The Board of Directors

The e-Advocate Quarterly Magazine

The Board of Directors Proverbs 15:22

“Turning Your Nonprofit into a Powerhouse”

Vol. V, Issue XVII – Q-1 January| February| March 2019

The Advocacy Foundation, Inc. Helping Individuals, Organizations & Communities Achieve Their Full Potential

Since its founding in 2003, The Advocacy Foundation has become recognized as an effective provider of support to those who receive our services, having real impact within the communities we serve. We are currently engaged in many community and faith-based collaborative initiatives, having the overall objective of eradicating all forms of youth violence and correcting injustices everywhere. In carrying-out these initiatives, we have adopted the evidence-based strategic framework developed and implemented by the Office of Juvenile Justice & Delinquency Prevention (OJJDP).

The stated objectives are: 1.

2.

3.

4.

5.

Community Mobilization; Social Intervention; Provision of Opportunities; Organizational Change and Development; Suppression [of illegal activities].

Moreover, it is our most fundamental belief that in order to be effective, prevention and intervention strategies must generally be Community Specific, Culturally Relevant, Evidence-Based, and Collaborative. The Violence Prevention and Intervention programming we employ in implementing this community-enhancing framework include the programs further described throughout our publications, programs and special projects both domestically and internationally.

www.The AdvocacyFoundation.org

ISBN: ......... .........

../2015 Printed in the USA

Advocacy Foundation Publishers 3601 N. Broad Street, Philadlephia, PA 19140 (878) 222-0450 | Voice | Fax | SMS

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The Advocacy Foundation, Inc. Helping Individuals, Organizations & Communities Achieve Their Full Potential

The Board of Directors “Turning Your Nonprofit Into a Powerhouse” “Helping Individuals, Organizations & Communities Achieve Their Full Potential

1735 Market Street, Suite 3750 | 100 Edgewood Avenue, Suite 1690 P hiladelphia, PA 19102 Atlanta, GA 30303

John C Johnson III, Esq. Founder & CEO ______

(855) ADVOC8.0 (855) 238-6280 § (215) 486-2120

www.TheAdvocacyFoundation.org

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Table of Contents The Juvenile Justice Legislative Reform Project

______

Biblical Authority Introduction Roles and Responsibilities Ten Basic Responsibilities of Nonprofit Boards

Legal Duties of the Nonprofit Board The Sarbanes-Oxley Act of 2002 Board Member Job Descriptions Indemnification Suggested Quarterly Meeting Agendas Attachment A: Best Practices for Executive Directors and Boards of Nonprofit Organizations Attachment B: Leading a Nonprofit Organization: Tips and Tools for Executive Directors and Team Leaders

Copy right Š 2014 The Advocacy Foundation, Inc. All Rights Reserved.

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Biblical Authority Proverbs 15:22 (ASV) Where there is no counsel, purposes are disappointed; But in the multitude of counsellors they are established. ______

Proverbs 11:14 (NASB) Where there is no guidance the people fall, But in abundance of counselors there is victory. ______

Proverbs 24:6 (MSG) 5-6

It’s better to be wise than strong; intelligence outranks muscle any day.

Strategic planning is the key to warfare; to win, you need a lot of good counsel.

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Introduction The board of directors of a nonprofit corporation is legally and financially responsible for the conduct of the organization. It is not a passive role but rather one that must be active for the good of the organization and for reducing liability of the individual directors. It is not just for-profit corporations that are under ever increasing scrutiny for ethical operations.

State laws may establish a minimum size of a board and in some states, new corporations can have a board of directors consisting of as little as only one member who fulfills all roles. As the corporation grows, others are added. As a general guide, nonprofit corporations should have at least five or more members who are related only in their commitment to the organization. Be certain to seek the advice of a lawyer if you have any doubt about the law pertaining to boards in your state.

The varied talents and contacts of a board from diverse backgrounds can help an organization grow. A good board member is one that brings unique ability and perspective to a board and takes an active interest in the organization. Having a "well known" board member for the sake of their name can be more damaging than beneficial. Having board members who are connected in the community, are representative of your constituency and truly want to help the organization succeed are a better fit.

The board governs the organization and has specific fiduciary responsibilities for which it must be accountable. These responsibilities are summarized in How to Provide Good Nonprofit Leadership, a brief article on board duties. Additional responsibilities vary but generally include oversight of policy, budgeting, planning, fundraising, human resources, program evaluation and board development. One of the most important roles of the board is to hire an executive director for the organization and to give that person room to lead. The board should provide oversight and not become involved in day-to-day operations.

The board is organized under officers and through committees. This is a practical and effective way to provide governance of most organizations and helps to involve all board members.

Traditionally officers include a chair who presides at meetings and provides management of the board, a vice-chair who presides in the absence of the chair, a treasurer and a secretary. The treasurer and secretary positions may not be needed as today these roles are often assigned to staff of the organization.

Committees of the board can include a a finance committee, program committee, development (fundraising) committee, human resources committee, nominating committee (future board members) and other areas depending on the needs of the organization. Often smaller nonprofits may have just one or two committees or create temporary committees based on present needs.

The best way to proceed is develop committees as needed and make them standing or temporary depending on the time it will take to complete committee objectives.

When boards meet, and they should, it is important to record minutes of the meeting. These minutes are a legal record of activity. They do not need to be extensive but they should adequately address matters of importance and show that discussions took place including any Page 8 of 30

resulting decisions. Attendance at the meeting should be recorded as well. In legal terms, absence from a meeting or pleading ignorance does not relieve a board member of responsibility for actions of the board. The minutes should provide enough information that an absent member would be able to recognize important discussions that may require their additional review.

The chair of the board should serve as the conduit for communicating goals and objectives of the board to the executive director of the organization. All members of the board should also interact with staff, volunteers and those served by the nonprofit in order to gain insight into operations.

This active interest also builds loyalty and enthusiasm and develops mutual respect between the board and those who fulfill the mission of the nonprofit every day.

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Roles and Responsibilities Both for-profits and nonprofits must typically adhere to legally-defined standards of corporate governance.

"Proper purpose" Directors must exercise their powers for a proper purpose. While in many instances an improper purpose is readily evident, such as a director looking to feather his or her own nest or divert an investment opportunity to a relative, such breaches usually involve a breach of the director's duty to act in good faith. Greater difficulties arise where the director, while acting in good faith, is serving a purpose that is not regarded by the law as proper.

The seminal authority in relation to what amounts to a proper purpose is the Privy Council decision of Howard Smith Ltd v Ampol Ltd [1974] AC 821. The case concerned the power of the directors to issue new shares. It was alleged that the directors had issued a large number of new shares purely to deprive a particular shareholder of his voting majority. An argument that the power to issue shares could only be properly exercised to raise new capital was rejected as too narrow, and it was held that it would be a proper exercise of the director's powers to issue shares to a larger company to ensure the financial stability of the company, or as part of an agreement to exploit mineral rights owned by the company. If so, the mere fact that an incidental result (even if it was a desired consequence) was that a shareholder lost his majority, or a takeover bid was defeated, this would not itself make the share issue improper. But if the sole purpose was to destroy a voting majority, or block a takeover bid, that would be an improper purpose.

Not all jurisdictions recognized the "proper purpose" duty as separate from the "good faith" duty however.

"Unfettered discretion" Directors cannot, without the consent of the company, fetter their discretion in relation to the exercise of their powers, and cannot bind themselves to vote in a particular way at future board meetings. This is so even if there is no improper motive or purpose, and no personal advantage to the director.

This does not mean, however, that the board cannot agree to the company entering into a contract which binds the company to a certain course, even if certain actions in that course will require further board approval. The company remains bound, but the directors retain the discretion to vote against taking the future actions (although that may involve a breach by the company of the contract that the board previously approved).

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"Conflict of duty and interest" As fiduciaries, the directors may not put themselves in a position where their interests and duties conflict with the duties that they owe to the company. The law takes the view that good faith must not only be done, but must be manifestly seen to be done, and zealously patrols the conduct of directors in this regard; and will not allow directors to escape liability by asserting that his decision was in fact well founded. Traditionally, the law has divided conflicts of duty and interest into three sub-categories.

Transactions with the company By definition, where a director enters into a transaction with a company, there is a conflict between the director's interest (to do well for himself out of the transaction) and his duty to the company (to ensure that the company gets as much as it can out of the transaction). This rule is so strictly enforced that, even where the Conflict of Interest or conflict of duty is purely hypothetical, the directors can be forced to dis gorge all personal gains arising from it. In Aberdeen Ry v Blaikie (1854) 1 M acq HL 461 Lord Cranworth stated in his judgment that: "A corporate body can only act by agents, and it is, of course, the duty of those agents so to act as best to promote the interests of the corporation whose aff airs they are conducting. Such agents have duties to discharge of a f iduciary nature towards their principal. And it is a rule of univ ersal application that no one, hav ing such duties to discharge, shall be allowed to enter into engagements in which he has, or can have, a personal interest conflicting or which possibly may conflict, with the interests of those whom he is bound to protect... So strictly is this principle adhered to that no question is allowed to be raised as to the fairness or unf airness of the contract entered into..." (emphasis added)

However, in many jurisdictions the members of the company are permitted to ratify transactions which would otherwise fall foul of this principle. It is also largely accepted in most jurisdictions that this principle can be overridden in the company's constitution.

In many countries, there is also a statutory duty to declare interests in relation to any transactions, and the director can be fined for failing to make disclosure.

The following descriptions are provided by Richard T. Ingram’s

Ten Basic Responsibilities of Nonprofit Boards .

M embers of the board of directors are trustees who act on behalf of an organization's constituents, including service recipients, funders, members, the government and taxpayers. The basic responsibilities of the board of directors include, but are not limited to: • • • •

Determining the organization’s mission and purpose Supporting and evaluating the chief executive with the goals of the organization in mind Ensuring effective organizational planning Determining which of the organization’s programs are consistent with its mission and monitoring the effectiveness of these programs Page 11 of 30

• • • • • •

Securing adequate financial resources for the organization to fulfill its mission Assisting in the development of the organization’s annual budget and ensuring that proper financial controls are in place Defining prerequisites for potential new board members, orienting these new members, and periodically evaluating performance Adhering to legal and ethical standards and norms Clearly defining and articulating the organization’s mission, accomplishments and goals to gain support from the community and enhancing the organization’s public image Overall, board members have a duty of loyalty to the organization, its staff and other board members. While differences of opinion will likely arise, board members should keep disagreements impersonal. By practicing discretion and accepting decisions made on a majority basis, the board can accomplish unity and confidence in its decisions.

The board of directors should be open to self evaluation and regularly review their own composition to ensure constituent representation, board expertise and commitment. Boards also are responsible for evaluating and determining compensation for the executive director. Board members perform their responsibilities through regular meetings and a committee structure that is appropriate for the size of the board and organization. Board members are responsible for arriving at meetings well-prepared and ready to engage in thoughtful dialogue.

Legal Responsibilities of the Board of Directors The board is ultimately responsible for the performance of the organization in all areas of its work and should ensure that the organization is in compliance with state and federal law. The following checklist of tasks nonprofits are legally required to perform is neither intended nor to be construed as legal advice.

•

• • • • • •

• •

Organizations with more than $25,000 in financial activity should file IRS Form 990 with the IRS and the charities division of the M innesota Attorney General's Office.

Organizations with less than $25,000 in financial activity should file the 990-N epostcard.

Complete an audit if the organization’s total revenue exceeds $750,000 in a year, and file the audit with the charities division of the State Attorney General's Office.

Report a change of name, address or amendments to the articles of incorporation to the Secretary of State and pay any necessary fees for changes.

M ake the IRS Form 990 and Form 1023 available to the public.

Report any Unrelated Business Income to the State Department of Revenue and the IRS, and send tax payments with IRS Form 990T. Withhold taxes from employees, and send withholding payments to the IRS and M innesota Department of Revenue.

Comply with laws that affect all employers, including Americans with Disabilities Act, Occupational Safety and Health Organization, Fair Labor Standards Act, Federal Insurance Contribution Acts, COBRA and Family M edical Leave Act. Report any lobbying activities on the IRS Form 990, and register as a lobbyist if required by the M innesota Ethical Practices Board.

Give receipts to donors for contributions over $250.

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• • • • • • • • • •

Collect sales tax on items sold by the organization, unless tickets are sold to performances by a performing arts organization.

Get court approval for distribution of assets.

Register with the gambling board if the organization conducts charitable gambling activities.

Pay property taxes or obtain an exemption from the county where the property is located, if the organization owns real property.

Pay regular bulk mail rate or obtain a nonprofit bulk mail permit if the organization sends bulk mail.

Comply with the terms of donations; promises made to donors are legally binding. Funds given for specific projects or programs need to be kept separate.

Comply with M innesota state law regarding conflicts of interest.

