NGO ASSESSMENT TOOL

UPDATED ON: NOVEMBER 1998

NGO ASSESSMENT TOOL

Updated on: November, 1998

CARE-Nepal
Kathmandu

F\Archive\Partner\NGOTOOL

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 groups 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.
2.
3.
4.

Beneficiaries are participating in all stages of project cycle.

Local skills, knowledge and practices are mobilized in program cycle.
Program emphasizes gender sensitivity.
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 organizations 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.

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 participants 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

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
others 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.

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.

Annex 1: List of workshop participants

NGO/CBO/DDC/VDC Assessment Tool Review Workshop
Date: March 30-31, 1998
1.
3.
4.
5.
6.
7.
7.
8.
10.
11.
12.
13.
14.
15.
16.
17.

Yamun Yadav
Sanjaya Rana:
Carol Gribnau
Samita Bhattarai
Dhana Malla
Purna Shrestha
Gobinda Rajbhandari
Santosh Sharma
Shanker Krishna Khagi
Marcy Vigoda
Sonja Zimmermann
Tej Raj Dahal
John Phillips
Bal Krishna Maharjan:
Brieke Steenhof
Roshan Sherchan
Sunder Bajgain

Karnali Local Development Project (KLDP):

Praja Community Development Project (PCDP):
Praja Community Development Project (PCDP):
Praja Community Development Project (PCDP):
SAVE the Children US
SAVE the Children US
CARE Nepal
CARE Nepal
CARE Nepal
CARE Nepal
SNV Nepal
SNV Nepal
United Mission to Nepal (UMN)
United Mission to Nepal (UMN)
Annapurna Conservation Area project (ACAP)
Annapurna Conservation Area Project (ACAP)
Biodiversity Support Program (BSP)

NGO summary sheet

Program Planning, implementation, monitoring and
evaluation
1

Beneficiaries are Participating in all stages of project cycle

Local skills, knowledge and practices are mobilized in

program cycle.

Programmes emphasize gender sensitivity .

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.

Decisions are made in a participatory way.

Delegation of authority occurs

Personnel policies and procedures exists, practised and are

gender sensitive.

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

Interview guide

confidential when completed

name
date

1.

1.1

Program Planning, Implementation, Monitoring and Evaluation

Beneficiaries are participating in all stages of project

cycle.

Enough time is spent with the

community to allow them to understand
the programme.

Baseline information is obtained

through participatory techniques such
as PRA.

A community needs assessment is done

prior to planning.

The organization adopts and adapts

new methods of planning and
implementation.

The organization's plans are in

compliance with its existing budget.

VDCs and other local agencies are

involved in the planning process.

notes:

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.

Activities take into consideration cultural

and social issues of the community.

Emphasis is placed on using the

innovative approaches for
implementation.

Community significantly contribute

labor and resources (cash/kind)

Local human resources are developed

and utilized in program cycle.

notes:

Program Planning, Implementation, Monitoring and Evaluation

1.3 Programmes emphasize gender sensitivity
1

Women are actively involved in the

community needs assessments.

Planned activities adderesses women's

needs.

Discuss gender sensitive issues in

community meetings.

At community levels mixed groups of

men and women are formed, as well as
women-only and men-only groups.

notes:

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.

Recording and reporting formats are

developed as per M&E plan.

Quality reports are prepared as per

project agreement.

Regular monitoring of all aspects of

programming is done.

Information from monitoring is used to

improve programmes.

Community monitoring is conducted at

least once in a year.

Evaluations are carried out as planned.

Lessons learned from evaluations are

incorporated into program cycle.

notes:

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

organizations constitution or policy.

The executive members can explain the

organizational vision and goals.

Staff/members have received

training/orientation on the vision.

Organization reflects/reviews the results

of the programme in relation to its
vision/goals.

The organization has established good

reputation among stakeholders

notes:

Organization Structure and Management

2.2 Decisions are made in a participatory way.
1

Senior staff/members are involved when

major decisions are made.

