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NGO ASSESSMENT TOOL UPDATED ON: NOVEMBER 1998

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Page 1: NGO Assessment Tool

NGO ASSESSMENT TOOL

UPDATED ON: NOVEMBER 1998

Page 2: NGO Assessment Tool

NGO ASSESSMENT TOOL

Updated on: November, 1998

CARE-Nepal Kathmandu

F\Archive\Partner\NGOTOOL

Page 3: NGO Assessment Tool

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NGO ASSESSMENT TOOL Updated on: November, 1998

Background: In July 1997 SNV Nepal prepared the organizational assessment tools for NGOs and CBOs in Nepal. SNV and CARE Nepal used the tools to assess the institutional capacity of NGOs in their working areas. Many other organizations were using their own tools to assess the institutional capacity of NGOs and CBOs. In March 1998 SNV organized a two days workshop to share experiences and review and refine the NGO and CBO assessment tools and to develop similar tools to assess capacity of DDCs and VDCs. Representatives from eight organizations were present in the workshop. The workshop participants are listed in annex 1. The participants were divided into three groups. One of the groups reviewed the NGO assessment tool and suggested a number of refinements and revisions. On the basis of the group’s recommendations CARE Nepal finalized the NGO assessment tool, which is described below. Objectives of the NGO assessment: The objectives of the NGO assessment are as follows: 1. To find the strengths and weaknesses of the NGOs. 2. To monitor the progress of the NGO along the major components of the organization. 3. To make the organizational members and staff, especially in a new and upcoming NGO,

aware of the various facets of organizational development. 4. To facilitate the preparation of an action plan for the organizational development. Major components and their indicators: The revised NGO assessment tool includes the following four major components and their indicators: 1. PROGRAM PLANNING, IMPLEMENTATION, MONITORING AND

EVALUATION 1. Beneficiaries are participating in all stages of project cycle. 2. Local skills, knowledge and practices are mobilized in program cycle. 3. Program emphasizes gender sensitivity. 4. Systematic process of m&e exists and lessons learnt are incorporated in planning cycle. 2. ORGANIZATIONAL STRUCTURE AND MANAGEMENT 1. Clarity and consensus exists on organization’s vision, goals and objectives, which are

operationalized. 2. Decisions are made in a participatory way. 3. Delegation of authority occurs. 4. Personnel policies and procedures exists, practiced and are gender sensitive 5. Organization in operated under a code of ethics. 6. A program supportive administration (Procurement, Inventory and Administration) exists. 7. Communication system is open and spontaneous. 8. Recording and filing system exists.

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3. RESOURCE MOBILIZATION 1. Financial policies and procedures exist and are followed. 2. Strategies for diversified funding exists and are implemented 3. Internal resources are mobilized. 4 COORDINATION AND NETWORKING 1. Active coordination with major stakeholders is maintained. 2. Affiliated to organizations with similar objectives. Steps to conduct NGO assessments: Before the interview starts: 1. Select the NGO to be assessed. 2. Meet with the representatives of the NGO and establish common objectives of the

assessment and determine the methodology and expectation of the assessment. Emphasize that the objective of the assessment is not to select an NGO for funding, otherwise the information provided may be surrealistic.

3. Schedule a date, time and place for the interview and inform selected persons from the organization. The interview will take about 8 hours.

4. Mutually select a facilitator to conduct the interview. 5. Inform the NGO about the document that the facilitator would like to refer during the

course of the interview. 6. Assure the NGO members and staff of the confidentiality of information provided by

them. During the interview: Organize a briefing to all members and staff of the organization. In the briefing explain the objectives, methodology and expectation of the assessments. Verify participant’s clarity and respond to their questions and comments. Select interview candidates. For organizational structure and management select at least three persons, one of which must be a staff member. For the other components select five persons. Interviews in group and in person: There are a total of 18 indictors in the four components. If interviews were taken individually then it would take about three hours per person. With at least five persons to interview it would take about two days for the interviews. However, component #1,3, and 4 are regarded as neutral for which the interviews can be conducted in a group. The group interview can be completed in about three hours. Interviews conducted in a group also provide opportunity for cross checking of information among the group members. The component #2, organizational structure and management, can be sensitive in many organizations. Therefore, interview for this component should be taken individually, keeping the confidentiality of the information provided by the individuals. In this component there are