M ake sure any professional fundraisers register with the charities division of the State Attorney General's Office, and file a copy of the contract.

Obtain city permits for all cities in which the organization actively solicits door-to-door by paid solicitors.

Record minutes of board and annual meetings.

Individual Board Members' Responsibilities Individual members of the board are required to: • • • • • • • • • • •

Attend all board and committee meetings and functions, such as special events Stay informed about the organization's mission, services, policies and programs Review agenda and supporting materials prior to board and committee meetings Serve on committees or task forces and offer to take on special assignments M ake a personal financial contribution to the organization Inform others about the organization Suggest possible nominees to the board who can make significant contributions to the work of the board and the organization Keep up-to-date on developments in the organization's field Follow conflict of interest and confidentiality policies Refrain from making special requests of the staff Assist the board in carrying out its fiduciary responsibilities, such as reviewing the organization's annual financial statements

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Legal Duties of the Nonprofit Board The Three D’s The main legal responsibilities of a nonprofit board are often summarized in the "three Ds":

Duty of Care : Board members are expected to actively participate in organizational planning and decision-making and to make sound and informed judgments.

Duty of Loyalty: When acting on behalf of the organization, board members must put the interests of the nonprofit before any personal or professional concerns and avoid potential conflicts of interest.

Duty of Obedience : Board members must ensure that the organization complies with all applicable federal, state, and local laws and regulations, and that it remains committed to its established mission.

In addition to its legal responsibilities, the board acts in a fiduciary role by maintaining oversight of the nonprofit's finances. Board members must evaluate financial policies, approve annual budgets, and review periodic financial reports to ensure that the organization has the necessary resources to carry out its mission and remains accountable to its donors and the general public.

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The Sarbanes-Oxley Act of 2002 The S arbanes–Oxley Act of 2002 (Pub.L. 107–204, 116 Stat. 745, enacted July 30, 2002), also known as the 'Public Company Accounting Reform and Investor Protection Act' (in the Senate) and 'Corporate and Auditing Accountability and Responsibility Act' (in the House) and more commonly called S arbanes–Oxley, S arbox or SOX, is a United States federal law that set new or enhanced standards for all U.S. public company boards, management and public accounting firms. It was named after sponsors U.S. Senator Paul Sarbanes (D-M D) and U.S. Representative M ichael G. Oxley (R-OH). As a result of SOX, top management must individually certify the accuracy of financial information. In addition, penalties for fraudulent financial activity are much more severe. Also, SOX increased the oversight role of boards of directors and the independence of the outside auditors who review the accuracy of corporate financial statements.

The bill was enacted as a reaction to a number of major corporate and accounting scandals, including those affecting Enron, Tyco International, Adelphia, Peregrine Systems, and WorldCom. These scandals cost investors billions of dollars when the share prices of affected companies collapsed and shook public confidence in the US securities markets.

The act contains eleven titles, or sections, ranging from additional corporate board responsibilities to criminal penalties, and requires the Securities and Exchange Commission (SEC) to implement rulings on requirements to comply with the law. Harvey Pitt, the 26th chairman of the SEC, led the SEC in the adoption of dozens of rules to implement the Sarbanes– Oxley Act. It created a new, quasi-public agency, the Public Company Accounting Oversight Board, or PCAOB, charged with overseeing, regulating, inspecting, and disciplining accounting firms in their roles as auditors of public companies. The act also covers issues such as auditor independence, corporate governance, internal control assessment, and enhanced financial disclosure. The nonprofit arm of Financial Executives International (FEI), Financial Executives Research Foundation (FERF), completed extensive research studies to help support the foundations of the act.

The act was approved by the House by a vote of 423 in favor, 3 opposed, and 8 abstaining and by the Senate with a vote of 99 in favor and 1 abstaining. President George W. Bush signed it into law, stating it included "the most far-reaching reforms of American business practices since the time of Franklin D. Roosevelt. The era of low standards and false profits is over; no boardroom in America is above or beyond the law."

In response to the perception that stricter financial governance laws are needed, SOX-type regulations were subsequently enacted in Canada (2002), Germany (2002), South Africa (2002), France (2003), Australia (2004), India (2005), Japan (2006), Italy (2006), Israel, and Turkey.

Debate continued as of 2007 over the perceived benefits and costs of SOX. Opponents of the bill have claimed it has reduced America's international competitive edge against foreign financial service providers because it has introduced an overly complex regulatory environment into US financial markets. A study commissioned by NYC M ayor M ichael Bloomberg and U S Sen. Charles Schumer, (D-NY), cited this as one reason America's financial sector is losing market Page 15 of 30

share to other financial centers worldwide. Proponents of the measure said that SOX has been a "godsend" for improving the confidence of fund managers and other investors with regard to the veracity of corporate financial statements.

The 10th anniversary of SOX coincided with the passing of the Jumpstart Our Business S tartups (JOBS ) Act, designed to give emerging companies an economic boost, and cutting back on a number of regulatory requirements.

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Board Member Job Descriptions XYZ Nonprofit’s mission is to…

For more information, please XYZ’s website at www.xyz.org.

Position The Board will support the work of XYZ and provide mission-based leadership and strategic governance. While day-to-day operations are led by XYZ’s chief executive officer (CEO), the Board-CEO relationship is a partnership, and the appropriate involvement of the Board is both critical and expected. Specific Board M ember responsibilities include:

Leadership, governance and oversight • • • • • • • • •

Serv ing as a trusted advisor to the CEO as s/he develops and implements XY Z’s strategic plan Rev iewing outcomes and metrics created by XYZ f or ev aluating its impact, and regularly measuring its perf ormance and effectiv eness using those metrics; reviewing agenda and supporting materials prior to board and committee meetings Approv ing XYZ’s annual budget, audit reports, and material business decisions; being inf ormed of , and meeting all, legal and fiduciary responsibilities Contributing to an annual perf ormance ev aluation of the CEO Assisting the CEO and board chair in identifying and recruiting other Board Members Partnering with the CEO and other board members to ensure that board resolutions are carried out Serv ing on committees or task forces and taking on special assignments Representing XY Z to stakeholders; acting as an ambassador f or the organization Ensuring XY Z’s commitment to a diverse board and staff that ref lects the communities XYZ serv es

Fundraising XYZ Board M embers will consider XYZ a philanthropic priority and make annual gifts that reflect that priority. So that XYZ can credibly solicit contributions from foundations, organizations, and individuals, XYZ expects to have 100 percent of Board M embers make an annual contribution that is commensurate with their capacity.

Board terms/participation XYZ’s Board M embers will serve a three-year term to be eligible for re-appointment for one additional term. Board meetings will be held quarterly and committee meetings will be held in coordination with full board meetings.

Qualifications This is an extraordinary opportunity for an individual who is passionate about XYZ’s mission and who has a track record of board leadership. Selected Board M embers will have achieved leadership stature in business, government, philanthropy, or the nonprofit sector. His/her accomplishments will allow him/her to attract other well-qualified, high-performing Board Page 17 of 30

M embers.

Ideal candidates will have the following qualifications: • • • •

Extensive professional experience with signif icant executiv e leadership accomplishments in business, gov ernment, philanthropy, or the nonprof it sector A commitment to and understanding of XY Z’s beneficiaries, pref erably based on experience Savvy diplomatic skills and a natural affinity f or cultiv ating relationships and persuading, convening, f acilitating, and building consensus among diverse indiv iduals Personal qualities of integrity, credibility, and a passion f or improving the lives of XY Z’s beneficiaries

Service on X YZ’s Board of Directors is without remuneration, except for administrative support, travel, and accommodation costs in relation to Board M embers’ duties.

Specific Duties The following descriptions were adapted from materials from BoardSource.

Note that materials apply to both for-profit and nonprofit unless otherwise noted.

Board Chair Job Description 1. Is a member of the Board 2. Serves as the Chief Volunteer of the organization (nonprofit only) 3. Is a partner with the Chief Executive in achieving the organization's mission 4. Provides leadership to the Board of Directors, who sets policy and to whom the Chief Executive is accountable.

5. Chairs meetings of the Board after developing the agenda with the Chief Executive.

6. Encourages Board's role in strategic planning 7. Appoints the chairpersons of committees, in consultation with other Board members.

8. Serves ex officio as a member of committees and attends their meetings when invited.

9. Discusses issues confronting the organization with the Chief Executive.

10. Helps guide and mediate Board actions with respect to organizational priorities and governance concerns.

11. Reviews with the Chief Executive any issues of concern to the Board.

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12. M onitors financial planning and financial reports.

13. Plays a leading role in fundraising activities (nonprofit only) 14. Formally evaluates the performance of the Chief Executive and informally evaluates the effectiveness of the Board members.

15. Evaluates annually the performance of the organization in achieving its mission.

16. Performs other responsibilities assigned by the Board.

Vice Chair Job Description This position in typically successor to the Chair position. In addition to the responsibilities outlined in the Committee M ember job description, this position: 1. Is a member of the Board 2. Performs Chair responsibilities when the Chair cannot be available (see Chair Job Description) 3. Reports to the Board's Chair 4. Works closely with the Chair and other staff 5. Participates closely with the Chair to develop and implement officer transition plans.

6. Performs other responsibilities as assigned by the Board.

Committee Chair Job Description 1. Is a member of the Board 2. Sets tone for the committee work.

3. Ensures that members have the information needed to do their jobs.

4. Oversees the logistics of committee's operations.

5. Reports to the Board's Chair.

6. Reports to the full Board on committee's decisions/recommendations.

7. Works closely with the Chief Executive and other staff as agreed to by the Chief Executive.

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8. Assigns work to the committee members, sets the agenda and runs the meetings, and ensures distribution of meeting minutes.

9. Initiates and leads the committee's annual evaluation.

Board Member Job Description 1. Regularly attends board meetings and important related meetings.

2. M akes serious commitment to participate actively in committee work.

3. Volunteers for and willingly accepts assignments and completes them thoroughly and on time.

4. Stays informed about committee matters, prepares themselves well for meetings, and reviews and comments on minutes and reports.

5. Gets to know other committee members and builds a collegial working relationship that contributes to consensus.

6. Is an active participant in the committee's annual evaluation and planning efforts.

7. Participates in fund raising for the organization (nonprofit only).

Board Secretary Job Description 1. Is a member of the Board 2. M aintains records of the board and ensures effective management of organization's records 3. M anages minutes of board meetings 4. Ensures minutes are distributed to members shortly after each meeting 5.Is sufficiently familiar with legal documents (articles, by-laws, IRS letters, etc.) to note applicability during meetings

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Board Treasurer Job Description 1. Is a member of the Board 2. M anages finances of the organization 3. Administrates fiscal matters of the organization 4. Provides annual budget to the board for members' approval 5. Ensures development and board review of financial policies and procedures

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Indemnification There are protections available for directors, including, but not necessarily limited to, the following:

Reliance on Certain Information Prepared by Others : In some cases, a director may rely on information prepared by others. If the director is acting in good faith and with ordinary care, the director may rely on reports, financial statements, and information prepared by another director or by an employee, a board committee, legal counsel, accountants, or other professionals hired. However, the director is not protected from liability if she has knowledge that makes the information unreliable.

Delegation of Investment Authority: If the board acted in good faith and with ordinary care in selecting a financial advisor for the nonprofit, the board may have no liability from any action taken or omitted by an investment advisor who invested the funds of the nonprofit.

Indemnity: Occasionally a person is sued simply because he or she is or was a director of a nonprofit. In some situations the nonprofit may indemnify (pay the legal expenses for) the director; in other situations the nonprofit must must indemnify the director.

Insurance and Other Protections : A nonprofit may provide additional protection for directors by providing Director’s and Officer’s Liability Insurance .

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Suggested Quarterly Meeting Agendas Annual Board Meeting Calendar And Agenda Items January Meeting – Marketing and Fundraising 1.

Executive Director’s Annual Report Contents;

2.

Current Funding Sources;

3.

Sample Grant Proposal(s);

4.

Updated M arketing M aterials;

5.

Fundraising Report;

6.

Old Business;

7.

New Business;

8.

Action Items/ Register

9.

Adjournment

April Meeting – Evaluations, Assessments and Taxes

1.

Annual Audit/ Form 990;

2.

Annual Organizational Assessment (M odule 5.14);

3.

Executive Director’s Annual Report;

4.

Executive Director’s Evaluation;

5.

Staff Assessments/ Evaluations;

6.

Old Business;

7.

New Business; Page 23 of 30

8.

Annual Calendar of Upcoming Events;

9.

Action Items/ Register

10.

Adjournment July Meeting – S tate of The Organization Report

1.

M ission Statement;

2.

Articles of Incorporation;

3.

Organizational Bylaws;

4.

Roles and Responsibilities;

5.

Election of Officers; - Two year terms; Two Consecutive Term Limit

6.

Annual M eeting Calendar Review;

7.

