CEPF - Civil Society Tracking Tool

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Instructions

Building a civil society constituency for conservation is a specific goal of CEPF. Therefore, CEPF has developed a specific tool to enable monitoring of this goal. The Civil Society Tracking Tool (CSTT) aims to monitor civil society organizations' capacity to effectively plan, implement and evaluate actions for biodiversity conservation. This capacity can be determined by five major factors:

the human resources that it has available;
the financial resources that it has;
its management systems, which ensure that available resources are translated into effective actions;
its strategic planning, which ensures that these actions target conservation priorities; and
its delivery, which ensures that these actions effect change.

How should the tracking tool be used?

The CSTT is intended to be applied at the beginning and the end of your grant. The CSTT is a self-assessment tool to be filled by a small group of your organization's staff and/or board members, selected to represent the variation in gender, roles and responsibilities. It may be advisable to use an external facilitator (perhaps one member of the Regional Implementation Team) the first time that the tool is used.

For all questions, the group conducting the assessment is asked to select the statement that best describes the situation within the organization. For statements with multiple conditions (e.g. "The organization has a defined organizational structure with clear lines of authority and responsibility. Job descriptions exist for all staff positions"), the group should only select the statement if all of these conditions are met; otherwise, it should select the previous statement. A note box is provided for each question, to give your group an opportunity to keep track of what justified your choice. Filling in these note boxes is not a requirement but could help you when you complete a subsequent assessment.

Options to save and resume

Consider that completing the CSTT online may take you about one hour. If you work online and are unable to complete the assessment in one session, the system functionality allows you to save your work and return to it at a later time. To do so, select the Save and Resume option at the top or bottom of the page. You will be prompted to enter your email address and create a password. You will then receive an email with a link to your CSTT so that you can resume. Alternatively, you may find it easier to download the Excel form and work on it offline with your colleagues. You can then transfer the information from Excel to the online form when you are finished. The Excel version of the CSTT, along with other CEPF tracking tools, are available here in multiple languages.

Name of Organization

Date of this CSTT Assessment

Facilitator(s) (if any)

Name of Facilitator

Organization

Position

Assessment Group

Name of Assessor

Position within organization

Part 1 - Assessment Form (Human Resources)

1.1 Staff Numbers: Which statement best reflects the situation within the organisation?

There are no paid staff.Staff numbers are so low that they are a serious impediment to the effective functioning of the organisation.Staff numbers are below the level required for effective delivery of the organisation's mission but not so low that they are a serious impediment to the effective functioning of the organisation.Staff numbers are sufficient for the effective delivery of the organisation's mission. At least 60% of staff are project staff or otherwise on short term contracts. Staff numbers are sufficient for the effective delivery of the organisation's mission. Less than 60% of staff are project staff or otherwise on short term contracts.

1.1 Notes

1.1 Score

1.2 Staff Experience: How many years of combined experience relevant to their positions do the staff of the organisation have?

Less than 10 years10 to 50 years51 to 100 years101 to 200More than 200 years

1.2 Notes

1.2 Score

1.3 Staff Skills: Which of the following skills can be demonstrated (in terms of graduate-level qualifications or at least 2 years' practical experience by the organisation's staff)? Note: 0.5 point for each.

Ability to manage the implementation of projects.Ability to manage an organisation.Ability to set priorities for conservation action.Ability to conduct a participatory appraisal with local stakeholders.Ability to conduct biological surveys/research with conservation applications.Ability to develop a Geographical Information System (GIS).Ability to communicate conservation messages.Ability to advocate changes to public policy.

1.3 Notes

1.3 Score

1.4 Human resources development: Which statement best reflects the situation within the organisation?

The organisation has no human resources development strategy, and provides no mentoring or training for staff.The organisation has no human resources development strategy, a few staff are provided with some mentoring or training on an opportunisitic basis.A human development strategy is in place, the organisation provides occasional (at least annual) mentoring or training for most of its staff.A human development strategy is in place, the organisation budgets resources for it, and most of its staff receive regular (at least semi-annual) mentoring or training in skill areas relevant to their positions.A human development strategy is in place, the organisation budgets resources for it and actively fundraises for them, and all staff receive regular (at least semi-annual) mentoring or training in skill areas relevant to their positions in accordance with annual performance appraisals.

1.4 Notes

1.4 Score

1.5 Volunteers: Which statement best reflects the situation within the organization?

The organisation does not currently have any volunteers.The organisation has one or more volunteers but they do not have clearly defined terms of reference (TORs) or workplans.The organisation has one to four volunteers, with clearly defined terms of reference (TORs) or workplans.The organisation has at least five volunteers with clearly defined TORs and workplans.The organisation has at least five volunteers with clearly defined TORs and workplans, and receiving structured training/ mentoring from other staff.

