Discussion-Oriented Organizational Self-Assessment (DOSA)
A Quick Peek at DOSA's Six Capacity Areas and 13 Success Factors



Breaking down an organization's "core capacities" provides a richer understanding of what skills, based principally on technical skills and human resource development, are fundamental for an institution in the sustainable pursuit of a stated goal.

Capacity strengthening is ideally something that institutions do for themselves. This assessment tool, based on the work of Beryl Levinger and Evan Bloom, provides a structure for gathering information with the goal of facilitating resourcefulness, harnessing local commitment, and building internal capacity.

Capacity Areas
Success Factors
  1. External Relations
  2. Financial Resource Management
  3. Human Resource management
  4. Organizational Learning
  5. Service Delivery
  6. Strategic Management
  1. Fundraising Diversification
  2. Fundrising Efficiency
  3. Governance
  4. Information Sharing
  5. Mission Focus
  6. Monitoring and Evaluation
  7. Organizational Sustainability
  8. Personnel Administration
  9. Programme Quality
  10. Programme Realignment
  11. Staff Optimization
  12. Staff Stability
  13. Stakeholder Participation

 CAPACITY AREA ONE: EXTERNAL RELATIONS

Items in this section of DOSA focus on communications with constituency (including donors) and the general public; outreach to relevant policymakers; relationships with the private business sector; diversification of financial support; as well as fundraising capacity, performance and efficiency.

Organizations scoring highly in this category would tend to be characterized as having well developed, timely, results-oriented communications with groups essential to mission accomplishment; a well defined, consistent effort to influence public policy related to mission; innovative linkages with the private business sector; diversified financial support; and a fundraising effort that is efficient and effective in generating organizational resources.

Organizations scoring poorly in this category would be characterized as having limited or ineffective communications with groups essential to accomplishment of mission; limited or no outreach to policy-makers whose work is related to organizational mission; limited or no linkages with the private business sector; reliance on a very small number of funders; and a fundraising effort that is inefficient and ineffective in generating organizational resources.

  • communications with constituency (including donors) and the general public
  • outreach to relevant policymakers
  • relationships with the private business sector
  • diversification of financial support
  • fundraising capacity, performance and efficiency

A NGO/PVO scoring high in ER has:

  • well developed, timely, results-oriented communications with groups essential to mission accomplishment
  • a well defined, consistent effort to influence public policy related to mission
  • innovative linkages with the private business sector
  • diversified financial support
  • a fundraising effort that is efficient and effective in generating organizational resources

CAPACITY AREA TWO: FINANCIAL RESOURCE MANAGEMENT

Items in this section of DOSA focus on procedures and practices to maintain an appropriate balance between expense and revenue; budgeting; accuracy and utility of financial reports; management of cash flow and maintenance of appropriate levels of cash reserves; and, procurement practices.

Organizations scoring highly in this category would be characterized as agile in avoiding deficit operations; highly prone to allocate financial resources in ways that support strategic priorities and overall mission; highly competent in generating accurate and timely financial reports that support managerial decision-making; consistent in making efforts to maintain adequate reserves and cash on hand to meet organizational needs; and consistent in applying regularized procedures to organizational procurements.

Organizations scoring poorly in this category would be characterized as frequently operating with little regard for the relationship between expenses and revenue; highly prone to allocate financial resources in ways that are unrelated to strategic priorities and overall mission; highly unlikely to generate accurate and timely financial reports to support managerial decision-making; inconsistent in their efforts to maintain adequate reserves and cash on hand to meet organizational needs; and inconsistent in applying regularized procedures to organizational procurements.

  • procedures and practices to maintain an appropriate balance between expense and revenue
  • budgeting
  • accuracy and utility of financial reports
  • management of cash flow and maintenance of appropriate levels of cash reserves
  • procurement practices

A NGO/PVO scoring high in FR is:

  • agile in avoiding deficit operations
  • highly prone to allocate financial resources in ways that support strategic priorities and overall mission
  • highly competent in generating accurate and timely financial reports that support managerial decision-making
  • consistent in making efforts to maintain adequate reserves and cash on hand to meet organizational needs
  • consistent in applying regularized procedures to organizational procurements

CAPACITY AREA THREE: HUMAN RESOURCE MANAGEMENT

Items in this section of DOSA focus on staff development; staff deployment; recruitment; compensation (salary and benefits); personnel evaluation; opportunities for professional advancement; grievance and conflict resolution; and supervisory practices.

Organizations scoring highly in this category would be characterized as having regular staff training; adequate staff in terms of numbers and skills; human resource practices that significantly contribute to staff retention, accomplishment and morale; and supervisory practices that contribute to the professional development of staff.

