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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:
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Self- Assessment
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Accompanied Self-Assessment
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Audited Self-Assessment
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External audit
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Who fills it in?
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MFI alone
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MFI + 1 external
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MFI + 1 external
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External auditor alone
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Is it checked?
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NO
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YES
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YES
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YES
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Level of qualification of that person?
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NA
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Trained in SPI OR Accredited SP auditor
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Accredited SP auditor
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Accredited SP
auditor
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Process?
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MFI self-manages process
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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
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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).
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Accredited SPI auditor fills in the questionnaire alone
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Level of verification of data?
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LOW The MFI can go back and check the data themselves.
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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).
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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.)
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HIGH
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Level of involvement of the MFI (level of appropriation)
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HIGH
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HIGH
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MEDIUM/HIGH
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MEDIUM process centralized by the auditor, less MFI involvement
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