal mainly proposal in the last last three years, each with
framework or developed by an three years written needs assessments, activity
funded proposals outsider and developed within plans, and budgets
the organization

3. Targeting What type of people Always try to reach Work with Work with specific We seek out people who
do you try to reach the entire whoever we can, groups of vulnerable are especially vulnerable
with your activities? community but try to take people(e.g. orphans, or affected by certain
care of the more or women-headed conditions such as
vulnerable people households) HIV/AIDS, conflict, etc and
together with them design
our work relevant to their
needs

15
4. Monitoring Does your No – organization Organization Organization has an M&E system is
and valuation organization have a does not do mainly responds M&E system, is documented and data is
‘M&E’ functioning M&E monitoring and to immediate collecting data on an used to inform
system? evaluation for any of donor requests for on-going basis and is management decisions,
its activities M&E data, ad hoc, reporting to donors and to provide feedback to
with little the community
planning

Capacity-building needs

Plans for action or change

Suggestions for technical support

16
 F. Technical capacity
What experience does the organization already have in soil fertility and agricultural development work?
Question Capacity score
1 2 3 4
1. Soil fertility and Does the A few people in the Staff and volunteers Rural development Rural development
agricultural organization train organization know know the skills issues well understood issues well
development all its staff and basic facts about soil needed for their tasks in the area of understood, staff and
knowledge and volunteers in fertility, agricultural operation, but volunteers trained
skills general intensification and members get no for the work they do
knowledge and rural development in regular training and often provide
the technical general training and support
skills necessary to to others
do their duties
well?
2. Value chain Does the Is not a marketing Is in the process of Has developed an Has
development organization act entity, members becoming a marketing integrated marketing
as a marketing prefer selling their entity but still allows approach for its
entity for products and/or its members to sell members
products and/or services individually their products and/or
services for its responding to services on the best
members demand and supply market price

17
3. Education and How do you create Do not use any Use some printed Use materials or Develop or adapt
Sensitization messages to raise materials, tools or pictures or posters to activities aimed at own materials and
awareness or activities illustrate messages specific groups with ensure their
change people’s and keep the attention specific messages, effectiveness by pre-
thinking? of a group sometimes developed testing or involving
within the targeted groups in
organization the production
process

4. Gender What is the No understanding Some understanding Have changed the way Always analyze how
understanding of on gender equality the organization works gender is affecting
your staff and and equity issues to ensure women get vulnerability women
members equal participation, to access to services
understand on and benefit from its within the
gender? activities community, and
respond with
appropriate
strategies

5. Integrating How do you Have not begun to Have added some Have identified how Have modified all
HIV/AIDS into core identify and look at specific HIV-specific activities core activities can be core programs with
activities respond to the impact of HIV/AIDS to existing work (e.g. changed to help strategies to help
challenges of HIV awareness minimize risk of minimize risk of
HIV/AIDS in your sessions, condom infections or address infections or reduce
core activities (or distribution, etc.) the extra impact of impact. We might
non-HIV specific HIV/AIDS on the also do some add-on
work)? community, but still HIV specific
mainly just do add-on activities
HIV work

18
6. Land issues What do staff and No understanding Some limited Understand about Actively use
members understand that people’s rights on the explanations of the
understand about people have rights land, but not sure how law and people’s
the relationship that should be to use rights in the rights to help inform,
between people’s protected vis-à-vis work or to help others defend or protect
rights and legal land they own or are vulnerable people,
protection as far using for agricultural or to advocate to
as land ownership or other farming others e.g. the police
is concerned? activities.
Capacity-building needs

Plans for action or change

Suggestions for technical support

19
 G. Networking and advocacy
What relationship does your organization have with other local, national and international players in rural development, and how do you work
together to influence others?
Question Capacity score
1 2 3 4
1. Advocacy Do you carry out Haven’t thought about Have only mobilized Have developed Have done convincing
advocacy activities to local policies or general public for targeted activities evidence-or
influence those in conditions. Little or no support or towards certain consultation-based
power to change targeted advocacy awareness raising, groups or policies but advocacy, mobilizing
conditions or work done in the past but nothing targeted have lacked evidence, allies and using many
policies that form at key people or community voice, or different
barriers to your institutions in strength of numbers communication
work ? power methods

2. Broader Does your Work in isolation. No Some knowledge of Understand national Have effective
context and organization work knowledge of local local government and local policies and partnerships working
potential with local policies, strategies, or policies and of other strategies of other together, sharing
partnerships government, private, work of others local organizations organizations working resources or referring
or community who are mainly seen in similar sectors. clients to local
organizations? as ‘competitors’ Have personal contacts government, private,
with a few other or community
relevant organizations
people/organizations
Capacity-building needs

Plans for action or change

Suggestions for technical support

20
 H. Community ownership and accountability
What roles do members of the community play in the organization and how does the organization communicate with the community?
Question Capacity score
1 2 3 4
1. Involvement of Does the community No people Some people act as Community is fully Some training and
beneficiaries and participate in the involved volunteers but in represented in decision- policies exist to
other community activities, work, and no paid/decision- making/paid roles and prevent discrimination
members in the major decisions of the making roles are on the governing and to allow full
activities, work, organization? board/committee participation for
and major ownership and
decisions of the accountability of the
organization organization

2. Involvement of Do vulnerable people Don’t Work with People from specific Vulnerable people are
vulnerable people and other identify particular vulnerable groups are fully involved
in the activities, disadvantaged groups particular vulnerable people involved throughout the throughout
work, and major (widows, demobilized, vulnerable as volunteers but organization as paid organization;
decisions of the displaced and people none are in staff and on the vulnerable groups of
organization returnees) participate paid/decision- governing people are involved in
fully in the activities, making roles board/committee designing projects and
and major decisions of are widely consulted
the organization? on major decisions

Capacity-building needs

Plans for action or change

Suggestions for technical support

21