STD016- Mid-term Self-Assessment Tool

Non-Implementing organisations

Introduction

I. The Humanitarian Quality Assurance Initiative

HQAI’s objective is to help organisations progress and show their effectiveness in delivering to recognised humanitarian standards. Its quality assurance services are intended to build capacity in the sector and provide consistent measurable data in the delivery of quality action, thus improving principled, accountable, efficient provision of aid to populations affected by crises.

HQAI upholds the humanitarian principles of humanity, impartiality, neutrality and independence.

To all its stakeholders, HQAI is an accountable, open and trustworthy partner, which applies the internationally recognised ground rules of auditing that are impartiality, competence, responsibility, openness, confidentiality and responsiveness to complaints. Our policies, procedures and tools for independent quality assurance procedures follow relevant ISO standards requirements.

HQAI has developed robust tools to measure efficiently where an organisation stands in relation to the Core Humanitarian Standard (CHS) on Quality and Accountability. Tools related to other standards may be developed in the future.

II. The Core Humanitarian Standard on Quality and Accountability

The Core Humanitarian Standard (CHS) sets out Nine Commitments that organisations and individuals involved in humanitarian response can use to improve the quality and effectiveness of the assistance they provide. It also facilitates greater accountability to communities and people affected by crisis: knowing what humanitarian organisations have committed to will enable them to hold those organisations to account.

As a core standard, the CHS describes the essential elements of principled, accountable and high-quality humanitarian action. Humanitarian organisations may use it as a voluntary code with which to align their own internal procedures. It can also be used as a basis for verification of performance.

The CHS is the result of a 12-month, three-stage consultation facilitated by HAP International, People In Aid and the Sphere Project, during which many hundreds of individuals and organisations rigorously analysed the content of the CHS and tested it at headquarters and field level.

For more information about The Core Humanitarian Standard, related resources and other documents under development, please visit:

www.corehumanitarianstandard.org

III. Scope of this tool

This tool is to be used by non-implementing organisations that need to report to HQAI as part of their Maintenance self-assessment in the framework of an independent verification programme with the Humanitarian Quality Assurance Initiative.

Consistency between the mid-term assessment tool and the Audit Map of Document (ADM143) shall be ensured.

IV. References

The following referenced documents can usefully complement this document. For dated references, only the edition cited applies. For undated references, the latest edition of the

HQAI ADM143 – Audit Map of Document

HQAI GUI103 –Manual for organisations

HQAI GUI 125 - HQAI Self-assessment Manual

HQAI POL114 – Third party quality assurance policy

HQAI STD014 – HQAI Initial Self-assessment tool

CHS Alliance Self-assessment tool

THIS TOOL IS MADE OF:

SECTIONS 1: ORGANISATION DETAILS

SECTION 2: PROGRESS REPORT

SECTION 3: PARTNERS QUESTIONS

1. ORGANISATIONAL DETAILS
Organisation name:
Previous audit report number:
In how many countries does your organisation work?
Head office location: / City:
Country:
Self-assessment related information
Date of self-assessment: / From: (dd/mm/yyyy)
To: (dd/mm/yyyy)
Date of submission of your self-assessment report to HQAI: (dd/mm/yyyy)
Contact of internal auditor:

Delete or add as many rows as necessary

2. PROGRESS REPORT
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
6. Communities and people affected by crisis receive coordinated, complementary assistance.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence
CAR/OBSERVATION OR WEAKNESS IDENTIFIED IN PREVIOUS AUDIT REPORT:
Action taken / Evidence

You do not have to fill the whole section. Only identify eventual changes that occurred or are undergoing for each commitment.

3. PARTNERS QUESTIONS
1. Communities and people affected by crisis receive assistance appropriate and relevant to their needs.
Quality Criterion: Humanitarian response is appropriate and relevant.
1.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
1.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
1.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
2. Communities and people affected by crisis have access to the humanitarian assistance they need at the right time.
Quality Criterion: Humanitarian response is effective and timely.
2.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
2.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
2.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
3. Communities and people affected by crisis are not negatively affected and are more prepared, resilient and less at-risk as a result of humanitarian action.
Quality Criterion: Humanitarian response strengthens local capacities and avoids negative effects.
3.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
3.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
3.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
4. Communities and people affected by crisis know their rights and entitlements, have access to information and participate in decisions that affect them.
Quality Criterion: Humanitarian response is based on communication, participation and feedback.
4.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
4.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
4.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
5. Communities and people affected by crisis have access to safe and responsive mechanisms to handle complaints.
Quality Criterion: Complaints are welcomed and addressed.
5.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
5.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
5.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
6. Communities and people affected by crisis receive coordinated, complementary assistance.
Quality Criterion: Humanitarian response is coordinated and complementary.
6.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
6.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
6.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
7. Communities and people affected by crisis can expect delivery of improved assistance as organisations learn from experience and reflection.
Quality Criterion: Humanitarian actors continuously learn and improve.
7.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
7.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
7.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence
8. Communities and people affected by crisis receive the assistance they require from competent and well-managed staff and volunteers.
Quality Criterion: Staff are supported to do their job effectively, and are treated fairly and equitably.
8.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
8.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
8.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence


9. Communities and people affected by crisis can expect that the organisations assisting them are managing resources effectively, efficiently and ethically.
Quality Criterion: Resources are managed and used responsibly for their intended purpose.
9.1 What has changed regarding the way your organisation explains this Commitment to partners? / Findings
Evidence
9.2 What has changed regarding the way your organisation seeks to understand how partners implement this Commitment? / Findings
Evidence
9.3 What has changed regarding the way your organisation works with partners to implement this Commitment? / Findings
Evidence