For Michigannow! and Recover Michigan Program Participants

2009-2010 Organizational Assessment

For MichiganNOW! and Recover Michigan Program Participants

Introduction

In order to better understand the specific individual capacity building needs of each organization and provide the appropriate training, Technical Assistance and SubAwards; it is imperative that each participant organization complete an organizational assessment. This step is required for each organization desiring to apply for Technical Assistance and/or SubAward.

The assessment tool is a reflective instrument and support mechanism for nonprofits to address issues of capacity and accountability as each strives to build the foundation for true mission achievement. Most Program participants will not demonstrate full adherence to all Principles immediately, nor will you have every Practice reflected in your operations. Not to worry, the tool will help your organization identify priority areas for capacity building and provide a basis for each organization (board, staff and other constituents) to make conscious comparison and determination of what will best move your organization forward and ensure that your programs and services are of high quality.

The following list outlines the foundation for your organization - documentation, systems and support mechanisms that will enhance accountability, sustainability and effectiveness. Generally, recommendations are applicable to small grassroots organizations as well as to large, multi-site networks. Take some time to examine your files and make sure your foundation is complete. Review the list and note where individual items are located. If something is missing, find it or implement a process to create and/or secure it.

This is not a task of “busy work.” Much of this information is needed to receive grant funding, as well as to demonstrate to the public, your clients, and prospective donors that you mean business. Some of these items are state or federal requirements: failure to comply with regulations may mean that you unexpectedly shut your doors for good. And, in a time of increased accountability and public scrutiny, it can only help an organization to ensureits ability to answer questions quickly and accurately regarding its operations.

Consultation Required: Once your organization has completed the 2010 Organizational AssessmentTool you are required to contact the Program partnerin your region for a one-hour consultation. During the consultation you will review your assessment results and obtain guidance on how to prioritize your request for TA. TA APPLICATIONS SUBMITTED WITHOUT THE REQUIRED ONE-HOUR CONSULTATION WITH A PROGRAM PARTNER WILL BE IMMEDIATELY DISQUALIFIED.

2009-2010 Organizational Assessment

For MichiganNOW! and Recover Michigan Program Participants

ORGANIZATION LEGAL NAME:

Consultation Date:

Facilitator:

Contact Person:

Recommendations:

Yes / No / In Progress / Guiding Principles & Recommended Practices / Legal
Communications
X / External Communications / Public Relations Plan
X / Internal Communication Policies and Procedures
X / Marketing Plan
X / Media Communications Plan and Procedures
Evaluation
X / Accountability and Monitoring Systems in place
X / Environmental Scan/Community Needs and Assets Assessment
X / Formative Evaluation – opportunities to reflect on ways to improve organization and programs
X / Outcome Evaluation – documentation of how the organization is making a difference
X / Program evaluation (external and internal, e.g. Volunteer Program)
Financial Management
X / Asset and Cash Management Policies and Procedures
X / Audit Committee Policies and Procedures
X / Budgets (revenue/expenses)
X / Bulk-rate Postage Permit / US
X / Cash Flow Projections
X / Chart of Accounts
X / Contract Management Policies and Procedures (bidding system, contracts, evaluation and monitoring tools)
X / Documentation of Accounting Policies and Systems (meet Financial Accounting Standards Board (FASB) and/or Government Accounting Standards Board (GASB) requirements)
X / Employee Expense Reimbursement Policy and Procedure, including Cash Advance (if applicable)
X / Financial Records Retention Policy
X / Internal Control Procedures
X / Investment Policy Statement
X / IRS Form 990 or IRS 990-EZ (to be filed by the 15th day of the 5th month after the end of your fiscal year) / US
X / Lobbying Expense Policy and Procedures / MI/US
X / Monthly Financial Statements with Balance Sheet
X / Nonprofit Corporation Information Update (to be filed annually on October 1, due at MI Department of Labor and Economic Growth, Corporation Division) / MI
X / Payroll – federal, state and local quarterly withholdings/filings
X / Petty Cash Policy
X / Signature Authority
X / Spending Limits Policy
X / NA / UBIT (Unrelated Business Income Tax) Reporting / US
X / Whistle Blower Policy (confidential process for reporting suspected financial fraud)
X / Year End Financial Statement with Balance Sheet / MI
Fundraising
X / Case Statement
X / Do Not Call, Do Not Fax, Do Not Email Policy
X / Donor Database (contributions/restrictions)
X / Donor Recognition Plan (include provisions for privacy)
X / Fund Development Plan
X / Fundraising budget and system to track expenditures
NA / Gaming License, Liquor License, other applicable licenses / MI
X / Gift Acceptance and Recognition Policy (include in-kind donations, address fair market value and disposal of assets)
X / Grants Management System (copies of every proposal, all grants communication, database information, reporting requirements and calendar)
X / Individual Donor Requirements
X / MI Charitable Solicitation License & Charitable Trust Registration / MI
X / NA / Registration (documentation) for Contractual Fund Development Professionals / MI
Governance
X / Articles of Incorporation / MI
X / Board Calendar (meetings and organizational events)
X / Board Development Plan
X / Board Member Handbook (policies and procedures including, but not limited to):