Action Items/ Register;

8.

Website Review;

9.

Old Business;

10.

New Business;

11.

Adjournment.

October Meeting – S trategic Planning

1.

Strategic Plan (5 Year);

2.

501(c)(3) Application;

3.

Targeted Grant Opportunities;

4.

Committee Assignments;

5.

Proposed Budget/ Treasurer’s Report; Page 24 of 30

6.

Fundraising Plan;

7.

Policies and Procedures Review;

8.

Staff Evaluation Activities;

9.

Old Business;

10.

New Business;

11.

Action Items/ Register

12.

Adjournment

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Attachment A Best Practices for Executive Directors and Boards of Nonprofit Organizations

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Best Practices for Executive Directors and Boards of Nonprofit Organizations The following document on best practices was developed from a highly-successful training program called MATRIX* that was conducted in 1999 and 2000 for 12 youth-serving agencies in Whatcom County. Funding for the program was provided by the Stuart Foundation and administered through Whatcom Community Foundation.

In an effort to extend the reach and effectiveness of the MATRIX program, the Whatcom Council for Nonprofits has adopted this enhanced version of the MATRIX best practices as the foundation of our technical assistance program planning. WCN encourages Whatcom County nonprofits to use this document as a tool in strategic planning and evaluation of their organizations.

Contents I.

Board of Directors/Governance ................................................................................................ Page 1

II.

Human Resources Management ............................................................................................... Page 6

III.

Financial Management .............................................................................................................. Page10

IV.

Strategic Planning ................................................................................................................... Page 14

V.

Collaboratives/Partnerships .................................................................................................... Page 17

VI.

Outcomes and Quality Improvement ...................................................................................... Page 19

VII.

Information Technology Management.................................................................................... Page 23

VIII.

Fundraising................................................................................................................................ Page 26

IX.

Marketing ................................................................................................................................... Page 28

*The first seven best practices were developed and are copyrighted by Community Impact Consulting as part of the Matrix project, implemented now in over 10 sites, and permission has been given for local nonprofit use only. Any replication or use for profit is prohibited.

www.wcnwebsite.org

c/o 119 Grand Avenue, Suite A, Bellingham, WA 98225

360-671-6463

shannone@whatcomcf.org

Best Practices for Executive Directors and Boards of Nonprofit Organizations These best practices identify nine areas in which an organization’s competence is critical for success. Below, each competence is linked to suggestions for getting your organization to the “best practice” level. There is inevitably overlap between some of these competency areas as no single area is unique or isolated from others.

In order to achieve competence in one area, other competencies are often required as well. The bibliography at the end of this document lists some excellent resources your organization can use to achieve the best practices.

Additional nonprofit best practices resources are available at the Bellingham Public Library.

Core Competencies I.

Board of Directors/Governance

II.

Human Resources Management

III.

Financial Management

IV.

Strategic Planning

V.

Collaboratives/Partnerships

VI.

Outcomes and Quality Improvement

VII.

Information Technology Management

VIII.

Fundraising

IX.

Marketing

I. Board of Directors/Governance A. The Board determines the organization's mission, sets policy, and assesses and approves programs and services that are appropriate to that mission.

Best Practices

Suggestions for Achieving Best Practices

1. Board annually reviews the organization’s mission.

1.1 The Executive Director, Board and other leadership define, focus on, and annually review the organization's mission and purpose.

2. Board sets and monitors policies and attends to emerging policy issues.

2.1 The Board sets and reviews organizational policies to ensure specific outcomes and organizational safeguards are achieved.

3. Board reviews reports on programs and services that demonstrate links to organization purpose and tracks progress toward desired outcomes.

3 .1 The Executive Director, Board and other leadership regularly review programs and services to ensure that they are tied to specific outcomes.

1 Best Practices for Nonprofit Organizations Whatcom Council of Nonprofits

I. Board of Directors/Governance /cont’d B. Board membership is well managed.

Best Practices

Suggestions for Achieving Best Practices

1. Staff support the Board and its committees in order to maintain interest, commitment, and productivity of members.

1.1 Executive Director and Board leadership find ways to sustain maximum Board attendance, through development of compelling agendas and presentations, recognition and appreciation of service, and incentives to participation.

1.2 Executive Director and Board leadership develop a well-defined structure of effective Board committees and outside advisory committees which have a clear purpose and task.

1.3 Executive Director ensures that there is consistent staff support for Board committees and other activities.

2. Board members receive orientation regarding Board member responsibilities, legal requirements, and conflict of interest.

2.1 Executive Director and Board leadership understand legal requirements and restrictions and communicate those effectively to the whole Board.

2.2 Board leadership develops and when necessary implements procedures for removal of non-compliant Board members.

3. Board members receive orientation and continuing education

3.1 Board leadership and Executive Director ensure that there are regular orientations and ongoing training opportunities for Board members, in areas such as team building, communication skills, fundraising, meeting management, public relations, marketing, and leadership and succession development.

C. The Board ensures that the organization is in compliance with regulations affecting nonprofit organizations and has sound risk-management practices.

Best Practices

1. Executive Director provides the Board with information and consultation regarding risk management practices that apply to the organization.

Suggestions for Achieving Best Practices 1.1 Board leadership defines and applies the various bylaws and regulations (funding, program, health, audit, personnel and facility) that affect the organization’s risks.

1.2 Executive Director and Board leadership identify appropriate types of liability and other insurance and benefit plans to meet the organizations needs, including facility management, professional services, personnel, health care, Employee Assistance Programs and D&O coverage.

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I. Board of Directors/Governance /cont’d D. The Board holds itself accountable for raising money.

Best Practices

Suggestions for Achieving Best Practices

1. Board members are responsible for raising money and there are structures and support through which members may fulfill that responsibility.

1.1 Board leadership and Executive Director orient all new and current Board members to their role in fund development.

1.2 Board leadership develops a strategy for increasing Board involvement in fund development.

E. The Board ensures effective fiscal management.

Best Practices

Suggestions for Achieving Best Practices

1. Board reviews financial reports that are accurate, easy to understand, and timely.

1.1 Executive Director ensures effective staff support to the finance committee, including the provision of reports that meet the committee’s needs for financial information.

1.2 Board leadership defines Board roles in fiscal management and oversight, and identifies which Board members have the skills to provide that oversight.

2. Employees and volunteers are able to make a confidential report regarding suspected financial impropriety or misuse of organization resources.

2.1 Board leadership ensures that there is a procedure for confidential reporting of suspected improprieties.

F. The Board represents the organization in the community.

Best Practices

Suggestions for Achieving Best Practices

1. Board members actively solicit input from the communities and constituencies they represent.

1.1 Executive Director and Board leadership develop processes for soliciting input from constituencies served and represented by the organization. (See also Strategic Planning)

2. Board members represent the organization to government, business, other agencies, funders, constituencies, and the community at large.

2.1 Executive Director ensures there are mechanisms for involving the Board in community outreach, in such areas as civic, political, governmental and community activities relevant to the needs of the organization.

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I. Board of Directors/Governance /cont’d G. The Board represents the interests of the community to be served and brings the proper balance of expertise to the organization.

Best Practices

Suggestions for Achieving Best Practices

1. Board membership provides the skills required by the organization and reflects the community served.

1.1 Board leadership, such as a nominating committee, defines the criteria for strategically selecting Board members, based on experience, organizational needs and community representation.

1.2 Board leadership develops a process and timeline for Board recruitment based on the above criteria and needs.

H. The Board ensures that the public has reasonable access to information about mission, activities, Board membership and basic financial data.

Best Practices by Organizational Leadership

Suggestions for Achieving Best Practices

1. An annual report to inform the public is produced.

1.1 Executive Director and staff leadership prepare elements necessary for an annual report.

1.2 Executive Director and staff leadership communicate key organization information in writing in a way that is understandable to the public.

2. Orderly records are accessible to the public.

2.1 Executive Director organizes all appropriate documents in a file accessible for public review.

I. The Board recruits, hires, sets salary, and evaluates the performance of the Executive Director and oversees succession of that position and other key staff.

Best Practices

Suggestions for Achieving Best Practices

1. Board performs annual review of Executive Director performance and sets goals for coming year.

1.1 Board leadership ensures that effective Executive Director evaluation process is in place and implemented.

2. A written policy is maintained regarding Board oversight of the ED and succession of key staff.

2.1 Board leadership identifies steps for succession appropriate to organization and writes a policy for Board approval.

3. The Board designs and implements process for hiring new ED when necessary.

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I. Board of Directors/Governance /cont’d J. The Board maintains a good relationship with organization staff.

Best Practices

Suggestions for Achieving Best Practices

1. Board understands and maintains the policymaking role of the Board.

1.1 Executive Director and Board leadership identify strategies for helping Board members understand appropriate roles with respect to organization management, staff and operations, including possible conflicts of interest.

2. Board and staff communicate about organization and program issues.

2.1 Executive Director and Board leadership use effective coaching and communication strategies for building and sustaining positive Board/staff relationships.

II. Human Resources Management A. The organization treats employees, volunteers and clients fairly and equitably.

Best Practices

Suggestions for Achieving Best Practices

1. Personnel policies and procedures are in compliance with state and federal laws, are reviewed regularly, and continue to meet the needs of the organization.

1.1 Executive Director and Board leadership review current personnel policies and make changes as needed to improve compliance with state and federal requirements and to keep current with organizational needs.

2. A performance review process measures employee performance against organization outcomes and professional standards, incorporates self evaluation, promotes positive interaction between employee and supervisor, sets measurable goals that are tied to organization outcomes, and supports the employee’s development

3. Employee information and records are kept confidential.

2.1 Executive Director and Board leadership understand the benefits of a sound performance review process and its effect on the organization.

2.2 Executive Director and management staff apply the elements of an effective performance review process, including standards of performance, selfevaluation, positive interaction between the employee and supervisor, measurable individual goals that are tied to the organization’s outcomes, and employee development.

2.3 Executive Director, management staff and Board leadership tailor an effective performance review instrument to meet the organization’s needs.

2.4 All organization supervisors conduct performance reviews in a way that ensures employee understanding, gains employee acceptance, and promotes a desire to improve and develop.

3.1 Executive Director informs all staff regarding employee confidentiality rights.

3.2 Executive Director develops a policy regarding access to employee records.

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II. Human Resources Management /cont’d B. The recruitment and hiring process brings to the organization people who have the skills needed to do the job and who will be compatible with the organization work environment.

Best Practices

Suggestions for Achieving Best Practices

1. Programs have accurate and clearly written job descriptions that are tied to program outcomes.

1.1 Supervisors draft or update job descriptions that clearly describe the work to be performed and show a link to program outcomes.

2. A recruitment process is in place that attracts people with the appropriate type and level of experience to perform the work.

2.1 Management staff analyze the market for a particular position and design a recruitment and selection process that will attract people who are most likely to be suited for the work and for this agency.

C. The organization makes the most effective, efficient and productive use of human sources through appropriate job assignments.

Best Practices 1. Assignments are appropriate to organization and program priorities and the level of expertise, availability, and work style of the individual.

2. There is appropriate cross-training of staff to increase motivation and productivity.

Suggestions for Achieving Best Practices 1.1 Executive Director and management staff conduct an analysis of current staffing and assignments, and identify ways to improve productivity taking into consideration potential benefits and drawbacks of making changes.

2.1 Management staff identify where cross-training would be useful and makes it available to staff as possible.

D. Employees understand and promote the organization’s mission and strive to contribute to its outcomes.

Best Practices

Suggestions for Achieving Best Practices

1. Employees are aware of the organization’s mission and outcomes and understand the link between their work and the accomplishment of those outcomes.

1.1 Executive Director and Board leadership articulate organization’s mission in a way that is motivating to staff and communicate the link between work objectives and the mission.

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II. Human Resources Management /cont’d E. Employees and volunteers receive the information, training and feedback they need for optimal job performance.

Best Practices

Suggestions for Achieving Best Practices

1. Employees receive orientation to the organization’s mission, outcomes, and strategic plan.

1.1 Executive Director and management staff design and implement an orientation presentation that introduces new employees to the organization’s mission, values, outcomes, and strategic plan.

2. Training needs of employees and volunteers are identified, as are ways to make that training available.

2.1 Executive Director and management staff design and implement a method for identifying training needs of supervisors, employees and volunteers from various sources of information about their knowledge or job performance.

2.2 Executive Director and management staff analyze a variety of methods of delivering training to employees and volunteers and select the method appropriate to the specific people, situation, and topic.

3. Supervisors understand their supervisory role and have the necessary skills to manage other employees.

3.1 Executive Director and management staff ensure that all supervisors receive ongoing supervisory training so they have the necessary tools to manage other employees.

4. Employees and volunteers receive individualized coaching regarding his/her job duties.

4.1 All supervisors recognize own communication style and how that style impacts and interacts with the communication styles of others.

