SAPPIN DSD and Guidelines M&E checklist

About this Tool

Use this document as a strategic planning tool to do your yearly planning and reflecting. Using your MEL and TOC to measure your success and progress and applicable changes to incorporate. All processes of the organization mentioned below are part of the strategic tool. This should be seen as a holistic approach to M&E.

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Section A - Corporate Governance

Legal Status *Valid NPO registration certificate (form 21), SARS Pin, Form 29 & 30 clearances.YesPartiallyNo

Constitution *Signed founding document (Constitution/Memorandum of incorporation). Evidence: Constitution and AGM minutes.YesPartiallyNo

Board Composition *5-15 board members per Constitution, diverse skills (finance, legal, marketing, etc.). Board Training Evidence: Board Terms of Reference minutes.YesPartiallyNo

Board Roles & Responsibilities *Documented policy-making, fundraising, oversight, advocacy roles. Evidence: Board Terms of Reference, minutesYesPartiallyNo

Board meetings *Held per constitution (at least bi-annually, with sub-committee meetings as needed). Evidence: Board meeting schedule & attendance registers.YesPartiallyNo

Accessibility & Recruitment *Stakeholder inputs channels (meetings, suggestion boxes, WhatsApp), Transparent nomination process. Evidence: Stakeholder feedback logs, recruitment policy.YesPartiallyNo

Succession Planning *Formal board succession plan. Evidence: Succession policy/plan document.YesPartiallyNo

AGM *Last AGM held as scheduled; notice, minutes & attendance on file. Evidence: AGM invitation, minutes (eg 22 Sep 2022)YesPartiallyNo

Reporting to Stakeholders *Quarterly & annual performance and financial reports submitted. Evidence: Copies of reports sent to DSD & other funders.YesPartiallyNo

Organogram *Approved, signed, dated & displayed Evidence: Displayed org chartYesPartiallyNo

Section B - Management

Policies - PSEA *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. PSEA.YesPartiallyNo

Policies - Safeguarding and Protection *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Safeguarding and Protection.YesPartiallyNo

Policies - Supervision *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Supervision.YesPartiallyNo

Policies - Referrals and Recruitment *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Disability and Gender *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Financial *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - H&S *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - HR *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Teen Training and Development *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Discipline for adults policy *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Parental leave *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Staff Code of Conduct *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Policies - Sexual Harassment *Up-to-date HR, Finance, Service, Delivery, OHS, etc. Go through policies once a year and make applicable changes. Evidence: Policy manual. Referrals and Recruitment.YesPartiallyNo

Management-Staff Engagement *Regular scheduled meetings minutes kept Evidence: Meeting schedules and minutesYesPartiallyNo

Stakeholder Inputs *Documented in planning and decision-making Evidence: Planning meeting-registers & minutesYesPartiallyNo

Feedback Mechanisms in place - Feedback on decisions *Staff & stakeholders receive timely feedback on decisions - Evidence: email updates and minutesYesPartiallyNo

Feedback Mechanisms in place - Feedback is linked to bigger feedback *Feedback is linked to bigger feedback - Evidence: email updates and minutesYesPartiallyNo

Performance Reviews *Regular org and staff performance & psycho-social assessments Evidence: Performance review records and ProQ Health testYesPartiallyNo

Organisational Structure - Theory of Change *Theory of Change in place. Evidence: Yearly planning and reflecting meeting minutes with suggested changesYesPartiallyNo

Organisational Structure - Clear authority and supporting lines *Clear authority and supporting lines Evidence: Org chart and staff list.YesPartiallyNo

Programme Planning, Reflection and Learning - Jointly developed, regularly updated implementation plans *Jointly developed, regularly updated implementation plans (aligned to yearly Strategic Plan). Evidence: Implementation plans and revision logs.YesPartiallyNo

Programme Planning, Reflection and Learning - Programmes are created and delivered with principle *Programmes are created and delivered with principle of: Do No Harm! Evidence: Proof of skills to regulate participants emotions, skilled facilitators.YesPartiallyNo

Programme Planning, Reflection and Learning - Content is created for SA context are trauma-informed *- Content is created for SA context and are trauma-informed and include fun, this includes awareness of the impact of trauma on staff and communities. Evidence: Proof of skills to regulate participants emotions, skilled facilitators.YesPartiallyNo

Data Quality - Quarterly reports *Quarterly reports reflective of actual services: backed by reliable registers. Evidence: Progress reports, registers and payment stubs.YesPartiallyNo

Data Quality - Track the following information *Track the following information: participants’ demographics (including their town and suburb), their participants’ children’s demographics, attendance and referrals. Evidence: Progress reports, registers and payment stubs.YesPartiallyNo

Data Quality - Staff to client ratio *Adhere to staff to client ratio and ensure that staff are not overburdened. Evidence: Progress reports, registers and payment stubs.YesPartiallyNo

Data Quality - Case loads *Case-loads: 1-100 / 1-85 Evidence: Progress reports, registers and payment stubsYesPartiallyNo

