Using independent assessors: a checklist for grantmakers

The following checklist provides a range of approaches, actions, materials and tools you can use to streamline your method, reduce risks, ensure transparency and meet probity requirements.

The checklist has been designed to suit various grant programs, but it is important that you consider proportionality. You should adapt or adopt only the measures that best fit the size and type of your grant program.

1. Planning and governance

Define the purpose and scope of external assessment, taking into account independence, probity, accountability, scalability, contingencies, and subject-matter expertise.

Align assessment policies with internal governance frameworks, being alert to fairness, transparency and defensibility considerations.

Identify risks (e.g. conflicts of interest, inconsistent scoring, inadequate documentation) and develop a risk management plan to mitigate these.

Secure an independent assessment budget for assessor recruitment, induction, training, and payment.

2. Policies and documentation

Develop an assessment policy that outlines:

• assessment management structure

• a system for monitoring assessment decisions

• the process for selecting, training and managing independent assessors

• conflict of interest and confidentiality requirements

• moderation, scoring and documentation protocols

• the quality assurance and oversight process.

Develop an assessor deed of confidentiality and an assessor conflict of interest declaration.

Develop an assessment moderation protocol for resolving discrepancies between assessments.

3. Recruitment and vetting

Establish selection criteria for independent assessors, paying attention to expertise, impartiality, diverse representation, sector knowledge, and availability.

Conduct reference checks, background checks, and probity checks or declarations.

Ensure assessors and panels are diverse and balanced to mitigate the risk of unconscious bias.

Maintain a register of approved independent assessors for involvement in future grant rounds.

4. Induction and training

Provide assessors with an induction pack that consists of:

Program guidelines

Assessor guide:

• assessment criteria and scoring rubrics

• responsibility requirements (confidentiality, impartiality, process compliance)

• policy and declaration documents

• technology tools and instruction for use.

Provide content from historical applications, which may be useful to illustrate scenarios where assessor judgement or decisions may be required. Include assessor notes or guidance, and ensure any private or sensitive information is redacted.

Conduct an assessment training session, covering grant guidelines, assessment processes and procedures, probity requirements, and support available.

Schedule regular individual or group-based information sessions during the assessment period.

5. Assessment process

Allocate applications to assessors via a secure grants management system. Access should be role-based access to prevent unnecessary data sharing and unauthorised access.

Use a standardised assessment form that’s appropriate for the size of the program. It should include eligibility checks, space for written or scored responses, and weighting where relevant.

Ensure all comments, scores and decisions are recorded within the grants management system so they can be checked for quality and audit purposes.

Ensure assessors are briefed about any changes to the assessment process via updates to the assessor guide or further training, or both.

6. Decision-making and accountability

Clearly separate the assessment process (undertaken by an independent panel) from the final approval process (undertaken by a delegated decision-maker).

Before assessment meetings, provide assessors with copies of assessment reports. These should include criteria rankings, recommendations, and, if applicable, records of any conflicts that have arisen during the assessment process.

Record final decisions, including any departures from the recommendations of external assessors.

Ensure final funding decisions are publicly defensible and documented.

7. Transparency and communications

Publish assessment criteria and processes in grant guidelines.

Notify applicants of outcomes promptly. For unsuccessful applicants, include the rationale.

Provide a complaints and appeals mechanism in line with internal governance frameworks.

8. Technology and record-keeping

Use a grants management system to:

• record assessor activity, timestamps, and decisions (these form part of the audit trail)

• compare assessors’ scores and make moderation easier

• securely manage documentation on conflicts of interest.

Retain all records in line with record-keeping policy and audit requirements.

9. Reviewing and continuous improvement

After a round, evaluate the independent assessment process, covering:

• assessor performance

• timeliness and consistency

• stakeholder satisfaction.

Update policies and training materials accordingly.

Maintain a summary of lessons learned to feed into the planning, assessment and review of future grant rounds.