4.2 All supervisors apply coaching skills appropriately to match the individual needs of each person whose work s/he supervises.

4.3 All supervisors use communication skills necessary for effective coaching: active listening, questioning, assertive communication and goal setting.

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II. Human Resources Management /cont’d F. The organization supports healthy, productive relationships among all employees, volunteers and Board members.

Best Practices

Suggestions for Achieving Best Practices

1. A conflict resolution policy and system for resolving conflicts among employees, volunteers and Board members is in place.

1.1 Executive Director and Board leadership analyze and improve policies and procedures for handling grievances and conflicts among employees, volunteers, and Board members.

2. Supervisors receive training regarding the mediation of conflicts among employees and volunteers who report to them.

2.1 Everyone develop understanding of perceptions of and reactions to conflict and the impact of unresolved conflict on an organization’s productivity. Everyone understand their own personal role and responsibility to resolve conflicts in as productive and professional a manner as possible.

2.2 All supervisors learn to diagnose workplace conflicts early and determine whether to intervene and the type of intervention appropriate to the problem: individual meeting, mediation, small group problem solving, or systems analysis.

2.3 All employees and Board members use communication and problem solving skills necessary for conflict resolution: neutrality, active listening, assertiveness, analysis of factors leading to conflict, negotiation of solutions.

2.4 All supervisors apply steps of conflict resolution policy when necessary.

G. Effective communication systems and practices are used throughout the organization.

Best Practices

Suggestions for Achieving Best Practices

1. There is a system for communicating organization information to employees and volunteers.

1.1 Executive Director and management staff analyze and improve current communication system for conveying to employees and volunteers information about changes in policies, procedures, requirements, and job duties that affect their work.

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II. Human Resources Management /cont’d H. Employee job satisfaction is high and employee turnover is relatively low.

Best Practices

Suggestions for Achieving Best Practices

1. Employee turnover rate in comparison to similar agencies is monitored.

1.1 Executive Director or HR staff calculate employee turnover rate and compare with similar agencies.

2. Exit interviews are conducted to assess trends in reasons for leaving.

2.1 Executive Director or HR staff design exit interview procedures

3. There is a high level of employee satisfaction and retention.

3.1 Executive Director or HR staff work to determine areas for improvement in personnel policies, compensation strategies and employee satisfaction to achieve optimal employee retention rates.

III. Financial Management A. The organization generates sufficient revenue to support organization’s administration and program services Best Practices

Suggestions for Achieving Best Practices

1. Direct and indirect costs are monitored, including allocation of staff time to program, administration, evaluation, and fundraising activities

1.1 Executive Director and management staff analyze current and potential costs for program, administration, evaluation, and fund raising.

1.2 Executive Director and management staff analyze current and potential sources of revenue and prepares or oversees preparation of a fund development plan.

2. A system exists for tracking revenue and expense streams to comply with government reporting requirements, funder’s expectations and to effectively manage organization’s finances.

2.1 Responsible financial management staff understands requirements and potential for any fee for service or sales activities.

2.2 Responsible financial management staff implements any billing methods appropriate for the organization.

3. The organization engages in cost effective fund development activities.

3.1 Responsible fundraising staff conducts cost/ benefits analysis of any fund raising events or campaigns.

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III. Financial Management/ cont’d B. Annual budget is tied to outcomes, is in alignment with available resources, includes staff input, and supports programs, administration, evaluation, and fundraising.

Best Practices

Suggestions for Achieving Best Practices

1. The Board approves, monitors and revises as necessary an annual budget that is tied to program outcomes and supports operations and evaluation.

1.1 Executive Director and responsible financial management staff ensure financial management systems which includes: selecting and monitoring financial tracking systems, tracking key costs of operation, reviewing and revising the chart of accounts, and effectively managing payroll.

1.2 Executive Director and responsible financial management staff monitor internal reporting information which includes: structuring appropriate financial reports, controlling the frequency of financial reporting, and selecting the appropriate accounting method.

1.3 Executive Director and responsible financial management staff understand the optimal budgeting process including incorporating effective budget management techniques into day-to-day operations, analyzing determinants of costs and allocations, getting staff input into the budgeting process, and tie outcomes to specific budget categories.

2. Board approves budgets that contain realistic projections of revenue and expenses.

2.1 Executive Director and responsible financial management staff involve staff in the budget development process as well as in the monitoring process so that they have a clear understanding of the connections between the budget and their program areas.

3. A method is established for budget planning and monitoring at the program level.

C. The organization files all the appropriate legal and financial documents as required by law.

Best Practices

Suggestions for Achieving Best Practices

1. A system exists that ensures the filing of all legal and financial documents, and updating as required

1.1 Executive Director and Board leadership understand and comply with government regulations related to type of documents to be filed and timelines for filing.

1.2 Executive Director and Board leadership understand underlying conditions for a review or an audit and the necessity for timely audits and positive findings to ensure availability of future funding streams.

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III. Financial Management /cont’d D. All financial data are kept up to date and use generally accepted accounting principles.

Best Practices

Suggestions for Achieving Best Practices

1. Organization obtains periodic independent reviews of financial record-keeping methods.

1.1 Executive Director and Board leadership ensure that appropriate outside review or audit is conducted and approve such document when completed.

1.2 Executive Director and Board leadership understands organization’s application of generallyaccepted accounting principles.

1.3 Financial management staff implements any recommended improvements to financial recordkeeping based on independent review or audit.

1.4 Board leadership keeps written documentation in Board meeting minutes of approval of financial statements on a regular basis (monthly or quarterly as appropriate) and of annual audit or review.

2. Board regularly approves financial statements

E. The organization has an adequate system of internal controls which is reviewed annually.

Best Practices by Organizational Leadership

Suggestions for Achieving Best Practices

1. Written financial policies exist that govern: investment of assets, internal control procedures, purchasing practices, reserve funds, compensation, expense account reporting, and earned income.

1.1 Executive Director, Board treasurer and financial management staff review and upgrade financial policies on a regular basis.

2. Internal financial management processes are monitored, including handling of checks, petty cash, cash disbursements, payroll management, etc. to prevent errors and/or misuse of funds.

2.1 Executive Director and financial management staff understand various financial monitoring processes and apply appropriate process to day-to-day financial management.

2.2 Executive Director and financial management staff understand and establish appropriate financial checks and balances into the daily financial management systems.

3. The use of restricted funds are monitored.

3.1 Executive Director and financial management staff avoid co-mingling of funds and keep appropriate financial records documenting use of restricted funds.

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III. Financial Management /cont’d F. All managers are provided periodic reports on planned and actual expenditures to-date for each significant category of costs in their area of responsibility.

Best Practices by Organizational Leadership

Suggestions for Achieving Best Practices

1. Budget to actual reports are made available to appropriate staff in a timely manner.

1.1 Executive Director and financial management staff understand the rationale for providing such reports to program managers.

1.2 Executive Director, financial management staff and program Directors understand the value of making monthly or quarterly adjustment to budget and overall financial plan.

G. The organization adheres to the Board-approved budget.

Best Practices

Suggestions for Achieving Best Practices

1. Budget variance reports are reviewed by staff and Board on a regular basis.

1.1 Executive Director and financial management staff prepare financial reports with budget variance information for review by the Board on a regular basis.

2. Program managers are provided with financial information and guidance to make management decisions and use financial information to make decisions at the program level.

2.1. Organizational leadership uses financial statements to make critical management decisions pertaining to organizational efficiency, adequacy of financial resources, need to implement budget revisions and organization financial trends.

H. There is a diversified funding base.

Best Practices

Suggestions for Achieving Best Practices

1. There is a fund development plan that ensures a diversified funding base.

1.1 Executive Director and fundraising staff analyze current and potential sources of revenue.

1.2 Executive Director and fundraising staff apply the elements of a Board-approved fund development plan that brings revenue from diverse sources. (see also Fundraising and Strategic Planning)

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IV. Strategic Planning A. Strategic plan is guided by organization mission.

Best Practices

Suggestions for Achieving Best Practices

1. Board and staff members understand the organization’s mission.

1.1 Executive Director and Board leadership review mission statement on annual basis with Board and staff.(See Board of Directors/Governance)

B. Strategic plan is based on sound planning principles.

Best Practices

Suggestions for Achieving Best Practices

1. The Executive Director and Board determine readiness for strategic planning process

1.1 Executive Director and Board leadership define strategic planning, identify its value to the organization and communicate this to the entire organization.

1.2 Executive Director and Board leadership assess organizational readiness for strategic planning.

1.3 Executive Director and Board leadership identify and develop the basic steps and process involved in designing an effective strategic plan, including: reviewing and articulating the mission; assessing the organization and its environment; developing strategies, goals and objectives; and designing operation, program, fund raising, and marketing plans.

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IV. Strategic Planning / cont’d C. Plan makes the best use of human, financial, and material resources.

Best Practices

Suggestions for Achieving Best Practices

1. Resources required for strategic planning are identified and managed appropriately

1.1 Executive Director and Board leadership determine how much time and money can reasonably be allocated to the planning process.

1.2 Organizational leadership define roles and expectations for all participants, including Board, management, staff, volunteers, and other stakeholders and identifies a strategic planning leadership team representative of stakeholders throughout the organization.

1.3 Executive Director and Board leadership identify need for and roles of any external consultants and ways to manage those consultants to maximize their effectiveness and minimize costs.

2. Planning includes information regarding client and community needs and organization capacity.

2.1 All participants analyze opportunities and strengths in terms of current organization capacity.

2.2 All stakeholders assess and prioritize opportunities in terms of community needs.

D. Plan takes into account organization strengths, weaknesses, opportunities and challenges.

Best Practices

Suggestions for Achieving Best Practices

1. Development of plan includes organization strengths, weaknesses, opportunities and challenges on a continuous basis and incorporates those observations into the strategic plan.

1.1 Strategic planning leadership team works to conduct an analysis of strengths, weaknesses, opportunities and challenges that involves internal and external stakeholders and includes a cost-benefit analysis of both tangible and intangible costs and benefits.

1.2 Strategic planning leadership team conducts a comprehensive competitive analysis.

E. All stakeholders are included in the planning process.

Best Practices

Suggestions for Achieving Best Practices

1. Planning leadership team communicates openly and effectively about strategic planning process and progress to build trust and confidence and full participation in the planning process.

1.1 Strategic planning leadership team identifies roles for all internal and external stakeholders to monitor the plan’s implementation and effectiveness.

1.2 Strategic planning leadership team identifies effective group processes and other activities (focus groups, workshops, retreats, etc.) needed for information gathering and for soliciting input from all stakeholders

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IV. Strategic Planning / cont’d F. Organization activities are tied to strategic plan, with a minimum of distractions by crises.

Best Practices by Organizational Leadership

Suggestions for Achieving Best Practices

1. Implementation of the plan is regularly monitored.

1.1 Use the results of the analysis and assessment processes to develop action plans in each strategic area: operating, programs, fundraising, and marketing.

1.2 Develop objectives for each action plan.

1.3 Develop an implementation schedule based on objectives stated in each action plan.

G. Organization uses its own outcome data as well as demographics, statistics on relevant community issues, and information on best practices to plan improvements to services.

Best Practices

Suggestions for Achieving Best Practices

1. Board understands the work that has already been done by staff to respond to evaluation findings and improve products and services.

2. Local demographic and statistical information is factored into planning efforts.

1.1-3.1 Strategic planning leadership team designs a presentation that documents the work that has already been done and includes visual displays of community statistics, findings from the evaluation report, and information from the field.

3. The Board reviews information from the field against which to compare organization’s performance.

H. The plan includes expected shorter-term and longer-term outcomes.

Best Practices 1. A matrix is prepared by program or management function that identifies outcomes and connects them to the activities or strategies that the organization will use to reach these outcomes.

Suggestions for Achieving Best Practices 1.1 Strategic planning leadership team develops a report including summary of planning process, internal and external assessments, prioritization of needs and development of an overall organizational matrix of measurable outcomes and presents that plan for approval to the Board

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IV. Strategic Planning / cont’d I. Plan is updated annually.

Best Practices

Suggestions for Achieving Best Practices

1. The strategic plan is reviewed on an annual basis.

1.1 All stakeholders participate in continuous monitoring of the strategic plan and make adjustments as necessary.

V. Collaboratives/Partnerships A. Develop and manage joint projects effectively.

Best Practices

Suggestions for Achieving Best Practices

1. Opportunities for collaboration are analyzed in terms of potential benefits, challenges and drawbacks to own organization.

1.1 Executive Director and appropriate management staff define all aspects of what is being exchanged in a partnership: information, fiscal responsibility or money, physical assets (facilities), program (materials, services), personnel.

2. The type and level of commitment required by own organization is identified.

2.1 Executive Director and appropriate management staff develop an agreement that clearly describes the responsibilities of each organization involved.