Data Management Tool *Compliance Management Tool: integrated into the systemYesPartiallyNo

Section C - Human Resource Management

HR Policy *Signed and regularly updated with input from staff Evidence: HR policy documentsYesPartiallyNo

Staff Meetings *Held weekly (or as scheduled); minutesYesPartiallyNo

Supervision & Support - General & Social Work Supervision *General & Social Work Supervision per DSD Framework; agreements in place. Evidence: Supervision agreements & notesYesPartiallyNo

Supervision & Support - Psycho-social Support & Reflective Supervision *Psycho-social Support & Reflective Supervision Evidence: Referral pathways in place as well as reflective supervision notesYesPartiallyNo

Supervision & Support - Suggestions for staff support, Debriefing internally *Debriefing internallyYesPartiallyNo

Supervision & Support - Suggestions for staff support, Reflective supervision *Reflective supervisionYesPartiallyNo

Supervision & Support - Suggestions for staff support, Wellness Days *Wellness DaysYesPartiallyNo

Supervision & Support - Suggestions for staff support, Coaching *Coaching – programme content and deliveryYesPartiallyNo

Supervision & Support - Suggestions for staff support, other *Other – My Grow/ EQ CourseYesPartiallyNo

Supervision & Support - Suggestions for staff support, In service and external training *In service and external trainingYesPartiallyNo

Personnel Records *Confidential files with contracts, job descriptions, CVs, qualifications, next of kin, leave forms. Evidence: Secure personnel filesYesPartiallyNo

Vacancy Reporting *Staff vacancy rates reported quarterly if post-funded. Evidence: Quarterly vacancy reports.YesPartiallyNo

Staff Induction *New employed staff to go through extensive induction process to understand the values, policies and culture of the organization Evidence: Annual reviews of induction processesYesPartiallyNo

Staff developmental plans *Individual Developmental Plan for all staff members Evidence: Bi-annual or quarterly KPA meeting minutes with plan and progressYesPartiallyNo

Staff developmental plans - Qualitative report of Correlation between what they received and where they are *Qualitative report of: Correlation between what they received and where they areYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Positive approach to parenting *Feedback from beneficiaries on facilitation of Positive approach to parentingYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Programme content and approach *Feedback from beneficiaries on facilitation of Programme content and approachYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Cultural context *Feedback from beneficiaries on facilitation of Cultural contextYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Therapeutic *Feedback from beneficiaries on facilitation of TherapeuticYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Listen affectively / trauma-informed *Feedback from beneficiaries on facilitation of Listen affectively / trauma-informedYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of the Internalization of principles *Feedback from beneficiaries on faclitation of the Internalization of principlesYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Trust and punctuality *Feedback from beneficiaries on facilitation of Trustworthy and punctualYesPartiallyNo

Staff developmental plans - Feedback from beneficiaries on facilitation of Confidentiality *Feedback from beneficiaries on facilitation of ConfidentialityYesPartiallyNo

Qualifications & Registration *Staff meet statutory requirements. Evidence: Professional registration certificates.YesPartiallyNo

Statutory Clearance *FBI/POPI checks, Form 29 clearances for all staff & board. Evidence: Clearance certificates.YesPartiallyNo

Contacts & Job Descriptions *Signed & Dated for every staff member. Evidence: Contract files.YesPartiallyNo

Section D - Occupational Health & Safety

OHS Policy *In place, signed, updated (incl.COVID protocols). Evidence: OHS policyYesPartiallyNo

H&S Committee/Representatives *At least 2 fire marshals & 2 first aiders trained and functional. Evidence: Committee minutes, training certificatesYesPartiallyNo

Evacuation Plans *Displayed & current. Evidence: Posted plansYesPartiallyNo

Drills *Quarterly planned & unplanned drills; roll-call registers. Evidence: Drill reports.YesPartiallyNo

Signage and Exit *Emergency exits clearly marked at all egress pointsYesPartiallyNo

Fire Equipment *Serviced annually: up-to-date tags. Evidence: Service certificatesYesPartiallyNo

First Aid Kit *Stocked no expired items. Evidence: First aid inventory.YesPartiallyNo

Building Accessibility *Ramps/rails, wheelchair friendly. Evidence: Facility compliance report.YesPartiallyNo

Section E - Financial Management

Finance & Procurement Policy *Signed & updated Evidence: Policy docsYesPartiallyNo

Accounting System *PASTEL or equivalent for all funding streams. Evidence: System screenshot/ledgersYesPartiallyNo

Budget Alignment *Annual budget including wellness support of staff, linked to strategic plan, board-approved. Evidence: Board-approved budget.YesPartiallyNo

DSD Cost Centre *Separate ledger for DSD funds Evidence: Ledger extracts.YesPartiallyNo

TPA Compliance *Funds spent per TPA outputs & targets. Evidence: Financial vs. Programme reports.YesPartiallyNo

Segregation of Duties *≥ 3 signatories: two required per payment. Evidence: Payment authorisation policy.YesPartiallyNo

Payment Controls *Requisition, order forms, proof of payment. Evidence: Transaction files.YesPartiallyNo