Organizations scoring poorly in this category would be characterized as having little or no ongoing staff development; staffing patterns that are inadequate to accomplish assigned tasks; human resource practices that weaken staff retention, accomplishment and morale; and, supervisory practices that are more punitive than developmental.

  • staff development
  • staff deployment
  • recruitment
  • compensation (salary and benefits)
  • personnel evaluation
  • opportunities for professional advancement
  • grievance and conflict resolution
  • supervisory practices

A NGO/PVO scoring high in HR has:

  • regular staff training
  • adequate staff in terms of numbers and skills
  • human resource practices that significantly contribute to staff retention, accomplishment and morale
  • supervisory practices that contribute to the professional development of staff

CAPACITY AREA FOUR: ORGANIZATIONAL LEARNING

Items in this section of DOSA focus on flow of information (horizontal and vertical); quality, timeliness, and utility of shared information; the degree to which information is used to improve organizational performance; support for effective teamwork; participatory management practices; and staff meeting practices.

Organizations scoring highly in this category would be characterized as having their internal communications flow in multiple directions; internally generated information accessible to those who need it that is timely, useful and accurate; a culture that successfully promotes the identification of lessons learned to improve organizational performance; highly effective deployment of teams to resolve organizational issues; highly participatory management practices; and highly productive staff meetings.

Organizations scoring poorly in this category would tend to be characterized as having a one-way, top-down communication flow; a culture that does not support or encourage the systematic gathering of lessons learned to improve organizational performance; poor or infrequent deployment of teams to resolve organizational issues; autocratic management practices; and ineffective staff meetings.

  • flow of information (horizontal and vertical)
  • quality, timeliness, and utility of shared information
  • the degree to which information is used to improve organizational performance
  • support for effective teamwork
  • participatory management practices
  • staff meeting practices

A NGO/PVO scoring high in OL has:

  • internal communications that flow in multiple directions
  • internally generated information accessible to those who need it that is timely, useful and accurate
  • a culture that successfully promotes the identification of lessons learned to improve organizational performance
  • highly effective deployment of teams to resolve organizational issues
  • highly participatory management practices
  • highly productive staff meetings

CAPACITY AREA FIVE: SERVICE DELIVERY

Items in this section of DOSA focus on stakeholder roles (in relation to such functions as assessing needs; designing projects; implementing projects; monitoring projects; and, assessing project impact); monitoring and evaluation practices; project sustainability (cultural, economic, political, environmental, and institutional); and the quality of technical support to field projects.

Organizations scoring highly in this category would be characterized as having high levels of involvement by stakeholders (including those traditionally under-represented in development decision-making) in project design, implementation and assessment; strong monitoring and evaluation systems; highly sustainable development activities; and high quality technical support for field operations.

Organizations scoring poorly in this category would be characterized as having low levels of involvement by stakeholders (including those traditionally under-represented in development decision-making) in project design, implementation and assessment; weak or erratic monitoring and evaluation practices; development activities that are not likely to be sustainable; and, poor, erratic or minimal technical support for field operations.

  • stakeholder roles in relation to such functions as assessing needs; designing projects; implementing projects; monitoring projects; and, assessing project impact
  • monitoring and evaluation practices
  • project sustainability (cultural, economic, political, environmental, and institutional)
  • the quality of technical support to field projects

A NGO/PVO scoring high in SD has:

  • high levels of involvement by stakeholders (including those traditionally under-represented in development decision-making) in project design, implementation and assessment
  • strong monitoring and evaluation systems
  • highly sustainable development activities
  • high quality technical support for field operations

CAPACITY AREA SIX: STRATEGIC MANAGEMENT

Items in this section of DOSA focus on strategic planning practices; governance practices; organizational commitment to mission, goals, and philosophy; capacity to adapt to changes in the external environment; and strategic partnering.

Organizations scoring highly in this category would be characterized as using strategic planning to "refit" the organization to its environment in an ongoing fashion; a system of governance that contributes significantly to the accomplishment of organizational mission; a pattern of managerial decision-making that is highly consistent with mission, goals and philosophy; and a well developed network of strategic partnerships with other organizations.

Organizations scoring poorly in this category would tend to be characterized as engaging in little or no strategic planning to "refit" the organization to its environment; a system of governance that makes little or no contribution to the accomplishment of organizational mission; a pattern of managerial decision-making that is highly inconsistent with mission, goals and philosophy; and a nascent or minimal network of strategic partnerships with other organizations.

