Get documents about "NGO CAPACITY PROFILE History of the NGO CAPACITY PROFILE Several versions of this useful organizational development tool have
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NGO CAPACITY PROFILE
History of the NGO CAPACITY PROFILE
Several versions of this useful organizational development tool have emerged to assist NGOs in assessing their capacity and formulating strategies for strengthening their
organizations. The current Peace Corps version has its origins in the NGO Characteristics Assessment for Recommended Development (NGO CARD) designed and tested with the
cooperation of over 200 NGOs in Slovakia in 1996-97 by The Foundation for a Civil Society. In the summer of 1997, Peace Corps/Slovakia acquired for Peace Corps world
wide the rights to use, modify, and translate the NGO CARD into local languages. On modified or translated versions, The Foundation for a Civil Society should be given
credit for developing the NGO CARD.
Peace Corps/Slovakia used the NGO CARD as the center piece of their 1997 PST technical training for Business and Environmental Volunteers who were assigned to NGOs.
The staff concluded it is important to include community entry, interviewing/listening, facilitation, and presentation training to enable Volunteers to use the tool effectively.
Like any tool users become proficient only as they have opportunities to practice. A Volunteer’s understanding of the nature of NGOs and how they function locally is
enhanced through discussions of the role of NGOs in a civil society and information on the local NGO environment.
In spring of 1998, the NGO CARD was introduced to Peace Corps staff at two NGO workshops, one and in Romania and one in Thailand. The staff was enthusiastic about
the CARD’s potential and advised simplifying the tool to make it more users friendly. In early 1999, a program specialist in the Center for Field Assistance and Applied
Research simplified the CARD and disseminated it to Peace Corps posts worldwide. In March of 2000, the name was changed to better reflect the purpose of the tool; it is
now called the NGO Capacity Profile.
The NGO Capacity Profile reflects Peace Corp’s commitment to using asset and capacity building approaches in our development efforts. Use of this organizational tool is
now more straightforward. The first column contains questions to ask concerning the six functional components of an NGO. The remaining three columns contain
indicators to determine the organization’s capacity and provide a guide for development workers and NGO stakeholders in strengthening the organization.
Using the NGO CAPACITY PROFILE
Use the NGO Capacity Profile participatively and appreciatively to identify the NGO’s strengths and help establish a vision of what an NGO can be. The NGO Capacity
Profile is more effective when it is translated into the local language. The profile provides a visual picture of where the organization is and can help those working with the
NGO (board members, staff, donors, clients, and development workers) decide which functional areas need to be strengthened and how to go about strengthen them.
When gathering information on an NGO it might be best to have only a copy to the questions column, so participants are not influenced by typical answers in each capacity
level. Later you can analyze the capacity level most closely approximating participants’ responses.
The following is a partial list of ways the NGO Capacity Profile has been used by Peace Corps staff, Volunteers, and their NGO community partners.
The NGO Capacity Profile can:
Assist programming staff during site development in determining the types of tasks a Volunteer might perform at an NGO.
Be used as a training outline for Volunteers who are working with NGOs in their primary or community outreach projects.
Serve as a language/communications tool when the counterpart has a local translation and the Volunteer has an English version.
Help the Volunteer identify areas where his or her skills can be used to build the NGO’s capacity.
Provide a picture of how a well-run NGO operates by looking at the “Indicators of an NGO with a High Level of Capacity.”
Suggest to the Volunteer and their NGO colleagues items that should be included in the organization’s operating and/or strategic plan(s).
Provide a mechanism to determine baseline data and indicators for monitoring and evaluation.
Demonstrate to donors and potential donors the capabilities of the NGO.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with a High
SERVICE DELIVERY Limited Capacity Growing Capacity Level of Capacity
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NGO CAPACITY PROFILE
Programs Program development is largely Programs are developed within Constituents are recognized as partners
donor driven. an overall strategic plan. and regularly involved in
To what extent do the NGO’s programs The Founder(s) design, Constituents’ role is usually as comprehensive program design,
reflect the real needs of the implement, and monitor recipient. Certain influential implementation, and evaluation.
community or constituency it program activities. members of the constituency may Lessons learned are information
serves? Constituents are viewed by the be consulted and/or invited to applied to future programming
Who is involved in designing, NGO as worthy but passive, participate in some programming activities.
implementing, and monitoring beneficiaries of the services, not discussions. Full-scale advocacy and lobbying
program activities? as potential partners. Demand for the NGO’s programs functions are in place.
How do NGO programs advocate for The demand for the NGO’s is increasing. NGO strives for continuous quality
constituents as well as provide programs has not been There is some awareness of the improvement of programs.
program services to them? determined. need for legislative and/or NGO’s services are often requested by
Is there a demand for expansion of the institutional changes and support constituents.