1.5 Notes

1.5 Score

Total Score - HR

Part 2 - Assessment Form (Financial Resources)

2.1 Total Financial Resources: Which statement best describes the financial resources of the organisation?

The organisation has no secured financial resources.Secured financial resources are so low that they are a serious impediment to the effective functioning of the organisation.Secured financial resources are below the level required for the effective delivery of the organisation's mission but not so low that they become a serious impediment to the effective functioning of the organisation.Secured financial resources are sufficient for the effective delivery of the organisation's mission in the short term (one to three years) but sufficient funding to meet medium-term (three to five years) costs has not been secured.Secured financial resources are sufficient for the effective delivery of the organisation's mission in the short term to medium-term ( one to five years).

2.1 Notes

2.1 Score

2.2 Diversity of funding sources: Which statement best reflects the situation within the organisation?

All of the organisation's funding comes from a single source.The organisation's funding comes from at least two sources but a single source accounts for more than 80%.The organisation's funding comes from at least three sources with no one source providing for more than 60%.The organisation's funding comes from at least five sources with no one source providing for more than 40%.The organisation's funding comes from at least ten sources with no one source providing for more than 20%.

2.2 Notes

2.2 Score

2.3 Fundraising Capacity: Which statement best describes the fundraising capacity of the organisation?

The organisation is unable to prepare projected proposals without significant external assistance.The organisation is able to prepare projected proposals with realistic goals and objectives but requires significant external assistance to formulate measurable indicators and develop logical frameworks.The organisation is able to prepare projected proposals with realistic goals, objectives and measureable indicators but requires significant external assistance to develop logical frameworks.The organisation is able to prepare projected proposals with realistic goals and objectives, measureable indicators and well developed logical frameworks but has limited capacity to respond to tenders.The organisation is able to prepare projected proposals with realistic goals and objectives, measurable indicators and well developed logical frameworks, and responded to and won many tenders.

2.3 Notes

2.3 Score

2.4 Sustainability strategy: Which statement best reflects the situation within the organisation?

The organisation has not begun to develop any sustainable financial strategy.The organisation has developed or is in the process of developing a sustainable financial strategy but has not taken any steps to implement it.The organisation has adopted a sustainable financial strategy and has begun to develop at least one long term financing mechanism (e.g. endowment fund, real estate, commercial enterprise, etc).The organisation has adopted a sustainable financial strategy and has developed at least one long term financing mechanism but this mechanism currently accounts for less than 10% of the organisation's annual income.The organisation has adopted a sustainable financial strategy and has developed at least one long term financing mechanism which accounts for at least 10% of the organisation's annual income.

2.4 Notes

2.4 Score

2.5 Organisational profile: Which statement best describes the profile of the organization?

The organisation is little known beyond its direct partners.The organisation is little known among civil society organisations in the country/ies where it operates but it has a low profile among ths general public, government, donor agencies and the private sector.The organisation has regular contact with decision makers in government, donor agencies and the private sector, and has implemented some activities to raise its profile among the general public.The organisation is well known among decision makers in government, donor organisations and the private sector, and is often approached by them to collaborate on conservation initiatives or develop proposals for conservation projects, and has a high profile among the general public.The organisation is well known among decision makers in government donor organisations and the private sector, and is often approached by them to collaborate on conservation initiatives or develop proposals for conservation projects, and has a high profile among the general public, and has a membership base among private citizens, totaling at least 3,000 members.

2.5 Notes

2.5 Score

Total Score - Financial Resources

Part 3 - Assessment Form (Management Systems)

3.1 Organisational Structure: Which statement best reflects the situation within the organisation?

The organisation has no clearly defined organisational structure and lines of authority and responsibility are not clearly defined. No job descriptions exist for the staff.The organisation has clearly defined organisational structure but lines of authority remain unclear and authority tends to be exercised by one or a few individuals. Job descriptions exist for some staff positions abut these are rarely developed prior to recruitment.The organisation has a defined organisational structure with clear lines of authority and responsibility. Job descriptions exist for all staff positions.The organisation has a defined organisational structure with clear lines of authority and responsibility. Job descriptions exist for all staff positions, and regularly reviewed and updated during staff appraisals and/or performance reviews. Staff are recruited according to job descriptions.The organisation has a defined organisational structure with clear lines of authority and responsibility. Job descriptions exist for all staff positions, and regularly reviewed and updated during staff appraisals and/or performance reviews. Staff are recruited according to job descriptions and following a recruitment policy.