  • strategic planning practices; governance practices;
  • organizational commitment to mission, goals, and philosophy
  • capacity to adapt to changes in the external environment
  • strategic partnering

A NGO/PVO scoring high in SM has:

  • a history of using strategic planning to "refit" the organization to its environment in an ongoing fashion
  • a system of governance that contributes significantly to the accomplishment of organizational mission
  • a pattern of managerial decision-making that is highly consistent with mission, goals and philosophy
  • a well developed network of strategic partnerships with other organizations

A QUICK PEEK AT DOSA'S THIRTEEN SUCCESS FACTORS

 SUCCESS FACTOR ONE: FUNDRAISING DIVERSIFICATION

The items in this category focus on diversification of funding sources, including private, corporate, foundation, public sector and multilateral donors.

Organizations with high scores in this area would be characterized as having, or actively pursuing, a broad donor base. Such organizations are likely to be experiencing an overall increase in the level of financial support from each of the above sources.

Alternately, low scoring organizations would tend to rely on a very narrow funding base that is either stagnant or even decreasing in terms of both overall levels of funding and number of donors.

  • diversification of funding sources

A NGO/PVO scoring high in FD has:

  • fundraising practices that help ensure a broad donor base

SUCCESS FACTOR TWO: FUNDRAISING EFFICIENCY

Items in this category focus on the average size of contributions from each of five donor categories (private individuals, corporations, foundations, governmental units, and multilaterals), the organization's expense-to-revenue fundraising ratio, and the timeliness of reports to donors.

Organizations with high scores in this area would be characterized as receiving contributions of increasing size in each of the donor categories and as having a declining fundraising ratio (less money spent to raise one dollar of support) as captured through routine monitoring. Timely submission of financial and narrative reports builds donor confidence.

Low scoring organizations in this category would tend to have stagnant or decreasing contributions in each of the five categories. They would also be characterized as having poor fundraising monitoring practices and increasing fundraising ratios. Reporting to donors is often tardy, negatively affecting donor confidence.

  •  average size of contributions from private individuals, corporations, foundations, governmental units and multilaterals
  • fundraising ratio
  • reports to donors

A NGO/PVO scoring high in FE has:

  • fundraising practices that help ensure contributions of increasing size from a variety of donors

SUCCESS FACTOR THREE: GOVERNANCE

Items in this category focus on the degree to which an organization's board of directors has contributed to the following areas: fund raising; public relations; advocacy; financial oversight; policy definition; strategic directions setting; and representing key constituencies.

Organizations with high scores in this category would be characterized as having an active board which participates and contributes competently in carrying out the functions noted.

Low scoring organizations in this category would be characterized as having a board of directors that is insufficiently involved in providing leadership and direction in the organization. Inadequacies may be related to one or more areas of board responsibility.

  • the role of an organization's board of directors

A NGO/PVO scoring high in GV has:

  • a board of directors that contributes competently to a variety of financial, public relations and strategic planning functions
  • a board that provides leadership and direction in the organization

SUCCESS FACTOR FOUR: INFORMATION SHARING

Items in this section focus on flow of information (horizontal and vertical) as well as the quality, timeliness, and utility of shared information.

Organizations scoring highly in this category would be characterized as having their internal communications flow in multiple directions; internally generated information accessible to those who need it that is timely, useful and accurate; and a culture that successfully promotes the identification of lessons learned to improve organizational performance.

Organizations scoring poorly in this category would tend to be characterized as having a one-way, top-down communication flow; ineffective or erratic sharing of important information; and a culture that does not support or encourage the systematic gathering of lessons learned to improve organizational performance.

  • internal flows of information
  • quality, timeliness and utility of shared information

A NGO/PVO scoring high in IS has:

  • multi-directional flows of timely and accurate information
  • an organizational culture that promotes sharing lessons learned

SUCCESS FACTOR FIVE: MISSION FOCUS

Items in this category focus on the organization's ability to communicate its mission to stakeholders and the general public, and on how closely the allocation of funding reflects organizational priorities. This category also examines the commitment of front-line workers, senior managers, field staff and board members to the organization's mission, goals and philosophy, as reflected in their decisions.

Organizations with high scores in this category would be characterized as having regular communication with stakeholders and the general public about mission and objectives. These organizations are likely to allocate funding in ways that reflect organizational priorities and have front-line workers, senior managers, field staff and board members who routinely reflect organizational mission, goals and philosophy when making decisions.

Low scoring organizations in this category would be characterized as failing to adequately communicate their mission to relevant policy makers, institutions, constituencies and the general public. These organizations do not always allocate resources in ways that reflect the organization's mission and may have members who are unaware of organizational goals and philosophy or who do not consider their actions and the consequences of their actions in relation to the organization's mission, goals and philosophy.