Staff know the decisions making

process/channel.

Even unpopular but important decisions

are made.

Decisions are made independent of

undesired external pressure such as
political pressure.

Staff respect decisions made at different

levels.

Annual plans and budgets are approved

by general assembly.

General Assembly meets at least once

every year.

Responsibilities and authority levels of

executive members/ senior staff are
clearly defined.

Election of board memebers takes place

as scheduled in the constitution.

notes:

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?

Does the Chairperson Director have to

approve all decisions made by other
staff?

Does the Chairperson/Director involve

other staff before making decisions?

Are there sub-committees to carry out

/decide different issues?

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

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

more accurate reflection in this particular indicator.

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.

The organization has a written

organogram.

Staff/members are provided with

training to improve capacity.

All available positions are fulfilled

based on open advertisement.

Staffs performance is appraised

formally (either written or oral)
regularly.

Clear job descriptions exists for all

positions.

Organization consciously seeks to hire

women, minority and other
discriminated group members.

Women's issues are addressed

sensitively in personnel policies.

Grievances and disciplinary

procedures exists.

10

Nepotism is not allowed by policy.

notes:

interview guide

confidential when completed

name
date

Organization and management

2.6 Recording and filing system exists.
1

Meeting minutes are up-to-date.

Correspondence/reports/documents are
kept systematically in files.

Records are made available regularly to

all concerned such as donors,staff,
executive committee members
beneficiaries.

notes:

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 peoples

empowerment.

It is committed to peoples participation.

Respects the culture and traditions of community.

Maintains high standard of professionalism based

on honesty and dedication.

Enhances mutual development among other

NGOs based on the premises that they are
partners and not competitors.

It ensures funds are always used for their

intended purpose.

It is transparent about what they do.

Endeavors to achieve high standards in the

organizations work.

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:

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

interview guide

confidential when completed

name
date

Organization Structure and Management

2.7 Communications are open and spontaneous.
1

Regular meetings are held.

Information is shared with

staff/members through letters, reports,
bulletins, memos, verbally, etc.

Relevant informations are provided to

the target people in time.

Executive committee members and

senior staff are easily accessible.

notes:

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.

Organization has a constitution and bylaws.

Procurement is done through

competitive pricing emphasizing quality
goods and services.

A simple inventory of all major assets,

material and equipment is maintained.

Office building,equipment and vehicles

are properly maintained.

Electricity and telephone bills are

reasonable and regularly paid.

All related legal contracts of the

Organization (funding, agreements, rent,
etc) exists and are updated in time.

notes:

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

Proper financial/accounting records of

income/ expenses are mentained.

The organization has appointed a

qualified and experienced accountant.

Organization has bank account with a

bank.

Annual internal/external auditing is done

by authorized auditors.

Audit reports are made available to all

concerned.

There are two or more signatories (nonrelatives) for signing cheques.

There are separate accounting system

for different donors.

notes:

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.

At least two donors support the

organization.

Donor research is done to understand

what they want.

Notes:

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

Local fund raising is carried out.

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).

Local non financial resoruces such as

human resource and materials are
mobilized.

Membership fees are regularly

collected.

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.

Regular interactive meetings with

donors are organized.

Coordinate, where possible, with

government bodies resource centers.

Constant dialogue and interaction with

communities and other stakeholder
occurs.

Feedback from coordination meetings

are used to improve programmes.

notes:

Coordination and Networking

4.2. Affiliated to other organizations with similar objectives.
1

Organization is a member of a network.

Worked together with another

organization on a theme/issue of
common interest.

Members of networks are aware of

external issues (such as trends, donor
focus, politics, etc).

Collaborative efforts also seek and

share innovative and new technologies.

notes:

CARE Nepal
P. O. Box 1661, Kathmandu
Krishna Galli, Patan, Nepal
Phones: 522800
Fax: 977-1-521202
E-Mail: care@carenepal.org
Website: http://www.carenepal.org