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Self-assessment, accompanied self -assessment or external assessment

Page history last edited by Marie Anna Bénard 9 years, 11 months ago

 

back to SPI 4 Home Page > Beta Test Welcome Page > Getting started

 

MFIs can use the SPI 4 as a self-assessment tool, or with the assistance of someone trained in the SPI.

 

During beta-testing, we suggest all assessments be either self-assessments or accompanied self-assessments. CERISE/SPTF will be training SPI4 auditors in 2014 so that Audited Self-Assessments and External Audits can be conducted.

 

Each type of assessment implies a different level of validation:

 

  • Self-assessment: MFI fills in the questionnaire alone
  • Accompanied Self-Assessment: External third party trained in SPI helps MFI fill in the questionnaire. 
  • Audited Self-Assessment: An accredited SPI auditor verifies the process has been respected, results, documents, based on the SPI Control List)
  • External audit:  An accredited SPI auditor fills in the questionnaire alone.

 

 

 

Self- Assessment

Accompanied  Self-Assessment

Audited Self-Assessment

External audit

Who fills it in?

MFI alone

MFI + 1 external

MFI + 1 external

External auditor alone

Is it checked?

NO

YES

YES

YES

 

Level of qualification of that person?

 

 

NA

 

 

 

Trained in SPI
OR
Accredited SP auditor

 

 

 

Accredited SP auditor

 

 

 

Accredited SP

auditor

 

 

 

Process?

MFI self-manages process

The trained or accredit SPI audit accompanies the whole process of filling in the questionnaire:
- you help answer questions
- identify documents
- possibly meet with stakeholders/interviewees alongside the person in the MFI responsible for doing the assessment
- fulfill any others taks assigned by the person in the MFI responsible for doing the assessment

May involve guidance during the assessment process, but not necessarily.
(i.e. MFI might just provided a completed questionnaire for
verification, or the Auditor may help fill in the questionnaire).

Accredited SPI auditor fills in the questionnaire alone

 

Level of verification of data?

LOW
The MFI can go back and check the data themselves.

MEDIUM
Verification takes the form of guidance during the assessment process (see below). Guidance during the process helps ensure a certain level of consistency in data collection, which is why we refer to it as verification.
However, there is no verification of the data filled in (ex., the trained or accredited auditor would NOT go digging into the MIS to verify that the figures given in the ID card are accurate--s/he would tell the MFI focal point simple where to find that information, during the assessment).

HIGH
The main difference here: SPI auditor verifies the filled-in questionnaire (e.g the accredited SPI auditor will have verified the documents, ensured interviews were held. An accredited SPI auditor would also go into the MIS and checks data, for example.)

HIGH

Level of involvement of the MFI (level of appropriation)

HIGH

HIGH

MEDIUM/HIGH

MEDIUM
process centralized by the auditor, less MFI involvement

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