  • the organization's ability to communicate its mission to stakeholders and the general public
  • how closely allocation of funding reflects organizational priorities
  • the commitment of an organization's staff to its mission, goals and philosophy

A NGO/PVO scoring high in MF has:

  • regular communication with stakeholders and the general public about mission and objectives
  • allocation of funding that reflects organizational priorities
  • staff that understand and reflect organizational mission in their actions

SUCCESS FACTOR SIX: MONITORING AND EVALUATION

Items in this category focus on the use of monitoring and evaluation activities to track progress and assess impact. Also included is the organization’s ability to examine itself in relation to its external environment, ensure consonance between activities and organizational goals, and track progress made in achieving goals.

Organizations with high scores in this category would be characterized as having monitoring and evaluation practices that produce useful feedback on the progress, outcomes and impacts of projects, and enhance local organizational capacity. These organizations also regularly examine themselves in relation to the external environment, exhibit a high level of consonance between their activities and larger organizational goals, and regularly and effectively track their progress in achieving these goals.

Low scoring organizations are likely to engage in limited monitoring and evaluation, either internally or externally. Furthermore, these organizations do not contribute optimally to local organizational capacity-building and often lack the ability to track their own progress in achieving larger organizational objectives. Finally, organizational activities may not effectively represent or further the organization’s objectives.

  • use of monitoring and evaluation activities to track progress and assess impact
  • capacity to track progress toward organizational objectives
  • capacity to monitor and adapt to changes in the external environment

A NGO/PVO scoring high in ME has:

  • monitoring and evaluation practices that produce useful feedback on project outcomes and impacts
  • practices that enhance local organizational capacity
  • routine examination of organizational activities and goals in relation to the external environment

SUCCESS FACTOR SEVEN: ORGANIZATIONAL SUSTAINABILITY

This section examines internal administrative and strategic partnering practices related to the continued sustainability of the organization. Also included is the degree to which staff have the appropriate skills and correct numbers to achieve mission.

Organizations scoring very highly in this category would be characterized as having a well-developed network of strategic partnerships with other organizations, including appropriate linkages with the private business sector, and utilizing these partnerships to achieve strategic objectives. Human resources are not stretched so thin as to hinder achievement of the organization's mission. Internal financial management practices and procedures are effective in ensuring the most effective use of resources and preventing financial and operational disruptions.

Low scoring organizations in this category would tend to have only a minimal network of strategic partnerships with other organizations or limited linkages with the private business sector. Internally, it may be that too few people are filling too broad a range of positions, or that staff does not fully possess the required skill for their positions. Internal financial management practices and procedures are either erratically applied or ineffective in preventing financial and operational disruptions and resources may not be used to their fullest potential.

  • internal administrative and strategic partnering practices
  • the degree to which staff have appropriate skills and correct numbers to achieve mission

A NGO/PVO scoring high in OS has:

  • a well-developed network of strategic partnerships
  • adequate staff in terms of numbers and skills
  • effective procedures to prevent financial and operational disruptions

SUCCESS FACTOR EIGHT: PERSONNEL ADMINISTRATION

Items in this category focus on personnel administration with respect to seven areas: recruitment; compensation; evaluation; promotion; grievance and conflict resolution policies; allocation of duties; and supervision. Of concern is how these areas effect employee behavior, and the supervisor's role in meeting organizational objectives.

Organizations with high scores in this category would be characterized as having personnel practices that contribute to good employee and supervisor performance. Specifically, activities would reward and acknowledge employees for work well done, as well as offer opportunities for growth and improvement within the organization.

Low scoring organizations in this category would be characterized as having a personnel administration system that is less than productive. Activities may lead staff to feel underrepresented and powerless, or create an antagonistic atmosphere between management and employees. Consequently, the organization is not as efficient as it could be.

  • recruitment
  • compensation
  • evaluation
  • promotion
  • grievance and conflict resolution
  • allocation of duties

A NGO/PVO scoring high in PA has:

  • personnel practices that contribute to good employee performance
  • activities that reward work well done and offer growth opportunities within the organization

SUCCESS FACTOR NINE: PROGRAM QUALITY

Items in this category focus on five aspects of project sustainability: environmental, economic, political, institutional and cultural as well as technical support to the field. Also included is the timeliness of disbursement of funds.

Organizations with high scores in this category would be characterized as having highly sustainable development activities. Specifically, activities would have no negative impact on the environment; would be easily accommodated by existing laws, policies and political institutions; and would fit within the framework of existing cultural norms, values and practices. Additionally, institutions created through project activities and recurrent costs associated with project activities would be viable over the long term. Furthermore, organizations scoring very highly in this category would be characterized as having effective cash management procedures to ensure the timely disbursement of funds. They would also be characterized as providing consistently high quality technical support to the field.