2.2 Management staff develop job descriptions for any staff assigned to a jointly-managed project.

3. The effectiveness of collaborative strategies and programs are assessed in terms of both process and outcomes.

3.1 Executive Director and management staff agree with partners to a time frame for evaluation of collaborations outcomes. (Also, see Outcomes and Quality Improvement)

B. Communicate the partnership’s goals and activities to professionals and the community.

Best Practices 1. Information is presented verbally and in writing in concise, jargon-free language.

Suggestions for Achieving Best Practices 1.1 Leadership of all involved organizations develop responses to questions that have been asked by community members regarding the goals of a partnership.

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V. Collaboratives/Partnerships / cont’d C. Share resources across agencies.

Best Practices

Suggestions for Achieving Best Practices

1. Existing community resources are identified that can be used to address an issue that is beyond any individual organization’s capability.

1.1 Organizational leadership identifies potential resources that might be shared and rationale for partnership.

2. Restrictions on individual organization resources and the conditions under which resources would be shared are identified.

2.1 Leadership identifies own organization’s resources that might be applied to this need and internally define the conditions under which that resource would or would not be shared.

D. Build consensus among constituencies and resolve conflicts that impede improvements to services.

Best Practices 1. There exists an understanding of how existing systems currently address a specific problem or issue and examine potential ways to develop alternatives.

Suggestions for Achieving Best Practices

1.1- 2.1 Organizational leadership develops clear understanding of and ability to articulate how the current system works.

2. The knowledge gained through involvement of constituencies in planning for own organization is applied to broader community issues.

3. Stakeholders and advocates among other agencies and government leadership are identified for the involvement.

3.1 Organizational leadership identifies a broad range of stakeholders for a specific community issue.

4. There is a general consensus internally among staff and externally with other agencies and community members.

4.1 Organizational leadership identifies how conflict may have impeded services, identify the causes of those conflicts and examines ways to resolve conflicts.

4.2 Organizational leadership identifies points of agreement among a group of individuals or agencies with diverse and opposing points of view.

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V. Collaboratives/Partnerships /cont’d E. Maintain effective relationships across agencies.

Best Practices

Suggestions for Achieving Best Practices

1. There is an accurate understanding of the functions and services of agencies with which own organization interacts.

1.1 Organizational leadership develops clear understanding of the activities or services of other organizations.

2. Organization’s mission and activities are effectively communicated to other organizations.

3. Misunderstandings or other problems are recognized and action is initiated to improve the understanding or solve the problems.

2.1-4.1 Organizational leadership identifies specific actions which could improve the working relationships among a set of organizations and lead to improved service delivery for the community.

4. Positive interaction among fellow organizations is encouraged.

VI. Outcomes and Quality Improvement A. Organization’s outcomes are linked to the community’s desired outcomes, needs, and interests.

Best Practices

Suggestions for Achieving Best Practices

1. Current information is maintained on community demographics, statistics on relevant issues, and best practices for programs.

1.1 Executive Director and Board leadership identify reliable sources of both qualitative and quantitative community information as well as a process for accessing it through community stakeholders and inter-organization collaboration.

2. The organization’s role in contributing to the achievement of community outcomes is understood and communicated.

2.1 Executive Director and Board leadership understand links between the community’s desired outcomes, needs, and interests and organization outcomes and activities.

3. A process is identified for soliciting community and stakeholder opinion about needs and interests.

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VI. Outcomes and Quality Improvement / cont’d B. The organization’s most important outcomes and related activities are defined, including who delivers what to whom and by when.

Best Practices

Suggestions for Achieving Best Practices

1. Executive Director and Board leadership identify key outcomes to be measured. (see Strategic Planning)

1.1 Executive Director and Board leadership convey the importance of outcomes and the relevance of activities to outcomes.

1.2 ED communicates clear expectations to staff so that they understand the outcomes for which they will be held accountable.

C. There is an ongoing system of process evaluation in place for measuring whether activities are implemented as planned.

Best Practices

Suggestions for Achieving Best Practices

1. There exists a system for staff to record their activities in the normal course of their work.

1.1 Management staff design and implement systems for recording activities and collecting both qualitative and quantitative data about program activities.

2. Regular and frequent reports on organization activities are distributed inside and outside the organization.

2.1 Management staff generate reports appropriate to audience and purpose.

D. There is an ongoing outcome evaluation system in place.

Best Practices

Suggestions for Achieving Best Practices

1. There is an evaluation system that operates on a regular, timely and accurate basis.

1.1 Management staff implement and maintain a simple system for measuring outcomes and instruct staff in its use.

2. Outcomes have clear and convincing measures.

2.1 All staff participate in collecting all needed measures regarding organization outcomes.

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VI. Outcomes and Quality Improvement / cont’d E. Data collected through the process and outcome evaluations are readily retrievable..

Best Practices

Suggestions for Achieving Best Practices

1. Evaluation data are computer-entered.

1.1 Organizational leadership ensures the needed hardware and software to make accurate data collection possible.

2. Data are regularly analyzed to examine time and client trends

2.1 Management staff secures needed training for inhouse staff to be able to regularly analyze data or to out-source these analysis tasks.

F. Organization uses evaluation data to effectively communicate to staff, Board and other stakeholders about its progress.

Best Practices

Suggestions for Achieving Best Practices

1. Board, staff and funders regularly receive process and outcome evaluation reports that are clear and simple to read.

1.1 Executive Director and management staff implement a system for regularly reporting evaluation findings to staff, Board and other stakeholders.

1.2 Executive Director and management staff develop clear, understandable and relevant evaluation reports that measure agreed-upon outcomes.

2. Data are shared with all stakeholders

2.1 Executive Director and Board leadership develop ways to share evaluation findings with stakeholders, collaborating partners and community members.

2.2 Executive Director and Board leadership identify and work with lead stakeholders to review evaluation findings in a way that gains useful feedback to the organization.

3. Organization outcomes are presented in the context of relevant comparison data.

3.1 Executive Director and Board leadership use relevant comparison data for the organization’s outcomes.

G. There is a system in place for monitoring quality of products and services which covers achievement of objectives, completeness, comprehensiveness, accessibility, affordability, number of clients receiving services, and coordination of services with other agencies.

Best Practices

Suggestions for Achieving Best Practices

1. Products and services are regularly reviewed with those performing the work and those benefiting from the work to identify needs for improvement and recognize success.

1.1 Executive Director and management staff understand and apply principles of quality improvement to management practices.

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VI. Outcomes and Quality Improvement / cont’d H. Employees are involved in identifying, analyzing and solving problems directly related to their own work.

Best Practices

Suggestions for Achieving Best Practices 1.1 Management staff uses methods such as brainstorming and surveys to gather ideas from employees.

1. A system is maintained for employees to identify needs for improvement in work processes.

2.1 Management staff leads group problem-solving using data collection and analysis, cause and effect analysis, measurable objectives, implementation tests, and evaluation of results.

2.2 Management staff facilitate meetings in a way that ensures full participation.

2.3 Management staff document decisions made and tasks assigned concisely and accurately.

2. Group problem-solving among managers and/or employees is encouraged.

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VII. Information Technology Management A. There is a general understanding of the role and utility of technology in service delivery, information sharing, professional communication, community access and data management.

Best Practices

Suggestions for Achieving Best Practices

1. There exists a basic understanding of what is meant by information technology.

1.1 Organizational leadership has a basic working definition of what information technology is.

1.2 All staff who use it should understand the basic hardware and software available to them in their work.

2. There exists a basic understanding of when to use information technology.

2.1 Organizational leadership investigates how similar organizations are using technology.

2.2 Organizational leadership ensures access to knowledgeable resources on current technology, including Board members, consultants, volunteers, and agencies that support the use of technology by nonprofits.

3. Board members, staff, and clients support the use of information technology.

3.1 Organizational leadership assesess the current climate regarding the use of information technology among Board members, staff, and clients.

3.2 Organizational leadership develops a plan for educating Board members, staff, and clients regarding the positive and appropriate uses of information technology.

3.3 All staff and Board understand the security issues that surround storing confidential information.

3.4 Executive Director and management staff develop a set of information technology guidelines that cover issues related to ethics and security.

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VII. Information Technology Management / cont’d B. Information technology serves the mission and supports the functions of the organization.

Best Practices

Suggestions for Achieving Best Practices

1. Information technology planning is included in all other types of planning throughout the organization.

1.1 Organizational leadership reviews organization’s financial, strategic and program plans, and identifies current and possible ways information technology can be used to implement these plans.

2. An information technology plan is established that outlines what the organization does and how technology supports those functions.

2.1 Organizational leadership involves all levels of staff in the planning process.

2.2 All staff identify and prioritize which functions within the organization lend themselves to solutions involving information technology.

2.3 Organizational leadership plan for the future as well as the present.

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VII. Information Technology Management / cont’d C. Efficient and cost-effective methods of integrating technology into organization operations result in increases in quality of service and productivity.

Best Practices

Suggestions for Achieving Best Practices

1. All financial costs and benefits are considered when making information technology decisions, including staff training.

1.1 Organizational leadership identifies all potential costs, including consultants, staffing, development, training, hardware, software, documentation, and maintenance.

1.2 Executive Director and financial management staff and Board leadership develop a budget and a plan for raising funds that equal 5% of the organization’s annual budget for the first year and 2-3% of the annual budget on an ongoing basis.

1.3 Management staff inventory current technology and assess its usefulness.

2. Less obvious and more indirect costs are considered when making information technology decisions.

2.1 Management staff identify less obvious and indirect costs; i.e. staff time, learning curve, space needs, flexibility.

2.2 Management staff assess staff’s skills and develop a system that matches the level of complexity the staff can handle.

2.3 Management staff uses staff’s skills assessment to identify a staff member(s) who is interested in information technology and willing to act as the organization’s part-time information technology specialist if the organization is not large enough to have an information technology position

3. Technology solves real problems and adds value to the organization.

3.1 Management staff identify ways that information technology can integrate various functions in order to maximize efficiency and minimize costs, i.e. a welldesigned database can manage information on clients, staff, and donors simultaneously.

3.2 Management staff evaluate links among tasks that lend themselves to being computerized, i.e. tracking donations can be integrated with accounting tasks.

4. Alternatives to developing in-house information technology solutions are considered.

4.1 Management staff research possible outsourcing for those functions that involve expensive, customdesigned, or complicated information technology.

4.2 Management staff research possible collaborations with similar agencies that are looking for technology solutions to common problems.

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VIII. Fundraising A. Overall fundraising policies are developed to ensure ethical and sound practices and to ensure that practices match the values of the organization.

Best Practices

Suggestions for Achieving Best Practices

1. Fundraising policies outline ethical and sound fundraising practices for the organization.

1.1 Executive Director, Board leadership and fund development staff work to develop fundraising policies for the organization and review annually.

Example of issues to address include: list sharing policies, number of funding requests to be made per year, acceptable sources of revenue, definition of major donor, etc.

1.2 Executive Director and Board leadership ensure that Board and staff understand policies and the rationale for them.

2. Fundraising policies demonstrate the values of the organization and articulate any sources of funding or types of fundraising activities that are inappropriate for the organization.

2.1 Executive Director and Board leadership define organizational values with staff and Board with respect to sources of revenue 2.2 Executive Director, Board leadership and fund development staff articulate any inappropriate sources of revenue based on those values. (Also see Strategic Planning and Board Governance)

B. Annual fund development plan shows a diversified funding base and corresponds to Board-approved budget.

Best Practices

Suggestions for Achieving Best Practices

1. Annual fund development plan is developed in conjunction with the Board approved budget to ensure goals are set for diverse revenue sources.

1.1 Executive Director and fund development staff develop detailed plans for each income line item in the organization’s budget to determine how to achieve each goal.

1.2 Executive Director and fund development staff identify all possible sources of revenue and revenuegenerating activities to ensure as diverse a funding base as the organization can achieve at its current level of staff, volunteers and financial resources.

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VII. Fundraising / cont’d C. There is organization-wide awareness of and participation in fundraising activities as appropriate.

Best Practices

Suggestions for Achieving Best Practices

1. Fund development plan is discussed with all staff and Board.

1.1 Executive Director, Board leadership and management staff review outline of fundraising plan in appropriate meetings with staff and Board.

2. Mechanisms for participation in fundraising plan are discussed for all staff and Board members as appropriate to their role in the organization.

2.1 Board leadership seeks to achieve 100% participation by the Board in giving and participating in fundraising activities.

2.2 Executive Director and management staff identify appropriate roles for staff in fundraising activities.

D. All donors are treated with respect and with the degree of confidentiality they desire.

Best Practices

Suggestions for Achieving Best Practices

1. All donor information is recorded as to date and amount of gift, any restrictions and other pertinent information

1.1 Fund development staff ensure that a comprehensive data collection methodology is in place to record donor information. (See Information Technology) 1.2 Fund development staff ensure that all donor data is recorded with timeliness and accuracy.