• Advocacy and Lobbying
• Attendance and Dismissal
• Audit Process and Auditor Selection
• Communication During Crisis
• Conflict of Interest
• Executive Transition (emergency and planned)
• Committees (purpose, structure, goals and activities)
• Board Transition (term limits, recruitment, selection)
• Orientation, Training and Evaluation

X / Board Resolutions/Minutes Book
X / Bylaws (include board liability and indemnification language)
X / Compensation Documentation (executive and other staff)
X / Executive Evaluation Plan
X / Leadership Succession and Transition Plan (board leadership and staff executive)
X / No Directors Insur. / Liability Insurances (Director and Officer, General, Volunteer, etc.)
X / Risk Evaluation and Management Systems
X / 501(c)(3) Incorporation completed
Guiding Principles & Recommended Practices
Human Resources (HR) / Legal
X / Compliance with Federal ADA and MI Persons with Disabilities Protection Law / MI/US
X / Affirmative Action/EEOC Policy / US
X / Equal Employment Opportunity Policy / US
NA / 403B Plan Documentation / US
NA / Benefits Documentation
X / Compliance with State and Federal Laws / MI/US
X / Employee Health Care Information (kept separately from Personnel Info)
X / Compliance with Fair Labor Standards Act / MI/US
X / Federal Employee Filings / US
X / Human Resources Records Retention Policy
X / Michigan/Federal Required Postings (OSHA) / MI/US
X / Organizational Chart
X / Salary Scales and Compensation Philosophy
X / Standards and Policies for working with Contractual Employees and Consultants (guidelines for selection, hiring and monitoring)
X / State Employee Filings / MI
X / Up-to-Date Position Descriptions (written for staff)
X / Whistleblower Protection Policy
X / HR: Personnel File (for each employee) – including, but not limited to:
X / Application with Original Employee Signature
X / Background Check
X / Documentation of Disciplinary Action
X / Documentation – receipt of Employee Policies and Procedures Manual
X / Driving records/proof of insurance (as necessary)
X / Hire Letter (or contract)
X / INS Documentation (Immigration and Naturalization Services: note changes due to Patriot Act and Homeland Security) / US
X / Other Conditions for Employment – documentation (drug test results, certifications, etc.)
X / Performance Appraisals
X / Position Descriptions (written for staff)
X / Professional Development Plan
X / Reference Check Documentation
X / Resume
X / Form I-9 / US
X / Form W-4 / MI/US
Employee Policies and Procedures Manual –including, but not limited to:
X / Alcohol/Drug-free Workplace Policy
X / Approved Leave Time - voting
X / Attendance/Leave
X / Code of Ethics
X / Confidentiality Policies and Procedures
X / Conflict of Interest (including disclosure of relationships)
X / Diversity Plan/Cultural Competency
X / Compliance with EEO (Equal Employment Opportunity) and MI Civil Rights Act / MI/US
X / Eligibility and Classifications
X / Expense Reimbursement
X / Grievance
X / Intellectual Property Policy
X / Nondiscrimination, Diversity and Harassment
X / Orientation, Training and Evaluation (staff and volunteers)
X / Performance Appraisal Policies and Procedures
X / Technology/Equipment Access and Use