Low scoring organizations in this category would be characterized as having development projects that may not be very sustainable over the long-term. Some of their activities might well be environmentally harmful, politically and culturally inappropriate, or institutionally and economically unfeasible. Additionally, fund disbursement tends to be erratic and often tardy. Technical support to the field may be inconsistent, unresponsive or inappropriate.

  • project sustainability (cultural, economic, political, environmental, and institutional)
  • timeliness of disbursement of funds

A NGO/PVO scoring high in PQ has:

  • highly sustainable development activities
  • cash management procedures which lead to the timely disbursement of funds

SUCCESS FACTOR TEN: PROGRAM REALIGNMENT

Items in this category focus on the modification of programs and practices in response to changes in the organization's external environment and feedback from stakeholders.

Organizations with high scores in this category would be characterized as using information from a variety of sources, such as feedback from constituents and the general public, data on program priorities, strategic planning exercises and internal financial reports, to realign programs to adapt to a changing environment or a shift in constituents' needs.

Low scoring organizations in this category would be characterized as lacking well developed mechanisms for gathering information on and responding to changing external conditions.

  • modification of programs and practices in response to changes in the external environment

A NGO/PVO scoring high in PR has:

  • the ability to use information from a variety of sources to adapt to a changing environment or changing constituents' needs

SUCCESS FACTOR ELEVEN: STAFF OPTIMIZATION

Items in this category focus on staff training: how often it is offered; and the degree to which it contributes to the achievement of the organization's objectives. Also included is the effectiveness of staff meetings, and whether or not staff receive feedback on progress toward organizational objectives. Additionally, this category examines team building among members from all levels of the organization.

A high scoring organization would be characterized as using its human resources to the best of its abilities. Specifically, appropriate training is being offered and utilized. Staff generally participate in planning and decision-making, meetings are productive and contribute to organizational learning, and teamwork is effectively used to enhance the organization's ability to meet its objectives.

Low scoring organizations in this category would be characterized as having limited human resource capacity. This could mean that the staff is not fully capable of providing the required skill for their positions because of lack of appropriate training or a lack of appropriate participation in decision-making. These organizations may also exhibit ineffective teamwork and inefficient staff meetings.

  • staff training
  • support for effective teamwork
  • staff meeting practices

A NGO/PVO scoring high in SO has:

  • regular staff training that contributes to the professional development of staff
  • effective deployment of teams to resolve organizational issues
  • productive staff meetings

SUCCESS FACTOR TWELVE: STAFF STABILITY

Items in this category focus on the degree to which recruitment, compensation, evaluation, promotion, grievance policies, allocation of duties, and supervision contribute to and promote staff continuity and stability.

Organizations with high scores in this category would be characterized as generally having human resources/personnel practices that encourage continuity and stability of staff. These practices promote a stable environment that allows employees to focus on their work to achieve the organization's mission. There is not a lot of employee turnover, which disrupts operations.

Low scoring organizations in this category would be characterized as having limited staff stability or continuity. Specifically, high turnover rates or loss of key personnel may limit the efficiency of a program or damage the credibility of the organization.

  • recruitment
  • compensation (salary and benefits)
  • personnel evaluation
  • opportunities for professional advancement
  • grievance and conflict resolution
  • staffing
  • supervisory practices

A NGO/PVO scoring high in SS has:

  • human resource practices that significantly contribute to staff retention, accomplishment and morale

SUCCESS FACTOR THIRTEEN: STAKEHOLDER PARTICIPATION

Items in this category focus on the role of stakeholders, including traditionally under-represented participants (e.g., women, ethnic minorities, and the rural poor) in the areas of needs assessment, project design, project implementation, project monitoring and impact assessment.

Organizations with high scores in this category would be characterized as including stakeholders in a variety of activities related to the design, implementation and evaluation of projects, and as having a high level of participation from traditionally under-represented stakeholders in the areas listed above.

Low scoring organizations in this category would be characterized as failing to sufficiently engage stakeholders, especially traditionally under-represented stakeholders in these activities.

  • stakeholder roles in relation to such functions as assessing needs; designing projects; implementing projects; monitoring projects; and, assessing project impact

A NGO/PVO scoring high in SP has:

  • high levels of involvement by stakeholders (including those traditionally under-represented in development decision-making) in project design, implementation and assessment



Return to the NGO Page


Comments and suggestions:
Hari Srinivas - hsrinivas@gdrc.org