2. Donors are acknowledged promptly for their contribution and in whatever public way is appropriate for the organization and for the donor.

2.1 Fund development staff generate acknowledgement letters in accordance with IRS guidelines immediately upon receipt of any gift.

2.2 Executive Director and Board leadership acknowledge donors in any public venues or written material as appropriate to the organization and the donor’s desire for anonymity.

E. Funders are provided with honest and accurate information about the organization’s work and status.

Best Practices

1. Regular communications are made with donors with accurate information about the organization’s performance, programs and activities.

Suggestions for Achieving Best Practices 1.1 Executive Director, fund development staff and management staff develop and implement strategy for communicating with donors through whatever regular mechanism and timeline is appropriate, e.g. newsletter, email update, special reports, annual report, etc.

1.2 Executive Director, fund development staff and management staff solicit information from program staff about programs, services and outcomes to use in donor communications. (See also Marketing) 26

Best Practices for Nonprofit Organizations Whatcom Council of Nonprofits

IX. Marketing A. There is a clear understanding of the purpose of marketing and marketing plans are developed in appropriate proportion to the overall organization budget.

Best Practices

Suggestions for Achieving Best Practices

1. There is participation throughout the organization to identify the purpose and goals of marketing efforts in relationship to mission.

1.1 Executive Director, Board leadership and management staff develop communication goals in conjunction with all Board and staff based on overall organization and specific program needs.

2. Marketing goals are set to achieve clear outcomes to further the mission of the organization.

2.1 Executive Director and management staff set marketing goals in relationship to overall organization budget.

B. Marketing plan matches the organization’s need to communicate administrative, fundraising and program information to the public.

Best Practices

Suggestions for Achieving Best Practices

1. Marketing plan is based on organization’s communication goals as identified by program, fund development and administrative staff and Board leadership.

1.1 Executive Director and management staff solicit input from all parts of the organization to ensure full participation with, input into and understanding of communication plans.

1.2 Executive Director and management staff develop specific marketing plan based on organization’s communication goals.

2. Marketing plan incorporates diverse and costeffective mechanisms for communicating information to target audiences.

2.1 Executive Director and management staff examine all current communication and marketing tools as part of plan development.

2.1 Executive Director and management staff identify all possible mechanisms for communicating necessary information and analyze cost effectiveness of each methodology.

2.2 Marketing plan identifies what is to communicated (messages) to whom (target audiences), how (methods).

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IX. Marketing / cont’d C. Organization’s collateral materials show consistency and accuracy in portraying organization’s mission, activities and public information.

Best Practices 1. Collateral materials employ certain standards of language, statistics and information that are consistent throughout all organization materials.

2. Collateral materials are clear, easy to read and communicate the necessary information to the public.

Suggestions for Achieving Best Practices 1.1 – 2.2 Executive Director and management staff review all current collateral materials for consistency and accuracy and develop organizational communication standards as appropriate for collateral and communications.

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BIBLIOGRAPHY Bryson, John M. Strategic Planning for Public and Nonprofit Organizations: A Guide to Strengthening and Sustaining Organizational Achievement. Jossey-Bass, Inc. Publishers and Jossey-Bass Limited, 1998.

“Certification Competencies.” American Humanics, Inc. Online. Available: www.humanics.org/infoforstudents.htm. April 16, 2000.

Cravens, Joyce. “Introducing New Technology Successfully Into an Organization and Why Your Organization Needs a Technology Plan.” Coyote Communications, November 1, 1999. Online. Available: http://www.coyotecom.com/database/techbuy.html. April 16, 2000.

Glasrud, Bruce. “Beyond the Database: The Future of Nonprofit Computing.” Nonprofit World, September/October 1999.

Gordon, Lou. “Tech Wise: Nonprofits Join the Revolution.” Nonprofit World, September/October 1998.

Heimovics, Richard D. and Robert D. Herman. “The Salient Management Skills: A Conceptual Framework for a Curriculum for Managers in Nonprofit Organizations.” American Review of Public Administration, December 1989.

Holland, Thomas P. “How to Build a More Effective Board.” National Center for Nonprofit Boards. Research In Action Series, 1999.

“Information Technology Planning FAQs.” CompassPoint Nonprofit Services, 2000. Online. Available: search.genie.org/genie/ans_result.lasso?cat=IT+Planning. April 16, 2000.

“Managing Your Computer System.” The CompuMentor Project, 1999. www.compumentor.org/cm/resources/articles/101.html. April 16, 2000.

McNamara, Carter. “Checklist for a Planning Assessment for Nonprofit Organizations.” The Management Assistance Program for Nonprofits, 1999. Online. Available: http://www.mapnp.org/library/org_eval/uw_plng.htm. April 16, 2000.

McNamara, Carter. “Checklist for an Assessment of Legal Activities in U.S. Nonprofit Organizations.” The Management Assistance Program for Nonprofits, 1999. Online. Available: http://www.mapnp.org/library/org_eval/uw_legal.htm. April 16, 2000.

McNamara, Carter. “Checklist of Human Resource Management Indicators for Nonprofit Organizations.” The Management Assistance Program for Nonprofits, 1999. Online. Available: http://www.mapnp.org/library/org_eval/uw_hr.htm. April 16, 2000.

McNamara, Carter. “Checklist to Assess Financial Activities in Nonprofit Organizations.” The Management Assistance Program for Nonprofits, 1999. Online. Available: http://www.mapnp.org/library/org_eval/uw_fnce.htm. April 16, 2000.

McNamara, Carter. “Checklist to Evaluate a Nonprofit Board of Directors.” The Management Assistance Program for Nonprofits, 1999. Online. Available: www.mapnp.org/library/org_eval/uw_brd.htm. April 16, 2000.

McNamara, Carter. “Sample Form for Board's Evaluation of the Chief Executive.” The Management Assistance Program for Nonprofits, 1999. Online. Available: http://www.mapnp.org/library/Boards/edvalfrm.htm. April 16, 2000.

“The New Work of the Board.” National Center for Nonprofit Boards. Board Member, January 1998.

Picket, Les. “Competencies and Managerial Effectiveness: Putting Competencies to Work.” Public Personnel Management, Spring 1998.

“Principles and Practices for Nonprofit Excellence.” Minnesota Council of Nonprofits, October 5, 1998. Online. Available: http://www.mncn.org/pnp_index.htm. April 16, 2000.

29 Best Practices for Nonprofit Organizations Whatcom Council of Nonprofits

“Standards of a Good Practice.” Trusteeship, January/February 1999.

“Technology & Nonprofits: A Vision for the Future.” Nonprofit Tech, March 1999. Online. Available: http://www.techlibrary.org/technology/vision.html. April 16, 2000.

Thacker, Shane. “Nonprofits’ Questions About Tech Funding Have Answers.” Philanthropy News Network Online, September 10, 1999. Online. Available: www.pj.org/technology/techfunding0910.cfm. April 16, 2000.

Winer, Michael and Karen Louise Ray. Collaboration Handbook: Creating, Sustaining, and Enjoying the Journey, Amherst H. Wilder Foundation, 1994.

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Attachment B Leading a Nonprofit Organization: Tips and Tools for Executive Directors and Team Leaders

Page 27 of 30

STRENGTHENING NONPROFITS: A Capacity Builder’s Resource Library

Leading a Nonprofit Organization: Tips and Tools for Executive Directors and Team Leaders

TABLE OF CONTENTS

INTRODUCTION......................................................................................................................................... 3 OVERVIEW.................................................................................................................................................. 4 OPERATIONAL RESPONSIBILITIES OF THE EXECUTIVE DIRECTOR........................................................ 4 Becoming an Executive Director............................................................................................................................................... 4 Designing, Developing, and Implementing Strategic Plans........................................................................................... 5 Hiring, Managing, and Retaining Staff.................................................................................................................................... 6 Working with a Board of Directors........................................................................................................................................... 8 Financial Management and Fundraising .............................................................................................................................. 9 LEADING TEAMS...................................................................................................................................... 11 Leadership Styles.......................................................................................................................................................................... 11 Team Management and Performance Tools....................................................................................................................... 12 Exercises and Activities.............................................................................................................................................................. 15

INTRODUCTION The Compassion Capital Fund (CCF), administered by the U.S. Department of Health and Human Services, provided capacity building grants to expand and strengthen the role of nonprofit organizations in their ability to provide social services to low-income individuals. Between 2002 and 2009, CCF awarded 1,277 grants, and the CCF National Resource Center provided training and technical assistance to all CCF grantees.

Strengthening Nonprofits: A Capacity Builder’s Resource Library is born out of the expansive set of resources created by the National Resource Center during that time period, to be shared and to continue the legacy of CCF’s capacity building work.

Strengthening Nonprofits: A Capacity Builder’s Resource Library contains guidebooks and e-learnings on the following topics: 1. Conducting a Community Assessment 2. Delivering Training and Technical Assistance 3. Designing and Managing a Subaward Program 4. Going Virtual 5. Identifying and Promoting Effective Practices 6. Leading a Nonprofit Organization: Tips and Tools for Executive Directors and Team Leaders 7. Managing Crisis: Risk Management and Crisis Response Planning 8. Managing Public Grants 9. Measuring Outcomes 10. Partnerships: Frameworks for Working Together 11. Sustainability 12. Working with Consultants Who is the audience for Strengthening Nonprofits: A Capacity Builder’s Resource Library?

Anyone who is interested in expanding the capacity of nonprofit services in their community – from front line service providers to executives in large intermediary organizations – will benefit from the information contained in this resource library. The National Resource Center originally developed many of these resources for intermediary organizations, organizations that were granted funds by CCF to build the capacity of the faith-based and community-based organizations (FBCOs) they served. As such, the majority of the resources in Strengthening Nonprofits: A Capacity Builder’s Resource Library support intermediary organizations in their capacity building efforts. However, funders of capacity building programs (Federal program offices and foundations) and the nonprofit community (including FBCOs) at large will also find these resources helpful.

In addition, individuals working to build capacity within a program or an organization will be able to use these resources to support their efforts to implement change and make improvements.

The Leading a Nonprofit Organization guidebook will be helpful to new or current executive director or anyone leading or managing a team/committee within a nonprofit.

Who developed the Leading a Nonprofit Organization guidebook?

The guidebook was developed for the Department of Health and Human Services by the National Resource Center.

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OVERVIEW No matter your title or role, there are plenty of opportunities while working at a nonprofit organization for you to serve as a leader. Whether you are directing a board, chairing a committee, managing a team, or coordinating a project, the goal is always the same — to lead effectively.

The structure of some nonprofits may mirror the corporate model, with a clearly defined chain of command, but many others, particularly smaller organizations, pursue their mission in a more unique fashion.

Accordingly, this toolkit is divided into two main sections: “Operational Responsibilities of the Executive Director” and “Leading Teams.” The former provides practical tips and tools for the first-time executive, while the latter discusses leadership in broader terms — offering insight and activities to help anyone become a stronger leader.

OPERATIONAL RESPONSIBILITIES OF THE EXECUTIVE DIRECTOR As the person in charge of the operations of a nonprofit organization, an executive director has many unique responsibilities. Executive directors are charged with establishing and enforcing the vision of the organization; recruiting and supervising office staff; maintaining a productive relationship with the board of directors; creating a fundraising plan that will ensure sustainability; and managing organizational finances.

Becoming an Executive Director Starting a new job is always an exhilarating experience, and nonprofit directors have the power to effect real, lasting change. The first half of this toolkit offers tips and tools to help make your adoption of this new role as seamless as possible.

If you are replacing a former executive director rather than starting your own organization, it is important that your orientation occurs as part of a larger transitional plan. Because the executive director takes the lead in establishing an organization’s climate, work, and processes, assuming control can impact staff morale, board member engagement, and the perception of funders and clients.

New Executive Director Checklist Here’s a quick list of the essential documents that a new executive director should gather together on the first day of work and keep in a management folder. If these documents are not already available, you should make it a top priority during your first quarter on the job to get them developed.

General Most recent annual report Strategic plan Staff contact sheet Board roster and contact information Board policies and procedures Minutes from recent board meetings Technology inventory

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Organizational conflict of interest policy Bylaws IRS determination letter Human Resources Personnel handbook All job or position descriptions (including your own) Employee orientation manual and process Financial Current fiscal year budget Current statement of financial position and activities Recent audit information (if applicable) Fundraising Funding matrix (with funder name, amounts, and report deadlines) Fundraising plan Recent proposal(s)

Designing, Developing, and Implementing Strategic Plans As an executive director, it is your responsibility to guide the organization and provide a vision for where it will be in the immediate future and the long term. This is achieved through the creation and implementation of a strategic plan.

Strategic planning charts a course for reaching your goals and evaluating your progress. Strategic planning is important because it provides an organization’s board, staff, and stakeholders with a universal blueprint for action.