3.1 Notes

3.1 Score

3.2 Administration Procedures: Which of the following administration/personnel management procedures are in place at the organisation and consistently observed by staff? Note: 0.5 point for each.

Mechanism to monitor/ control the use of suppliesMechanism to monitor/ control the movement of vehiclesEquipment InventoryProcurement PolicyLeave and public holidays policyTravel expenses policyDisciplinary and complaints proceduresStandard operating manual

3.2 Notes

3.2 Score

3.3 Financial Management: Which statement best reflects the situation within the organisation?

Records of expenditure are not kept for projects.Records of expenditure are kept for projects but the expenses of all individual line items never remain within 20% of the agreed budget.Records of expenditure are kept for projects but the expenses of all individual line items remain within 20% of the agreed budget less than half of the time.Records of expenditure are kept for projects and the expenses of all individual line items remain within 20% of the agreed budget more than half of the time.Records of expenditure are kept for projects and the expenses of all individual line items always remain within 20% of the agreed budget.

3.3 Notes

3.3 Score

3.4 Monitoring and evaluation: Which statement best reflects the situation within the organisation?

The organisation makes no attempt to monitor or evaluate the impact of its projects.External evaluations of the organisation's projects are undertaken occasionally, usually at the request of donors.The organisation regularly monitors and evaluates the impact of its projects but the results are not systematically used to guide management or design of future projects.The organisation systematically monitors and evaluates the impact of its projects and uses the results to guide management and design of future projects. The results of monitoring and evaluation are only disseminated to stakeholders inside the organisation and donors.The organisation systematically monitors and evaluates the impact of its projects and uses the results to guide management and design of future projects. The results of monitoring and evaluation are widely disseminated to stakeholders inside and outside of the organisation.

3.4 Notes

3.4 Score

3.5 Financial Reporting: Which statement best reflects the situation within the organisation?

The organisation has no system for preparing financial reports and statements.The organisation has a system of preparing financial reports and statements but these are produced sporadically, in response to donor demand. No external audits are conducted.The organisation regularly produces financial reports and statements, which it makes available to the board and management, but these are often incomplete and delivered late. External audits are conducted on a periodic basis.The organisation regularly produces financial reports and statements, which it makes available to the board and management, and which are always complete and delivered on time. External audits are conducted on an annual basis, and recommendations are implemented.The organisation regularly produces financial reports and statements, which it makes available to the board and management, and which are always complete and delivered on time. External audits are conducted on an annual basis, and recommendations are implemented, and an annual financial report is published and made publicly available.

3.5 Notes

3.5 Score

Total Score - Management Systems

Part 4 - Assessment Form (Strategic Planning)

4.1 Governance: Which statement best describes the governance of the organisation?

The organisation has no board or independent body to provide strategic direction and oversight.The organisation has a board but there is no clear distinction between its oversight role and the role of management. Board members are selected without regard to the organisation's needs or representation of key sectors.The organisation has a board that clearly differentiates between its oversight role and the role of management. The majority board members are drawn from a single sector (academia, NGOs, corporate sector, media, government, etc.).The organisation has a board that clearly differentiates between its oversight role and the role of management. The majority board members are drawn from multiple sectors, and are capable of carrying out functions such as fundraising, public relations, financial oversight and advocacy.The organisation has a board that clearly differentiates between its oversight role and the role of management. The board members are drawn from multiple sectors, and are capable of carrying out functions such as fundraising, public relations, financial oversight and advocacy. Committees have been formed to addresss specific issues such as campaigns, fundraising, financial sustainability, etc.

4.1 Notes

4.1 Score

4.2 Mission Statement: Which statement best describes the mission of the organisation?

The organisation has no mission statement.The organisation has a mission statement but it is imprecise or too board, and does not provide clear direction for the organisation.The organisation has a mission statement that clearly expresses the central purpose of the organisation. However, most staff are unable to readily articulates the mission statement, and the outsiders do not readily identify it with the organisation.The organisation has a mission statement that clearly expresses the central purpose of the organisation. Most staff are able to readily articulate the mission statement but the outsiders do not necessarily identify it with the organisation.The organisation has a mission statement that clearly expresses the central purpose of the organisation. All staff are able to readily articulate the mission statement, which is widely identified with the organisation by outsiders.

4.2 Notes

4.2 Score

4.3 Strategic Plan: Which statement best describes the strategic plan of the organisation?

No strategic plan for the organisation exists.The strategic plan for the organisation is out of date, being prepared or lacks of measurable indicators.The organisation has a strategic plan with measurable indicators, covering a period of at least three years, but there is no monitoring of actions against it.The organisation has a strategic plan with measurable indicators, covering a period of at least three years, and actions are monitored against it. The plan is updated on an ad hoc basis.The organisation has a strategic plan with measurable indicators, covering a period of at least three years, and actions are monitored against it. The plan is updated periodically, through a participatory process involving staff, board members and external stakeholders.

