Solidarity Center
TU-CapSAT
Trade Union Capacity
Self-Assessment Tool
1
“I see the same training after
training, year after year. Why
are you repeatedly doing the
same trainings with the same
organizations?...”
2
“Show me evidence that you
know your training resulted in
increased organizational
capacity and sustainability for
your partners…..”
3
Evaluating Trade Union
Organizational Capacity
Tool Requirements…
Matches SC programming (training, mentoring,
technical assistance for trade unions)
Can measure progress (positive change)
Simple to use
Informs funder and SC
4
What it is NOT
NOT a Report Card on partners
NOT a Report Card on SC field offices
NOT sent to funder
◦ Scores and justification are kept internal to SC
NOT shared with partners
◦ Unless the Country Program Director feels it is
appropriate
NOT used to assess all components of an
organization simultaneously
5
Pre-Development Process
 Research and Review of available organizational capacity tools from other
international labor programs and development organizations
 Final format based on Institutional Development Framework (IDF) developed
by Mark Renzi [MSI] for non-profits
 One of 5 OCA tools recommended by USAID
 Developed with USAID money
 Author encourages adaptation
6
Internal Development Process
Simplified the IDF tool
Identified standard SC trainings
Populated scales with substance
Reviewed by SC program staff for
review
◦ By both field staff and HQ staff
7
Components
Collective Bargaining and Dispute Resolution
Democracy and Sound Governance
Financial Management
Gender Integration
Organizing and Recruitment
Policy Advocacy
Defense of Workers’ Rights*
Occupational Health and Safety*
8
Walk Through
Chart
Questionnaire
Score sheets
Summary
Report
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Administration
Example: FAWU asks South Africa SC office to train shop stewards in Organizing and R
ecruitment
1.
Create CapSAT file for FAWU (partner)*
2.
Using Org & Recruitment Component guide, CPD determines
baseline score for FAWU
3.
At end-year, determine score for FAWU
4.
File is kept in SC field office and is confidential
5.
Report to funder whether negative score change, positive score
change, no score change *
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TU-CapSAT
TU-CapSAT:
Democracy and Sound Governance Component
TU-CapSAT: Democracy and Sound Governance Component
Element
Start-up
1
Development
2
1. Representation
Organization has no real
capacity for adequate
representation of
membership.
Organization has little
capacity to adequately
represent membership.
2. Election Process
There are no bylaws or
written policies
establishing democratic
election process.
Written policies outlining
democratic election
process exist; but policies
are incomplete and/or are
not followed consistently
or at all stages.
Expansion/
Consolidation
3
Organization has
leadership that is
partaking of training in
trade union principles,
bargaining, grievance
handling, etc. Leadership
has growing capacity to
represent membership,
but many areas need
improvement.
Written policies outlining
democratic election
process are followed
consistently, but policies
are incomplete (i.e., do
not ensure that elections
are held regularly and
with proper notification,
and that every member in
good standing is allowed
to nominate candidates,
run for office, and vote for
officers of the union in
accordance with by-laws
and constitution.
Sustainability
4
Organization has capacity to
adequately represent
membership. Leadership has
knowledge of democratic
trade union principles,
bargaining, grievance
handling, etc. and has
experience in implementing
same.
Written policies outlining
democratic election
process are followed
consistently, and policies
are complete (i.e., ensure
that elections are held
regularly and with proper
notification, and that every
member in good standing
is allowed to nominate
candidates, run for office,
and vote for officers of the
union in accordance with
by-laws and constitution.
11
Administrator Questions
TU-CapSAT: Democracy and Sound Governance Component (samples)
1. Representation
 To what extent is the organization able to adequately represent membership?
 Has the leadership been trained in trade union principles, bargaining, grievance
handling, etc.? Organization has capacity to adequately represent membership.
Leadership has knowledge of democratic trade union principles, bargaining,
grievance handling, etc. and has experience in implementing same.




2. Election Process
Does the union have written bylaws or written policies establishing a democratic
election process?
If yes, are these procedures comprehensive complete (i.e., ensure that elections
are held regularly and with proper notification, and that every member in good
standing is allowed to nominate candidates, run for office, and vote for officers of
the union)?
To what extent are these policies followed?
12
CONFIDENTIAL – FOR SC INTERNAL USE ONLY
Score sheet (example)
Component: Democracy and Sound Governance
Organization:___ABC Union Confederation_______________________________
1st Assessment (Baseline) Date:____1/03/13_____________
1
1.5
1. Representation
2. Election Process
3.0
3.5
4.0
X
X
4. Accountability
X
X
5. Transparency – Decision-making
X
7. Service Delivery
8. Equity
2.5
X
3. Member Orientation
6. Transparency – Financial
2.0
X
X
Average Score (sum of element scores ÷ # of applicable elements = 1.75
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CONFIDENTIAL – FOR SC INTERNAL USE ONLY
Score sheet (example)
Component: Democracy and Sound Governance
Organization:____ABC Union Confederation__________________
2nd Assessment Date:________1/03/14_________________
1
1.5
1. Representation
2. Election Process
3.5
4.0
X
X
X
X
7. Service Delivery
8. Equity
3.0
X
5. Transparency – Decision-making
6. Transparency – Financial
2.5
X
3. Member Orientation
4. Accountability
2.0
X
X
Average Score (sum of element scores ÷ # of applicable elements)= 1.94
14
Looking for positive change –
not level 4
15
Summary of Scores
Date
Average Score
Baseline
2/01/13
1.75
2nd Assessment
2/01/14
1.94
3rd Assessment
4th Assessment
5th Assessment
For comments regarding scoring (reference date of scoring)
16
Process Review
1. The SC TU CapSAT is based on programming
aspects, not an overview of the organization
2. The process reports progress, both of
partners’ growth and SC’s program direction
3. Scores establish a baseline and compared on
an annual basis
4. Scores are kept internally; only increase,
decrease or maintenance is reported to
funders
17
Pros And Cons
PROS
• Follows program plans; no interpretation necessary
• Customizable for TU work; authenticized by partners
• Individual component flexibility; linkage with other components
CONS
• Does not evaluate entire organization, only an aspect
• Learning curve as with all new tools
• Evaluating multiple unions per program can be time consuming
18
Q&A
19
Thank you
20