Every nonprofit will have different needs for a strategic plan, depending upon the organization’s leadership, culture, and size. Sometimes strategic planning is less about making big, sweeping decisions and more about clarifying an organization’s top priorities.

While board members, staff, clients, community members, and other stakeholders may play a role in forming the strategic plan, the process is often driven by the executive director. If there is a plan already in place, it is typically reviewed and implemented by the executive director.

Design and Development Prior to the development of a strategic plan, you should determine a design process and identify dates of anticipated achievement. You may also want to consider hiring an external consultant.

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Following a few simple rules will increase the likelihood that your strategic plan becomes an actionable one, rather than a document that collects dust: Involve the relevant people. Gather input from those upon whom you will rely to implement the plan.

Break the plan into tasks. Although the plan should contain large, long-term goals, it is equally important to develop actionable steps for achieving them.

Be realistic. It’s okay to think big, but you should also think about what is realistically achievable based on the size and strength of your support team.

Implementation Once you have a plan in hand, you are ready to put it into action. Here are a few helpful activities for implementing your strategic plan: Assign tasks and due dates. For more complex tasks, consider dividing them into smaller action items or assigning them to a work group or team.

Insert the tasks into the most appropriate job descriptions and schedule performance reviews to monitor progress.

Distribute the plan in a format that is user-friendly and conducive to implementation.

If there is already a strategic plan in place when you assume the role of executive director, you will want to meet with both board members and staff to review the plan and discuss their reactions and experience.

Specifically, you should survey the team on who contributed to the plan, how the plan has historically been implemented, and the perceived effectiveness of the plan. These conversations will help you determine the best way to move forward in implementing the plan.

Hiring, Managing, and Retaining Staff An organization is only as strong as its staff, so it is essential that you take a thoughtful approach and make informed decisions when recruiting new employees. Once you have a team in place (or if you are inheriting a preexisting staff), it is equally important to engender mutual respect and commitment to the organizational mission.

Whether you are the supervisor of a small team of middle managers or you directly oversee the entire staff, you will play a key role in staff recruitment, management, and retention. Here we offer tips on writing an effective job description, managing smartly, and keeping your staff focused and fulfilled.

Job Descriptions By providing a straightforward description of the position’s key duties and requirements, a well-written employment listing will help applicants determine if they’re a good match for the job and provide a framework for choosing the best candidate for the position.

A job description can also prove useful in the orientation and supervision of a staff member, as it helps everyone in the organization understand the boundaries of that person’s responsibilities. For the employee and his/her supervisor, it also provides the framework for a performance development plan.

There are several essential elements to crafting an effective job description:

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Overview Provide a brief history. You might want to include when the organization was founded, the organizational mission, and a list of your programs.

Responsibilities Describe all of the duties associated with the position. Provide plenty of detail in this section. The applicant will rely on this information to determine his or her suitability for the job, and the organization will use the details here to define the new hire’s role and create a performance management tool.

Qualifications List all requirements for applicants to be considered for the position, as well as any preferred skills, knowledge, or experience. Be sure to distinguish between what is essential to the performance of the job (requirements) and what would be considered beneficial but is not essential (preferences).

Application Instructions Provide an e-mail address or fax number for submitting applications. You should also specify what materials must be included for consideration, e.g., cover letter, resume, writing samples.

Other information you may want to provide in a job description includes salary and benefits; a description of the work environment; travel requirements (if any); the title of the person(s) to whom the employee will report; the terms of employment (e.g., short-term, contract, or full-time); and the job hours or work schedule.

Management and Retention Whether directly or indirectly supervising employees, the executive director establishes the overall tone for staff management across the organization. While every manager has his or her own style of leadership (see p.

12), there are several key tactics for ensuring that your staff stays well-informed, dedicated, and adaptable: Staff Orientation A formal walk-through of the organization’s operational structure and practices empowers new employees and makes them feel like part of the team from the very start. It also helps establish clear lines of communication and promotes an open environment that encourages questions and feedback.

Well-defined Roles and Responsibilities The more employees understand what is expected and required of them, the better they can work toward achieving those goals. A clear understanding of how one fits into and supports the organization allows for a healthy degree of self- and peer-management.

Regular Management Check-ins Both managers and their employees benefit from periodic reviews and consultations. This ensures that all parties remain on the same page and presents a forum for self-reflection, reevaluation, and open communication.

Meshing of Styles Each member of your organization has his or her own way of approaching a task and interacting with managers and fellow employees. It’s critical to establish an environment in which varying work styles can coexist and flourish.

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Research indicates that personal conflicts are the primary reason for employees electing to leave a given job.

This underscores the importance of allowing different working styles to coexist. It also cements the need for an executive director to institute measures that will help employees feel secure, valuable, and able to grow with the organization. Some recommended methods for keeping your staff satisfied and dedicated include: Provide Relevant Benefits Most employees expect health insurance and paid vacation time, but you should consider any and all benefits that support the needs and desires of your staff, including life and disability insurance or such pre-tax incentives as transportation and childcare subsidies.

Express Appreciation Always remember to take time to recognize the accomplishments of your employees. Whether you publicly acknowledge an individual’s achievement during a staff meeting or throw a party to celebrate the team’s successful completion of a project, this kind of gratitude bolsters employee confidence and commitment.

Help Individuals Grow An executive director is not simply someone who manages daily operations and delegates tasks. You also function as a professional mentor. Get to know your employees and their career aspirations and help them achieve their goals as appropriate. Your encouragement and support will engender loyalty and respect.

Challenge Your Employees No employee likes to feel like they’re just collecting a paycheck. Help your staff grow as they work by learning new skills and taking on new responsibilities. Your employees should continually be reminded that their hard work and willingness to push themselves is integral to the organization’s mission and success.

Working with a Board of Directors As any nonprofit director will tell you, it’s not just employees with whom it is essential to maintain a positive working relationship. To function as an effective executive in a nonprofit organization, you must learn to balance your day-to-day leadership duties with your accountability to the board of directors.

The proper balance can only be achieved when both the board and the executive director have clearly defined their roles and responsibilities, and when meetings are structured in an efficient and logical fashion.

Some initial degree of tension or disconnect between the executive director and board of directors is natural, but taking steps to address any challenges or concerns will instill mutual trust and strengthen the organization’s operational capacity. Here are a couple of suggestions for optimizing this work relationship: Clarify Roles and Responsibilities The line between who is responsible for what is often unclear to both executive directors and board members.

Some directors or board members may not have prior experience in their role, while others may have held similar positions but must learn how to adapt to the unique needs of this particular organization.

Try gauging your understanding of the differing responsibilities of the board and the executive director by marking the following statements as true or false: 1. The executive director is legally accountable for all aspects of the organization’s operation: 2. The board of directors establishes the policies, rules, and guidelines of operation:

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3. The board of directors can hire, evaluate, or fire any employee: 4. The executive director always provides formal authorization of the organization’s programs: 5. The executive director has final approval of the annual budget: So how do you think you did? (The answers are at the bottom of the page.*) If you didn’t get them all correct, don’t be discouraged. You may want to review your job description, as well as work on developing a board member orientation process that is easy to understand and follow.

You should also make certain that all board members are provided with detailed descriptions of their legal obligations and the specific needs of your organization. It may prove helpful with this step to obtain BoardSource’s Legal Responsibilities of Nonprofit Boards or refer to Free Management Library’s “Sample Job Descriptions for Members of Boards of Directors.”

Maximize Board Meeting Productivity The next step to getting the most out of your relationship with the board of directors is to ensure that board meeting agendas are clear, concise, and on point. Agendas should be distributed prior to board meetings so that attendees can familiarize themselves with the issues to be discussed.

When creating a board agenda, it is helpful to use the same template for each meeting to ensure a consistent of format and to simplify the work of the individual tasked with taking minutes.

Here is a sample board meeting agenda: Community Foundation Board of Directors Meeting January 15, 2010, 6:30 p.m. – 8:30 p.m.

Welcome Review Minutes from Last Meeting (vote needed) Program Updates from the Executive Director Committee Reports Finance Fundraising Board Development New Business Review of Audit Report (vote needed) 2009 Operating Budget (vote needed) Summary of Actions Taken Adjourn

Financial Management and Fundraising In most cases, the executive director is also responsible for determining how the organization spends its money and generates financial support. Managing and raising funds effectively is critical to the sustainability of the organization and will be an issue of particular concern to the board of directors.

* Answer Key: 1. False, 2. True, 3. False, 4. False, 5. False

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Financial Management At a minimum, a new executive director must have some experience with finance, including hands-on knowledge of cash flow management and bookkeeping. The executive director should also institute such financial controls as the consistent documentation of every dollar raised and spent by the organization, as well as understand how to generate and analyze key financial documents: Balance Sheet Also known as a “statement of financial position,” the balance sheet reports on the organization’s assets and liabilities for a given moment in time. Assets include cash, accounts receivable, equipment, ownership of a building, and any intangible resources that have value, such as a curriculum or copyright. Liabilities are any cash owed, including payroll, rent, transportation, and supplies.

Statement of Activities This statement of profit and loss compares funding sources against program expenses, administrative costs, and other operating commitments. As opposed to the balance sheet’s financial snapshot, the statement of activities reports on a specific time frame (e.g., monthly) and indicates whether the organization is financially solvent (in the black) or owes money (in the red) for that period.

The executive director is also responsible for working with the board, accountant, chief financial officer, and other stakeholders in creating the organization’s annual budget.

Fundraising In tandem with a development director, board member, or other support staff, the executive director is typically tasked with creating and implementing a plan for successfully raising the funds needed per the annual budget.

When creating a fundraising plan, it is important to examine the organization’s history to identify previous funding sources. This is the single greatest indicator of future fundraising success. The fundraising plan should outline steps for raising funds from each potential source. Using foundations as a sample revenue source, here are some suggested steps for creating your fundraising plan: 1. Review all previous foundation funding and determine whether the organization is eligible for financial support from each foundation again.

2. Research additional foundations for compatibility with the organization in terms of mission, geographic focus, and organizational life cycle.

3. Complete profiles that include foundation priorities, contact information, proposal due dates, submission instructions, and funding range.

4. Develop a funding matrix to determine the probability of receiving grants from each foundation. Criteria include compatibility with organizational mission, foundation funding priorities, receipt of previous funding, funding of similar organizations in the area, and relationship with the funder.

5. Multiply the probability of funding by the amount of request to determine how much the proposal is “worth.”

6. Determine which foundations to apply to based on “worth.”

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Amount of Request

Probability of Receiving Funds

Total Revenue = (Amount of Request) x (Probability)

ABC Foundation

$25K

100%

$25K

For the Kids Foundation

$20K

100%

$20K

Do Good Foundation

$20K

90%

$18K

Little Foundation

$20K

95%

$19K

Family Foundation

$50K

80%

$40K

All Over Foundation

$20K

90%

$18K

Big Foundation

$75K

60%

$45K

National Foundation

$15K

60%

$9K

Great Foundation

$15K

55%

$8.25K

Giant Foundation

$15K

50%

$7.5K

Foundation

Total

$209.75K

The steps above can be adapted for planning to raise funds from individual donors, corporations, and government entities. Once you determine from whom you will be seeking funding, you will need to establish a plan and time frame for requesting the funding.

LEADING TEAMS Leadership is a critical factor in managing the complexities of a nonprofit organization, but you don’t have to be the executive director to be a leader. Nearly everyone must lead at some point in their employment at a nonprofit, whether it’s in the form of heading a project or mentoring a co-worker.

Leadership Styles It takes more to effectively lead than simply being the one in charge. The critical question for any person placed in a leadership position to ask is whether or not people are willing to follow your direction. An important first step in answering this question is to consider your approach to leading. Let’s explore a few of the most common leadership styles1: Authoritarian This style of leadership is one that connotes being a leader with having all of the decision-making responsibility. Although authoritarians are often criticized for adhering to conventional notions of leadership, there are times when this style is most appropriate, such as when the leader is clearly the most knowledgeable and qualified to decide or when there isn’t sufficient time to consider team input.

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Adapted in part from the U.S. Army Handbook (1973). Military Leadership.

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Participative In contrast to the authoritarian, the participative leader consults with team members when decisions need to be made. When used effectively, this style of leadership can help motivate the team and keep people engaged.

Participative leadership tends to make team members feel more valued, but it is a style best employed only when there is ample time for group discussion and evaluation.

Delegative The effective use of delegative leadership requires the leader provide sufficient coaching and support for the team to feel comfortable making decisions. A delegative leader must also pay close attention to the skills and talents of the team to help ensure that appropriate levels of responsibility and decision-making authority are assigned. Delegative leadership does not mean that you relinquish responsibility and can blame others if things go wrong.