X / Travel Policy
X / Whistleblower (confidential reporting of alleged impropriety)
Information and Technology
X / Office hardware & software ( computer, word processing software, etc)
X / Data Collection System (to support continuous improvement and evaluation)
X / Database, searchable by strategic constituent groups
X / Disaster Recovery Plan
X / Hardware, software and vendor inventory
X / High-Speed internet access
X / Information and Data Sharing protocol
X / List-serve protocol
X / Management Information Systems (MIS) Policies and Procedures, including Internet, e-mail and security Policies
X / Off-site System Back-up
X / Security Policies and Procedures
X / Social Media protocol
X / Software License Compliance
X / Technology Assessment & Plan
X / Technology Budget (including maintenance and upgrades)
X / Technology Training Plan (staff and volunteers)
X / Web domain and email account
Planning
X / Advocacy Plan
X / Disaster Recovery Plan
X / Executive/Leadership Transition Plan
X / Fund Development Plan (diversification of funds)
X / Marketing and Communications Plan (PR?)
X / Mission Statement / MI
X / Operational or Business Plan
X / Organizational Assessment
X / Strategic Plan
X / Sustainability Plan
X / Technology Plan
X / Vision Statement
Public Policy and Advocacy
X / 501(H) Election
X / Advocacy Policy/Plan
X / Constituent Engagement Plan
NA / Michigan Lobbyist/Lobbyist Agent Financial Report Summary (every six months) / MI
NA / Michigan Lobbyist/Lobbyist Agent Registration / MI
Strategic Alliances
NA / Accreditation Information (as applicable)
NA / Fiscal Sponsorship Policy and Procedures
X / Memo of Agreement/Understanding for each collaborative commitment
Guiding Principles & Recommended Practices / Legal
Transparency and Accountability
X / Annual Forms and Filings (MI) / MI
X / Annual Forms and Filings (US) / US
X / Annual Report (publicly available)
X / Confidentiality Policies and Procedures (all constituents)
X / Document Retention and Destruction Policy
NA / Gaming License, Liquor License, other applicable licenses / MI
X / Forms 1023 and IRS Determination Letter (publicly available) / US
X / IRS Financial Report or Postcard (Form 990 and variants– publicly available) / US
X / MI Charitable Solicitation License / MI
NA / MI Charitable Trust Registration / MI
X / MI Sales and Excise Tax Exemption / MI
X / Whistleblower Protection Policy
Volunteer Engagement
X / Budget
X / Grievance Policy and Procedure
X / Organizational Need Assessment (volunteers)
X / Orientation and Ongoing Training plan
X / Performance Review
X / Position Descriptions
X / Recruitment Plan
X / Recognition Plan
X / Volunteer Policy and Procedures Manual

• Anti-Harassment
• Attendance
• Confidentiality
• Discipline
• Grievance
• Liability/Risk Information
• Non-Discrimination
• Organizational Chart

Program Development
X / Client tracking system
X / Program Development Plan
X / Program Monitoring
X / Program Outcomes Evaluation Plan
X / Program and/or service improvement or expansion plan

Signatures:

______

Chief Executive Officer/Chief Ecclesiastical LeaderDate

______

Printed NameDate

______

Chief Volunteer Officer/Board ChairpersonDate

______

Printed NameDate