4.3 Notes

4.3 Score

4.4 Relevance of Projects: Which statement best reflects the situation within the organisation?

The organisation does not have a clearly defined mission statement and its portfolio of projects is totally lacking in coherence.The organisation has a diverse portfolio of projects that are often inconsistent with its mission statement.The organisation has a diverse portfolio of projects that are often but not always inconsistent with its mission statement. Funding opportunities are never screened against its organisation's mission and strategic plan.The organisation has a coherent portfolio of projects that are usually but not always consistent with its mission statement. Screening of funding proposals against the organisation's mission and strategic plan takes place on an ad hoc basis.The organisation has a coherent portfolio of projects that are always consistent with its mission statement. Funding opportunities are systematically screened against the organisation's mission and strategic plan, and only pursued if they are in line with them.

4.4 Notes

4.4 Score

4.5 Accountability to stakeholders: Which statement best reflects/ describes the role of the organisation's stakeholders (government, local, communities, other civil society organisations, etc)?

Stakeholders have no input into project design and implementation.Stakeholders are sometimes consulted during project design and implementation but they have no involvement in the decision making.Stakeholders are regualrly consutlated during project design and implementation, and contribute to some decisions on an ad hoc basis.Stakeholders are systematically consulted during project design and implementation, and have a clearly defined role in decision making. The organisation's stakeholders are consulted during the development/ revision of its mission and strategic plan but have no involvement in the decision making.Stakeholders are systematically consulted during project design and implementation, and have a clearly defined role in decision making. The organisation's stakeholders are consulted during the development/ revision of its mission and strategic plan, and have a clearly defined role in the decision making.

4.5 Notes

4.5

Total Score - Strategic Planning

Part 5 - Assessment Form (Delivery)

5.1 Governance: What is the largest annual budget of any project that the organisation is currently implementing?

Less than US$1,000 per yearUS$1,000 to US$10,000 per year> US$10,000 to ≤ US$100,000 per year> US$100,000 to ≤ US$1 million per yearMore than US$1 million per year

5.1 Notes

5.1 Score

5.2 Relevance of projects to conservation objectives: Which statement best describes the projects currently implemented by the organisation?

No project defines clear biodiversity targets/conservation outcomes.Less than half of the project define clear biodiversity targets/ conservation outcomes.More than half of the project define clear biodiversity targets/ conservation outcomes.All projects define clear biodiversity targets/ conservation outcomes, and monitor progress towards them.All projects define clear biodiversity targets/ conservation outcomes based on global conservation priorities (IUCN Red List, Key Biodiversity Areas, WWF Ecoregions, etc.), and monitor progress towards them.

5.2 Notes

5.2 Score

5.3 Delivery of project outputs: How frequently are project outputs delivered successfully and in the proposed quarter?

NeverLess than half of the timeMore than half of the timeAlways delivered successfully but not always in the proposed quarterAlways delivered successfully and in the proposed quarter

5.3 Notes

5.3 Score

5.4 Geographical reach: Which statement best describes the geographical reach of the organisation?

The organisation is based in an urban centre, and all of its activities are focused there.The organisation has one or more field projects but they are directed from its base in an urban centre.The organisation has one ore more field projects directed from local field offices.The organisation has one or more field projects directed from local field offices, and coordinates at least one network of local NGOs, community-based organisations or other civil society groups, which is active in one or more regions of the country.The organisation has one or more field projects directed from local field offices, and coordinates at least one network of local NGOs , community-based organisations or other civil society groups, which is active nationwide.

5.4 Notes

5.4 Score

5.5 Collaboration: Which statement best describes the organisation's collaborations with other civil society organisations, local or international?

The organisation does not have experience working with other civil society organisations.The organisation occasionally collaborates in joint initiatives with other civil society organisations on an ad hoc basis.The organisation has working relations, and at least one on-going joint project with other civil society organisations.The organisation has working relations, and at least one on-going joint project with other civil society organisations. The organisation also participates in and supports at least one civil society coalition/ network but does not play a leadership role.The organisation has working relations, and at least one on-going joint project with other civil society organisations. The organisation also participates in and supports at least one civil society coalition/ network and play a leadership role in promoting coalitions/ networks.

5.5 Notes

5.5 Score

Total Score - Delivery

Summary

Name of Organisation

Human Resources

Financial Resources

Management Systems

Strategic Planning

Delivery

Total (/100)

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