NGO’s programs? for constituents.
Technical Sector Experience NGO has a limited track record NGO is recognized as having NGO is able to adapt programs to
in the sector and area of service significant experience in sector changing needs of constituency and to
What are the technical strengths of the delivery but has some good and contributing to sector growth. extend service delivery to additional
NGO’s programs? ideas for meeting the needs of Improved targeting of clients and constituencies.
Does the NGO have access to technical target constituencies. redefined service/technical NGO is recognized for sector expertise
sector experience when required? package. and asked to consult on similar
How well is the NGO performing NGO has ability to access projects.
technically in comparison with additional sector expertise when
similar NGOs? required.
Program Evaluation/Assessment Occasional program evaluations The NGO is aware of the value of Measurable indicators of success and
are conducted, usually at request evaluating its programs and is impact have been determined for each
What changes in people’s lives occurred of donors. exploring how to measure impact. program goal.
as a result of the NGO’s programs? The NGO has not determined Program objectives may or may Studies are done that provide baseline
How is the NGO’s impact and impact indicators or established not be measurable; they may be measures and this data is regularly
performance measured? baseline measurements. tangible or intangible. confirmed and used.
What information has been gathered to Members of the NGO can The NGO can determine cost per Monitoring and evaluation system are
verify that the NGO’s programs are recount stories of how client served. in place; conducted by staff on
meeting the community’s/client’s individuals have been helped continuous basis.
needs? by the NGO’s programs. Cost-benefit data is maintained. Trends
How is the NGO performing in are analyzed and used in decision
comparison with other NGOs? making.
How cost effective are the benefits of NGO shares lessons learned and
the NGO’s programs? promising programming evaluation
practices with other NGOs.
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NGO CAPACITY PROFILE
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with a high Level
GOVERNANCE Limited Capacity Growing Capacity of Capacity
Board of Directors Board members are identified. Board membership is stable or Board composition includes leaders in the
Board does not yet differentiate improving. field of the organization’s mission as well
How does the board provide overall between oversight and Board differentiates between as those capable of providing policy
policy direction for the NGO? management roles. board’s role and that of NGO’s direction, fund-raising, public relations,
How does the board provide oversight Board is not active in: management. and lobbying.
of the NGO’s management? Influencing public opinion, Board is aware of responsibilities Board has mechanisms in place for
How does the board provide Influencing legislators, or to provide oversight. obtaining appropriate input from
fundraising leadership? raising funds for the NGO. Board is beginning to influence constituency, for monitoring
How does the board assist with public Board meetings are infrequent or public opinion and/or legislators, organizational planning and functioning
relations activities? irregular. fund-raise, and perform public in relation to mission.
How often does the board meet? The NGO’s constituency is not relations activities. Board terms are defined. Procedures are
What is the expertise and experience of represented on board. Board membership represents in place for selecting and orienting new
board members? Board members are founders or some community diversity. board members.
How are board members selected? selected by founders.
Vision/Mission The vision/mission is generally The mission is clear to board and The mission is clear to board, staff,
understood by the NGO’s staff; strategies, goals, and constituents, and interested parties
Does the NGO Mission Statement founder(s). objectives are based on the outside the NGO.
accurately reflects its Staff may perform functions that mission. Operation plans grows out of the mission
vision/mission? support the mission but there is Operational planning is and translate into a set of clear program
Was the vision/mission determined no systematic design of job conducted by management and objectives supported by a realistic budget.
through a participatory process? functions based on the mission. linked to vision/mission but
Is it possible for the NGO to realize its There may be activities without staff or constituents’
mission? conducted by the members of input.
How do the NGO’s programs help the NGO that seem unrelated to Projects that do not relate to
achieve the stated mission? the mission. NGO’s mission are sometimes
undertaken to secure funding.
Leadership Within the NGO there are one or Most decisions made by the board Board and management have clear
a few dynamic individual(s) and management with some understanding of their leadership roles
Who takes leadership responsibility in controlling most functions. input from select staff. and actively encourage new members to
the NGO? take on leadership roles.
Staff is routinely involved in direction
and policy development and not just
consulted on occasion.
Constituents are encouraged to become
involved in leadership roles.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with a High
MANAGEMENT Limited Capacity Growing Capacity Level of Capacity
Information Management No organized system(s) exist(s) A rudimentary electronic MIS operational and data integrated
for the collection, analysis, or database system to manage into operational planning and decision-
How does the NGO gather, dissemination of data in the information (MIS) is in place. making.
disseminate, save, and retrieve NGO. MIS is used primarily for word- There is improved project planning
client, program, and financial Information is usually collected processing and bookkeeping; based on analysis of information
information? randomly and manually some staff understand database provided through the system.