Income Recording *All income (incl. 18 A receipts) captured Evidence: Receipt books/registers.YesPartiallyNo

Expenditure Recording *Supporting docs for all outflows. Evidence: Expense vouchers.YesPartiallyNo

Card Controls *Debit/credit card register in organisations name. Evidence Card log.YesPartiallyNo

Asset Register *Fixed asset inventory, spot-checks. Evidence: Asset registers and spot check reports.YesPartiallyNo

Audits *Internal spot-checks & annual external audit by registered auditors. Evidence: Audit reports& management responses.YesPartiallyNo

Section F - Service Quality and Delivery

Implementation - Staff *Implementing staff are committed to and personally adopt a positive approach to parenting. They are trained to adapt in action and maximise the therapeutic benefit of the interventionYesPartiallyNo

Implementation - Organisations *Organisations offer psycho-social support to their implementing staffYesPartiallyNo

ISDM Alignment *Implementation Plan aligned to DSD’s ISDM levels. Evidence: Service delivery plan.YesPartiallyNo

Marketing & Communication *Flyers, newsletters, social media, clinic talks, consent forms for media. Evidence: Marketing collateral.YesPartiallyNo

Accessibility Measures *Language translation, low-literacy tools, outreach, data provisions for WhatsApp. Evidence: Evaluation tools, outreach logs.YesPartiallyNo

Project Files *Complete file per project: enrolment, consent, evaluations, session reports, registers, M&E docs, impact stories. Evidence: Sample project file.YesPartiallyNo

Admission & Outreach - Inclusivity *Inclusive admission policy, community recruitment, home visits.YesPartiallyNo

Admission & Outreach - Innovation *Innovation – more than just a programme, a holistic intervention Evidence: Outreach, Recruitment and Retention plans & attendance registers.YesPartiallyNo

Child protection & Beneficiary Records *Staff registrations & clearances; locked client files, Form 22; DCP referral logs: comprehensive registers & process notes; intake forms. Evidence: File audit.YesPartiallyNo

File Back-up *Digital backup (eg OneDrive) of client files. Evidence: Backup status report.YesPartiallyNo

Referrals - Collaboration *Have clear collaboration with other organisations who offer quality services Evidence: Clear referral pathways with MOUs between organisationsYesPartiallyNo

Referrals - Psycho-social support *Have clear collaboration with other organisations who offer quality services Evidence: Clear referral pathways with MOUs between organisationsYesPartiallyNo

Process Notes *Intake, mental health screening, consent, process notes, termination reports, beneficiary registers. Evidence: Sample case files.YesPartiallyNo

Complaints & feedback *Suggestion box, reflections register, follow-up logs, satisfaction surveys, analysis fed into planning, feedback from participants. Evidence: Complaint logs, survey reports.YesPartiallyNo

NFD & TPA Reporting - Non-financial data *Quarterly non-financial data, verified registers; achievements vs targets analysis. Evidence: Quarterly NFO reports, output tables.YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Programme adherence *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: Did the programme adhere to 1.1 in Guidelines?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Local context *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: How did the local context inform the programme?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Programme changes *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: How was the programme changed or adapted?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Innovation *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: How is the programme innovative?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Promotion of positive parenting *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: How did the programme promote positive parenting?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Adherence to principle *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: Did the programme adhere to the principle: Do no harm?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Principles for recruitment and referrals *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: Were clear principles for recruitment and referrals planned, adhered to and adapted as necessary?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Informed *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: Is the programme trauma-informed and have fun moments?YesPartiallyNo

NFD & TPA Reporting - Programme delivery quality monitor: Facilitation *Programme delivery quality monitor Evidence: Yearly (?) Programme content revision: Was the programme delivered by skilled facilitation?YesPartiallyNo

Section G - External Relations Integration

Partnerships & MOUs *Formalised MOUs with other NGO’s, government & community stakeholders. Evidence: Signed MOUs.YesPartiallyNo

Forum Participation *Attendance at relevant sector forums (e.g. PCFF, Violence Prevention). Evidence: Forum minutes.YesPartiallyNo

Resource & Information Sharing *Joint networks, indabas, clinic talks. Evidence: Sharing agreements, event reports.YesPartiallyNo

Programme Coordination *Collaborative planning to address beneficiary needs. Evidence: Joint programme plans.YesPartiallyNo

Section H - Sustainability

Stakeholder Support *Documented support (attendance registers, funder reports). Evidence: Stakeholder support letters.YesPartiallyNo

Fundraising & Sustainability Policy *Medium & long-term resource plans; diversified income base. Evidence: Sustainability policy, fundraising strategy.YesPartiallyNo

Learning and Reflection *Annual reflection with input from participants, their families, community and facilitators to measure the relevance and impact of the intervention Evidence: Annual plan linked to strategy and TOCYesPartiallyNo

Organisational Agility *Capacity to review & adapt structure/programmes in response to environmental changes. Evidence: minutes showing structure/program adjustments.YesPartiallyNo

Comments or additional notesPlease provide any additional information

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