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8 indicators. For each interview it would take about one and half hour to complete the interview. If we select at least three persons, then it would take about four and half hours. Thus the whole interview can be completed in about a day. Interviews in a group: Establish a group norm, such as equal participation, respect for other’s opinion, short and clear information, etc. Facilitate in such as way that all members of the group get equal opportunity to express their views for issues at hand. Try to arrive at consensus as far as possible. Ask for supporting documents or references as appropriate. Obtain a copy of the constitution of the NGO, sample of activity agreements, progress reports, etc. Conduct physical observations of documents or facts. Personal interviews: Assure confidentiality of information and encourage openness from the respondents. Set a tile limit for the interview and keep the discussions focussed. Ask for personnel manual, annual budgets, organogram, meeting minutes, etc. Interview guides: For each of the indicators, relevant examples are provided in the guidelines. For each indicator, the facilitator should try to find the strengths, weakness and suggestions for improvements from the respondents. It has been observed during interviews that respondents often jump to provide their recommendations without clearly stating the problems or weaknesses. Therefore, it is very important to first find out the weaknesses or problems and then to ask their suggestions to address the problems. Scoring: After completing the narrative comments for each indicator the respondents (individuals and group) should be asked to rate the indicator in a scale of 1 to 4, 1 being the undesirable level and 4 being the ideal situation. There are different numbers of indicators under different components, as shown in the summary sheet. Therefore, the scoring of a component should not be calculated as the total scores for the indicators, neither should it be averaged. For component # 1,3 and 4 the group should be asked to give overall score for the component after scoring for the indicators. For indicator #2, the facilitator should give the score based on the individual scores and their comments. After the interview: Draft a report including the scoring. Prepare a graphical representation of the score, which appears like a spider web. The suggested report outline is as follows: NGO Assessment Report Outline 1. Introduction: Introduces the organization being assessed and state the objective of the

assessment. 2. Methodology: Briefly describe the methodology of the assessment. List the persons

interviewed in the group and in person. 3. Brief description of the organization.

• Major findings of the assessment: • Major strengths of the organizaiton. • Major weaknesses of the organization

4. Recommendations for improvement of weaknesses.

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5. Detailed findings of the assessment: For each indicator describe the status of the organization.

6. Summary of scores: Summarize the scores for the indicators of each component. 7. Graphical presentation of the score: Spider web. 8. Next step: State the steps to be taken by the NGO and the organization conducting the

interview. 9. Conclusion 10. Annex: interview notes, graphical representation, organization profile, and other relevant

documents.

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Annex 1: List of workshop participants NGO/CBO/DDC/VDC Assessment Tool Review Workshop Date: March 30-31, 1998 1. Yamun Yadav Karnali Local Development Project (KLDP): Sanjaya Rana: Praja Community Development Project (PCDP): 3. Carol Gribnau Praja Community Development Project (PCDP): 4. Samita Bhattarai Praja Community Development Project (PCDP): 5. Dhana Malla SAVE the Children US 6. Purna Shrestha SAVE the Children US 7. Gobinda Rajbhandari CARE Nepal 7. Santosh Sharma CARE Nepal 8. Shanker Krishna Khagi CARE Nepal 10. Marcy Vigoda CARE Nepal 11. Sonja Zimmermann SNV Nepal 12. Tej Raj Dahal SNV Nepal 13. John Phillips United Mission to Nepal (UMN) 14. Bal Krishna Maharjan: United Mission to Nepal (UMN) 15. Brieke Steenhof Annapurna Conservation Area project (ACAP) 16. Roshan Sherchan Annapurna Conservation Area Project (ACAP) 17. Sunder Bajgain Biodiversity Support Program (BSP)

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NGO summary sheet Program Planning, implementation, monitoring and evaluation 1

Beneficiaries are Participating in all stages of project cycle

2

Local skills, knowledge and practices are mobilized in program cycle.

3

Programmes emphasize gender sensitivity.

4

Systematic process of M&E exists and lesson learned are incorporated in project cycle.

program planning, implementation, monitoring and evaluation TOTAL

Organizational structure and management 5

Clarity and consensus exists on organization's vision and goals, which are operationalized.

6

Decisions are made in a participatory way.

7

Delegation of authority occurs

8

Personnel policies and procedures exists, practised and are gender sensitive.

9

Organization is operated under a code of ethics.