How is collected information used for capability. MIS information is readily available to
planning and decision-making? There is no mechanism for staff management and board.
integrating MIS-generated The NGO learns from MIS information
information into the NGO’s and shares these learnings with
planning process. stakeholders and other NGOs.
Planning Planning is ad hoc with limited There may be some input from NGO’s leadership conducts short-term
participation from staff and staff and constituents but they are strategic planning.
Does the NGO have a long-term constituents. not involved in decision-making. The board decides on program
strategic plan? Decisions and plans are made Annual operating plans are priorities and the use of available
Does the NGO do short-term without reference to the mission developed and reviewed resources.
operational planning? or the agreed-upon strategies to throughout the year primarily by Each NGO program has an annual
How are staff and constituents achieve the mission. management but without operating plan that reflects the mission
involved in the planning process? Staff is responsible for plan connection to review of previous and is developed with staff and
Are all plans directed toward implementation and clients are year or analysis of resource constituent input.
achievement of the NGO’s not involved in planning. availability. There is a regular review of long-term
mission? No assessment of needed plans based on previous achievements.
resources is included in planning.
Communication Meetings are irregular, Staff knows how to participate in Staff is increasingly able to shape the
dominated by interests of a few. meetings and is aware of how way they participate in decision
How often does the staff meet? There is no predetermined decisions are made. making.
Do staff meetings have an agenda? agenda, and meetings often do Mechanisms exist for vertical and Communications are open and
Are minutes taken at staff meetings not reach concrete conclusions. horizontal communication. transparent.
and available for future reference? Staff provides technical input A meeting agenda and minute Client and other stakeholder input is
only and are not involved in or record keeping are standard included at staff meetings when
informed of decisions. operating procedures. appropriate.
No systematic procedure for
recording or storage of minutes
of staff meetings.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with a High
MANAGEMENT Limited Capacity Growing Capacity Level of Capacity
Personnel Management Supervisors organize work. There Organizational chart exists to There is a formal mechanism in place
is little understanding of the explain relationships of work for inter-team linkages and intra-team
Does the organizational chart show the necessity to organize work units. planning, coordination, and work
most significant units or functions beyond issuing directives. There is recognition of the need to review.
of the NGO? Focus is on individual foster a collaborative work Teams are self-directed in that they
Is work organized individually or achievement; there is little environment. organize their own work around clear
teams? understanding of need (or what it Work plans are developed but not understanding of the organization’s
Are job tasks and job descriptions means) to work as a team. coordinated across positions, mission and the team’s role in
consistent with the mission of the Hiring is based more on personal functions, or expertise. achieving the mission.
NGO? connections than applicant’s job Staff is recognized as being able Volunteers and constituents are
Is there a written employee manual? skills. to make useful suggestions about included as active participants in the
Is hiring a systematic, open process? Some essential tasks are not how their own work should be NGO’s work plan.
Are salaries based on performance and carried out, because they are not organized. All personnel systems are formalized
market value of the jobs? assigned or because the tasks are Basic personnel administration and understood by staff, and staffs’
beyond the expertise of the staff. systems exist but informal opinions are part of policies and
Salaries are not determined on the employment practices persist. procedures.
basis of the market value of the Salary and benefit reward system Written employment practices are used
work done or performance of rewards staff according to job and reviewed so they support the
individuals. title, not work performed. NGO’s mission, strategies, and policies.
Salaries are not necessarily Hiring procedures are transparent.
competitive with those in market.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of NGO with Indicators of an NGO with Indicators of an NGO with a High
HUMAN RESOURCES Limited Capacity Growing Capacity Level of Capacity
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NGO CAPACITY PROFILE
Staff Staff consists of founders and/or Some gaps exist between job skills Skill areas are competently covered and
unpaid volunteers. required and those of existing the capacity exists to contract out for
Are staff motivated and committed to Staff is motivated and staff. other skills as needed.
the mission of the NGO? committed, but may lack Staff moral is sometimes affected Inter-personal skills and group training
Do staff have the skills and knowledge and skills to by lack of clarity of their jobs or are provided as needed.
competencies required to support implement appropriate too much work for available staff. Staff have opportunities to contribute to
the achievement of the NGO’s programs to achieve the NGO’s Performance evaluations are ad the organization to the fullest extent of
mission? mission. hoc, mostly when problems their abilities.