Depending upon the situation, a leader may need to employ a leadership style to which they are unaccustomed, or combine two or more styles. Over time, as project or organizational needs change, you may consider reevaluating or adjusting your leadership style. It also helps to be open to team feedback and to occasionally reflect upon your leadership approach.

Team Management and Performance Tools There are a variety of models that have been designed to help manage teams and plan projects. We have chosen to focus on two of them — the Drexler/Sibbet Team Performance Model and the GRPI project planning model. Both present logical approaches to getting the most out of your work with a team.

The Drexler/Sibbet Team Performance Model Developed by Allan Drexler, David Sibbet, and Russ Forrester, this model (see below) comprises seven stages to help optimize the workflow of a team effort: orientation, trust building, goal clarification, commitment, implementation, high performance, and renewal. Each stage is identified by the primary question of concern for team members when they are in that phase.

The structure of the model resembles the path of a bouncing ball. This is because the model demonstrates the team’s arch of energy. When in the stages toward the top of the diagram (the beginning and end), teams will often feel a greater sense of freedom — the orientation and renewal stages provide opportunities for limitless potential and possibility.

As a team moves into stages toward the bottom of the diagram (the middle stages), there are more constraints. Goals are set; some things end up being included, and others do not.

Let’s look more closely at each of the seven stages and the questions and issues raised during them:

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FREEDOM

Orientation Why am I here?

Unresolved • Disorientation • Uncertainty • Fear

Unresolved • Boredom • Burnout

Unresolved • Caution • Mistrust • Facade

Resolved • Purpose • Team Identity • Membership

Who are you?

Resolved • Mutual Regard • Forthrightness • Reliability

Unresolved • Apathy • Skepticism • Irrelevant Competition

Goal Clarification Resolved • Clear, Integrated • Shared Vision

Why continue?

Unresolved • Overload • Disharmony

Trust Building

What are we doing?

Unresolved • Conflict/Confusion • Nonalignment • Missed Deadlines

Unresolved • Dependence/ Counterdependence • Untapped resistance

Resolved • Assigned Roles • Allocated Resources • Decisions Made

Commitment

Implement Who does what, when and where?

Renewal

Resolved • Recognition and Celebration • Change Mastery • Staying Power

High Performance Wow!

Resolved • Spontaneous Interaction • Synergy • Surpassing Results

Resolved • Clear Process • Alignment • Disciplined Execution

Will we do it?

CONSTRAINT Orientation The primary question asked during this first stage of the model is, “Why are we here?” The team must work together to identify a task that each individual finds personally beneficial, useful, or important to the organization. When a team member is unable to envision their role, they often feel anxious and distance themselves from the group. Alternatively, when a member feels more connected, they are more likely to participate in achieving the group’s goals.

Trust Building According to the model creators, this is the stage during which “people want to know who they will work with — their expectations, agendas, and competencies.” Trust can only be established once team members become clear on their individual roles and responsibilities and establish a better understanding of each other’s work styles and experience.

Goal Clarification Here is where the team works to identify a shared vision by discussing possibilities, variations, and the reasons these goals may or may not be the best options. Some disagreement can happen during this stage, so it is important to make sure that everyone is on the same page before proceeding. This is also a good time to address any conflict between individual and organizational goals.

Commitment This stage comprises the most constraining work the team will face during the entire process. If your work here remains unresolved, some team members may disown individual responsibility for the success of the team by going along with the preferences of others, while others may attack proposed courses of action 13

without offering any feasible alternatives. Such behavior could indicate a lack of priorities, roles, or a clear definition of how work should proceed.

Implementation The implementation stage is dominated by timing and scheduling. You may cycle back through earlier stages of the process as your team encounters unforeseen obstacles and works to find its groove. The key here is to impose some shared process for completing the team’s work. This can be achieved through online project management tools, flowcharts, or work plans.

High Performance While the design of this model might suggest that “high performance” is a destination that all teams reach, research indicates that many never do. But you don’t have to reach this point for good work to get done. The process outlined in the Drexler/Sibbet model is designed to increase the likelihood of becoming a highperformance team and spending more time in this stage.

Renewal The primary question at this stage of the process is, “Why continue?” You can think of renewal as both an ending and a new beginning. Each team member may want to reflect on what did and did not work, what was achieved and can now be left behind, and what issues remain to be tackled.

Teams don’t always move through the Drexler/Sibbet model in a linear fashion, so don’t be discouraged if you are unable to complete one stage before moving onto another. The model is designed to enhance workflow and team performance rather than restrict the team to a fixed set of rules.

GRPI Project Planning Model Some teams may find it difficult to adapt the theory presented in the Drexler/Sibbet model into everyday practice. Another tool that may prove helpful in planning projects is GRPI — an acronym for goals, roles, process, and interpersonal relationships.

The GRPI model suggests that teams and their leaders will function most effectively if they address the four stages of planning in the order they are listed in the acronym: Goals — What is the team going to accomplish? What is its core mission?

Roles — Who will do what on the team? Are the roles and responsibilities clear?

Process — How will the team work together to solve problems/make decisions?

Interpersonal relationships — How do the team members get along?

You can also use the GRPI model to develop a team charter and a solid agenda for your next team meeting.

Here are some suggested steps to take toward achieving those goals: Developing a Team Charter Goals Identify the one mandate that will drive the work of your team.

Identify two additional team goals.

Have each team member identify a personal goal.

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Roles Determine the key team project roles.

Briefly clarify the responsibilities of each role.

Optional: Identify who will fill these roles.

Process Determine a method for making decisions, e.g., consensus, leader, co-leaders, majority vote.

Decide on due dates for deliverables.

Agree on three workable strategies for resolving conflict within your team, e.g., appointing a mediator when two people can’t reach an agreement.

Identify three ground rules that your team will follow, e.g., one person talks at a time; focus on what the person is saying, not on what you will say in response; no side conversations allowed; no cell phones or e-mailing during meetings; everyone must be heard from on important decisions.

Interpersonal Relationships Have each team member share one key expectation he or she has of the other team members in their work together.

Developing a Solid Agenda for Your Next Meeting Date:

Start time:

Location:

Facilitator:

Note-taker:

Timekeeper:

End time:

Agenda Items Check-in

minutes

Review agenda

minutes

Review meeting objective

minutes

Review previous meeting

minutes

Give work reports/updates

minutes

Meeting task:

minutes

Meeting task:

minutes

Meeting task:

minutes

Plan for next meeting (date, time, length, location, facilitator)

minutes

Review today’s commitments

minutes

Evaluate meeting

minutes

Exercises and Activities Here are a few tools designed to help align your team, build trust, evaluate productivity, and assess your performance as a leader:

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Staff Alignment The goals of this exercise are to 1) review your current staffing plan, 2) align your team, and 3) prepare for project implementation. Consider how best to align staff to maximize the impact of your team’s project.

Follow these instructions to complete the staffing plan table below: 1. Identify the discrete aspects of the project and list them across the top row of the table.

2. List the names of all those who will be working on the team’s project in the far left column of the table.

3. Identify in the corresponding columns each individual’s role in each discrete aspect of the project.

4. Add rows as needed to complete this activity.

[DISCRETE ASPECT]

[DISCRETE ASPECT]

[DISCRETE ASPECT]

[DISCRETE ASPECT]

NAME: NAME:

Trust Building This activity is designed to explore team members’ perceptions of one another and to promote open dialogue.

1. Team members identify and share the single most important contribution each of their fellow team members has made to the team.

2. Team members identify and share one area that their fellow team members must improve upon for the good of the team.

3. Team members identify and write down on a note card an underlying challenge or conflict that the team has been unable to discuss openly.

4. Team leader or facilitator collects the cards and reads them out loud.

5. The team selects one or more of these conflicts to discuss openly. If the leader/facilitator notices discomfort over the conflict, he or she asks team members not to retreat from healthy, honest discussion.

Team Status Check-in This activity presents an opportunity to evaluate your team’s progress in achieving its goals.

1.

What are your target outcomes? Have you hit them?

2.

Status of planned activities and schedule

3.

Status of any work products or deliverables

4.

Personnel changes

5.

Highlights or accomplishments

6.

Implementation challenges or barriers

7.

Analysis of challenges/barriers — underlying issues, strategies, methods, and assets (internal or external)

8.

Solution and implementation steps

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Self-Assessment It’s always a smart tactic to ask yourself a few basic questions about your experience as a team leader. This exercise is designed to help you identify any areas of concern and think about how best to address them.

Questions: 1.

2.

3.

4.

5.

6.

What have been your top three challenges in leading teams?

What have been your top three successes in leading teams?

What are your top three strengths or assets as a leader?

What is your single most effective team building practice, tool, or solution?

What have you tried as a leader that did not work?

What is the most essential piece of advice you would give to a new leader or manager about leading teams?

7. How have you changed as a team leader?

Next Steps: Identify one leadership challenge from above to explore.

Consider any underlying issues/dynamics, as well as your strengths and assets as a leader.

Document possible solutions, changes, or effective practices to implement in addressing your leadership challenge.

LEADERSHIP CHALLENGE

UNDERLYING ISSUES OR DYNAMICS

LEADERSHIP STRENGTHS AND ASSETS

SOLUTIONS

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This work was created by the Compassion Capital Fund National Resource Center, operated by Dare Mighty Things, Inc., in the performance of Health and Human Services Contract Number HHSP23320082912YC.

Notes ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

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Notes ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Page 29 of 30

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The e-Advocate Newsletter 2012 - Juvenile Delinquency in the US Genesis of the Problem Family Structure Societal Influences Evidence-Based Programming Strengthening Assets v. Eliminating Deficits 2013 - Restorative Justice in the US Introducti on/Ideology/Key Values Philosophy/Applica tion & Pra cti ce Expungement & Pa rdons Pa rdons & Clemency Examples/Bes t Pra cti ces 2014 - The Prison Industrial Complex 25% of the World's Inma tes Are In the US The Economi cs of Prison Enterprise The Federal Bureau of Prisons The After-Effects of Inca rcera tion/Indi vidual/Societal 2015 - US Constitutional Issues In The New Millennium The Fourth Amendment Project The Sixth Amendment Project The Eighth Amendment Project The Adoles cent Law Group 2016 - The Theological Law Firm Academy The The The The

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Bonus #1 The Budget Bonus #2 Data-Driven Resource Allocation 2018 - Sustainability The Data-Driven Resource Allocation Process The Quality Assurance Initiative The Advocacy Foundation Endowments Initiative The Community Engagement Strategy 2019 - Collaboration Critical Thinking for Transformative Justice International Labor Relations Immigration God's Will & The 21st Century Democratic Process 2020 - Community Engagement The Community Engagement Strategy The 21st Century Charter Schools Initiative Extras The NonProfit Advisors Group Newsletters The 501(c)(3) Acquisition Process The Board of Directors The Gladiator M entality Strategic Planning Fundraising 501(c)(3) Reinstatements The Collaborative US / International Newsletters How You Think Is Everything The Reciprocal Nature of Business Relationships Accelerate Your Professional Development The Competitive Nature of Grant Writing Assessing The Risks

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About The Author † John C (Jack) Johnson III Founder & CEO ______

John C. (Jack) Johnson III was educated at Temple University, in Philadelphia, P ennsylvania and Rutgers Law School, Camden, New Jersey. In 1998, he moved to Atlanta, Georgia in order to pursue greater opportunities to provide advocacy and preventive programmatic services for at-risk young persons and their families caught-up in the Juvenile Justice process.

There, along with a small group of community and faith-based professionals, “ The Advocacy Foundation, Inc." was conceived and implemented over a ten year period, originally chartered as a Juvenile Delinquency P revention and Educational Support Services organization consisting of Mentoring, Tutoring, Counseling, Character Development and a host of related components.

The Foundation’ s Overarching Mission is “ To help Individuals, Organizations, & Communities Achieve Their Full P otential”, by implementing a wide array of evidence-based proactive multi-disciplinary "Restorative Justice" programs & projects throughout the northeast, southeast, and eastern international-waters regions, providing prevention and support services to at-risk youth, young adults, and their fa milies, as well as to Social Service, Juvenile Justice and Mental Health professionals” everywhere.

The Foundation has since relocated its headquarters to Philadelphia, P ennsylvania, and been expanded to include a three-tier mission.

In addition to his work with the Foundation, Jack also served as an Adjunct P rofessor of Law & Business at National-Louis University of Atlanta (where he taught Political Science, Business Ethics, and Labor & Employment Relations to undergraduate and graduate level students. He has also served as Board P resident for a host of up & coming nonprofit organizations throughout the region, including “ Visions Unlimited Community Development Systems, Inc.”, a multi-million dollar, award-winning, Violence P revention and Gang Intervention Social Service organization in Atlanta, as well as Vice-Chair of the Georgia/ Metropolitan Atlanta Violence P revention P artnership, a state-wide 300 me mber violence prevention organization.

www.The AdvocacyFoundation.org

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