10

A program supportive administration (Procurement, Inventory and Admin.) exists.

11

Communications are open and spontaneous.

12

Recording and filing system exists.

Organizational structure and management TOTAL

Resource Mobilization 13

Financial policies and procedures exists and are followed.

14

A strategy for diversified funding exists and is implemented.

15

Internal resources are mobilized. Public relation are given the required importance.

Resource mobilization TOTAL

Coordination and networking 16

Active coordination with major stakeholders

17

Affiliated to other organizations with similar objectives.

Coordination and networking TOTAL

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Interview guide confidential when completed name date 1. Program Planning, Implementation, Monitoring and Evaluation 1.1 Beneficiaries are participating in all stages of project

cycle.

1

Enough time is spent with the community to allow them to understand the programme.

2

Baseline information is obtained through participatory techniques such as PRA.

3

A community needs assessment is done prior to planning.

4

The organization adopts and adapts new methods of planning and implementation.

5

The organization's plans are in compliance with its existing budget.

6

VDCs and other local agencies are involved in the planning process.

notes:

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interview guide confidential when completed name date Program Planning, Implementation, Monitoring and Evaluation 1.2 Local skills, knowledge and practices are mobilized in program cycle.

1

Local skill, knowledge practice and resources are identified.

2

Activities take into consideration cultural and social issues of the community.

3

Emphasis is placed on using the innovative approaches for implementation.

4

Community significantly contribute labor and resources (cash/kind)

5

Local human resources are developed and utilized in program cycle.

notes:

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Program Planning, Implementation, Monitoring and Evaluation 1.3 Programmes emphasize gender sensitivity

1

Women are actively involved in the community needs assessments.

2

Planned activities adderesses women's needs.

3

Discuss gender sensitive issues in community meetings.

4

At community levels mixed groups of men and women are formed, as well as women-only and men-only groups.

notes:

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interview guide confidential when completed name date Program Planning, Implementation, Monitoring and Evaluation 1.4 Systematic process of M&E exists and lesson learned are incorporated in project cycle.

1

Monitoring and evaluation plan is developed and implemented.

notes:

2

Recording and reporting formats are developed as per M&E plan.

3

Quality reports are prepared as per project agreement.

4

Regular monitoring of all aspects of programming is done.

5

Information from monitoring is used to improve programmes.

6

Community monitoring is conducted at least once in a year.

7

Evaluations are carried out as planned.

8

Lessons learned from evaluations are incorporated into program cycle.

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interview guide confidential when completed name date 2. Organization structures and management 2.1. Clarity and consensus exists on organization's vision and goals which are operatinalized.

1

Vision and goals are written in the organization’s constitution or policy.

2

The executive members can explain the organizational vision and goals.

3

Staff/members have received training/orientation on the vision.

4

Organization reflects/reviews the results of the programme in relation to its vision/goals.

5

The organization has established good reputation among stakeholders

notes:

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Organization Structure and Management 2.2 Decisions are made in a participatory way.

1

Senior staff/members are involved when major decisions are made.

2

Staff know the decisions making process/channel.

3

Even unpopular but important decisions are made.

4

Decisions are made independent of undesired external pressure such as political pressure.

5

Staff respect decisions made at different levels.

6

Annual plans and budgets are approved by general assembly.

7

General Assembly meets at least once every year.

8

Responsibilities and authority levels of executive members/ senior staff are clearly defined.

9

Election of board memebers takes place as scheduled in the constitution.

notes:

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interview guide confidential when completed name date

Organizational Structure and Management 2.3. Delegation of authority occurs.1

1

Are senior staff allowed to make their own decisions?

2

Does the Chairperson Director have to approve all decisions made by other staff?

3

Does the Chairperson/Director involve other staff before making decisions?

4

Are there sub-committees to carry out /decide different issues?

5

What are the examples to show that the Director/Chairperson stands by the decisions made at the various levels even though s/he may not agree with it?

Notes

1 This is a controversial area. It was found that asking questions brought

more accurate reflection in this particular indicator.

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interview guide confidential when completed name date

Organizational Structure and Management

2.4 Personal Policies and precedures exists, practiced and are gender sensitive.

1

Writen personnel policies exists and are updated regularly.

notes:

2

The organization has a written organogram.

3

Staff/members are provided with training to improve capacity.

4

All available positions are fulfilled based on open advertisement.