What are the training opportunities for Staff development opportunities surface. Staff performance is done on a regular
staff to develop job related skills? are not yet available. basis; evaluation criteria are
Is staff assigned and promoted No system in place for understood by the staff.
according to performance? performance evaluation. Staff moral is high..
Constituency/Clients Links with constituency are Well-defined community base Composition of board and staff
weak. and constituency. represents gender, ethnic, and religious
Are constituents seen as part of the Staff and board are not There is understanding and diversity of constituents.
human resources of the NGO? representative of constituents on interest among some board Regular surveys of constituency needs
Does the composition of the board and either the basis of ethnicity, members, management, and staff with results integrated into planning
staff represent constituency? gender, income, religious, or as to the value and need for process.
Are constituents treated equally and stakeholder interest. representation of constituents, but NGO welcomes and seeks out new
fairly? no policy in place. constituents.
Is the NGO’s constituency growing? NGO serves existing constituents
but does not actively seek new
constituents.
Volunteers No volunteers or small numbers Volunteers are mobilized under High integration of volunteers with
of volunteer are randomly specific programs/projects. paid staff.
How do volunteers assist the NGO? providing services. Management identifies the Volunteers are integrated into the
Do volunteers have structured tasks? NGO staff are unpaid volunteers difference between staff and planning and evaluation process of the
How are volunteers mobilized and due to insufficient planning and volunteer duties and activities. organization.
trained? fund-raising. The number of volunteers Training programs are in place for
Is volunteer help regular and involved with the NGO is volunteers.
consistent? increasing. Recognize and thank volunteers for
How are volunteers thanked for their individual and collective achievements.
service?
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with High
FINANCIAL RESOURCES Limited Capacity Growing Capacity Capacity
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NGO CAPACITY PROFILE
Accounting Accounting tracks only increases A system of accounts including Financial systems and reports provide
and decreases in cash. assets, liabilities, fund balance, reliable current information.
Is the accounting system automated? Financial procedures and revenues and expenses is Reports are always timely and trusted,
Do accounting records meet donor’s and reports are incomplete and developed and operational. and feed back into financial planning
government financial reporting difficult to understand. Financial reports are usually process.
requirements? Internal reconciliation of bank timely but still incomplete and Internal monthly or quarterly
Are there procedures for reporting and accounts with cash are done with errors and tend to present reconciliation of bank statements and
recording in-kind contributions? only when there appears to be a an optimistic versus realistic accounting records are done.
Has NGO ever had an audit? problem. picture. Independent audits or external financial
Does NGO do a cash reconciliation on a The NGO has not yet undergone Internal reconciliation of cash is reviews are performed with regular and
regular basis? an external accounting review or done more often. appropriate frequency.
How often are financial statements audit. Independent audits or external The board of directors receives summary
furnished to the NGO’s board of financial reviews are rarely financial reports at every regular board
directors? conducted, usually to meet meeting.
donor’s requirements, but the
NGO recognizes them as
desirable.
Budgeting Budgets are inadequate or if Budgets are developed for Budgets are integral part of project
they do exist, are produced project activities, but are often management and are adjusted to reflect
Does the NGO have a regular budget because they are required by under- or overspent by more project implementation results.
planning process? donors. than 20%. Budgeting is integrated with annual
Do financial controls to prevent Using budgets as a management The executive director and/or operational planning process.
expenditures in excess of budget? tool is not understood, and the accountant are the only staff Project staff are responsible for
Are budgets constructed to facilitate reliability of the projections is who know and understand preparation, justification, and
cost/benefit analysis? questionable. budget information and do not management of project budgets.
Do budgets show actual costs when delegate responsibility. Donors are notified when budget
known? Donors do not get notice of adjustments are needed.
budget adjustments.
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NGO CAPACITY PROFILE
Financial Management NGO meets its expenses but not NGO meets its expenses in a NGO is expanding its programs and
in a timely manner. timely manner. projects, and pays the increased costs in a
Are reliable cash flow projections in place Designated project funds and Accurate cash flow projections timely manner.
to facilitate financial planning? operating funds are not assist management in making Adequate control exist to avoid cross-
Are payroll, petty cash, and basic supplies separated in the accounting cash management decisions. project financing.
costs paid on time? system or in bank accounts. Account categories exist and The NGO uses an impressed petty cash
Are restricted donor’s funds placed in Cash flow projections if done project funds are separated, but fund to track small expenditures, requires
separate bank accounts? tend to be inaccurate. some temporary project cross- two authorized signatures on checks, and
What internal controls are in place to financing may occur. a voucher system is in place to record
prevent theft or misappropriation of Funds are regularly deposited in inflows and outflows of cash.
cash and other assets? a bank account for safekeeping. The value of insurance to protect assets is
Are funds not needed currently invested recognized and purchased when
to earn a return on the money? available and cost effective.
Cash not currently needed is prudently
invested to earn interest.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with High
FINANCIAL RESOURCES Limited Capacity Growing Capacity Capacity
Funding Base Funds are solicited for one NGO’s funding is from two or NGO has funding from three or more
short-term project and only from more sources with no one sources with no source exceeding 40%.
What are the existing sources of the one source. exceeding 60%. A long-term funding plan exists that
NGO’s funding? Local fund-raising for any There is a developing awareness results in the NGO’s self-sufficiency.
What is the long-term plan for developing income is untried and/or of local resource possibilities but All projects have funding plans and
financial resources? unsuccessful. few resources are actually current funds meet project needs.
What alternative sources of funding might Project funding is insufficient to mobilized. Basic program delivery can continue
be available for the NGO? meet plans or provide projected Funding is available for short- even if there is a funding shortfall.
What percent of costs are covered by services. term projects, and medium-term Constituent support is evident from
constituents? Constituents are not seen as an funding strategies exist within a their willingness to pay for some
Does any one source provide more than income source. funding plan. services as well as their utilization of
40% of the NGO’s funding? NGO is beginning to develop the NGO’s services.
constituent support. Fee-for-
service and other cost recovery
programs built into service
delivery process.
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NGO CAPACITY PROFILE
QUESTIONS TO ASK ABOUT Indicators of an NGO with Indicators of an NGO with Indicators of an NGO with a High Level
EXTERNAL RELATIONS Limited Capacity Growing Capacity of Capacity
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NGO CAPACITY PROFILE
Public Relations NGO is little known outside of NGO is known in its own NGO has a clear image and message of
its direct collaborators. community, but does little to mission, programs, accomplishments.
To what extent is the NGO known to the There is no clear image of the promote its activities with the These are documented.
public? NGO articulated and presented general public and government. NGO’s work is well known to public and
What materials does the NGO have that to the public. There is understanding that policy makers and it uses this to attract
describe its mission, programs, and There are no documents or public relations is a function of support when necessary.
achievements? prepared statements available NGOs but little understanding of A public relations plan is being
What use does the NGO make of mass that provide information about how to implement public implemented.
media to disseminate information about the NGO. relations.
itself and its achievements? The NGO has an annual report.
Local Collaboration/Support NGO tends to view the private Beginnings of support from NGO’s projects bring support from local
sector (businesses) as the community residents through agencies to assist project results and
How effective is the NGO in accessing local “others,” sometimes even with volunteerism. sustain those results.
financial, human, and other resources? suspicion and distrust. NGO seeks technical assistance Staff member serves as development
How does the NGO make an effort to It does not work in cooperation from some local private sector officer and knows the local private and
engage community citizens in the NGO with the private sector to draw and government resources. public sector donor opportunities.
as volunteers or through individual on human or other resources, NGO seeks support from service Private sector/NGO cooperation is the
gifts? technical expertise, or advocacy agencies in the private and public norm and the NGO is a full community
How active is the NGO in seeking support, support. sectors. partner.
monetary, gifts-in-kind and volunteers The NGO’s programming has a Private and public sector individuals
from local businesses? limited relationship with local recruited to serve on board.
citizens.
NGO Cooperation Organization does not have Organization is increasingly NGO plays leadership role in promoting
experience working with other known and trusted by the NGO coalitions on projects and in the
Does the NGO cooperate or partner with NGOs, local, national, or community but has little sponsorship and participation in a formal
other local NGOs? international. experience with collaboration. association of NGOs.
Has the NGO established national linkages NGO does not try to plan or NGO tries to plan services in NGO is fully integrated into NGO
with other NGOs? deliver services in collaboration collaboration wit other NGOs, but community that includes developing and
Has the NGO established international with other NGOs or see the mostly on an ad hoc basis. supporting formal group advocacy
linkages with other NGOs or value of partnering. mechanisms.
development groups?
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NGO CAPACITY PROFILE
Government Cooperation Relationship with government Occasional cooperation NGO performs specific project or sectorial
is based on a “we-they” established with different groups collaboration or contacts for government.
What is the relationship between the NGO perception. around specific areas of activity. NGO provides input into policy process
and the local government? NGO has little planning with Some understanding that the on issues related to its program areas and
What is the state of the relationship between government working in same NGO can influence public policy sectorial expertise.
the NGO and the national government? programming sectors or but efforts in advocacy are ad Through public contact, NGO is seen as
geographic area. hoc, short-term, an not an advocate in its area of expertise.
NGO has little understanding sustainable.
of the advocacy or public policy
role of the NGO.
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