5

Staff’s performance is appraised formally (either written or oral) regularly.

6

Clear job descriptions exists for all positions.

7

Organization consciously seeks to hire women, minority and other discriminated group members.

8

Women's issues are addressed sensitively in personnel policies.

9

Grievances and disciplinary procedures exists.

10

Nepotism is not allowed by policy.

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interview guide confidential when completed name date

Organization and management 2.6 Recording and filing system exists.

1

Meeting minutes are up-to-date.

2

Correspondence/reports/documents are kept systematically in files.

3

Records are made available regularly to all concerned such as donors,staff, executive committee members beneficiaries.

notes:

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interview guide confidential when completed name date

Organization and management 2.5 Organization is operated under a code of ethics.2

1

Overall the organization is committed to people’s empowerment.

2

It is committed to people’s participation.

3

Respects the culture and traditions of community.

4

Maintains high standard of professionalism based on honesty and dedication.

5

Enhances mutual development among other NGOs based on the premises that they are partners and not competitors.

6

It ensures funds are always used for their intended purpose.

7

It is transparent about what they do.

8

Endeavors to achieve high standards in the organization’s work.

9

It is independently managed and is not seen as an extension of another agency.

10

Staff/members are required to treat each other with respect and equality.

notes:

2 Code of ethics is a vital part of the effort to professionalise NGO work.

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interview guide confidential when completed name date

Organization Structure and Management 2.7 Communications are open and spontaneous.

1

Regular meetings are held.

2

Information is shared with staff/members through letters, reports, bulletins, memos, verbally, etc.

3

Relevant informations are provided to the target people in time.

4

Executive committee members and senior staff are easily accessible.

notes:

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interview guide confidential when completed name date

Organization and management 2.8 A programme supportive administration (Procurement, inventory and Admin.) exists.

1

Registration with Social Welfare Council and/or respective district office exists and is up-to-date.

2

Organization has a constitution and by-laws.

3

Procurement is done through competitive pricing emphasizing quality goods and services.

4

A simple inventory of all major assets, material and equipment is maintained.

5

Office building,equipment and vehicles are properly maintained.

6

Electricity and telephone bills are reasonable and regularly paid.

7

All related legal contracts of the Organization (funding, agreements, rent, etc) exists and are updated in time.

notes:

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interview guide confidential when completed name date

3. resources mobilization 3.1 Finalcial policies and procedures exists and are followed

1

Writen financial policies exists

2

Proper financial/accounting records of income/ expenses are mentained.

3

The organization has appointed a qualified and experienced accountant.

4

Organization has bank account with a bank.

5

Annual internal/external auditing is done by authorized auditors.

6

Audit reports are made available to all concerned.

7

There are two or more signatories (non-relatives) for signing cheques.

8

There are separate accounting system for different donors.

notes:

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interview guide confidential when completed name date

resources mobilization 3.2 A strategy for diversified funding exists and is implemented.

1

Proposals for fund raising are well written.

2

At least two donors support the organization.

3

Donor research is done to understand what they want.

Notes:

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3.3 Internal Resource are mobilize. Public relations are given the required importance. 1

Local fund raising is carried out.

2

Non-formal ways (other than asking for funds) to diversify financial resource base is used (such as levying a small percentage on products produced in the area, investing in tree plantations, renting-out office rooms, etc).

3

Local non financial resoruces such as human resource and materials are mobilized.

4

Membership fees are regularly collected.

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interview guide confidential when completed name date

Coordination and Networking 4 networking and alliance building 4.1 Active coordination with major stakeholders.

1

Major stakeholders are identified.

2

Regular interactive meetings with donors are organized.

3

Coordinate, where possible, with government bodies resource centers.

4

Constant dialogue and interaction with communities and other stakeholder occurs.

5

Feedback from coordination meetings are used to improve programmes.

notes:

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Coordination and Networking 4.2. Affiliated to other organizations with similar objectives.

1

Organization is a member of a network.

2

Worked together with another organization on a theme/issue of common interest.

3

Members of networks are aware of external issues (such as trends, donor focus, politics, etc).

4

Collaborative efforts also seek and share innovative and new technologies.

notes:

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CARE Nepal P. O. Box 1661, Kathmandu Krishna Galli, Patan, Nepal

Phones: 522800 Fax: 977-1-521202

E-Mail: [email protected] Website: http://www.carenepal.org