Advisory Board / County Board / CEO/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization clearly defines its mission, vision and valuesand uses these statements to guide planning and action. / A.Assess mission, vision and values regularly, to address evolving needs and maintain your organization’s relevance in the face of societal, healthcare and community change.
B.Seek input from your organization’s stakeholders to develop the mission, vision and values.
C.State, in your organization’s vision, the desired future you seek for the community you serve.
D.Describe, in your organization’s mission, the purpose that guides everything you do.
E.Share, in your organization’s values, the beliefs and established guidelines for how your people – and the organization itself – behaves.
F.Use the mission, vision and values to guide all decision-making.
G.Understand that the board’s primary responsibility is oversight of your mission, and that your organization’s services and programs are the mechanism used to achieve that mission.
Core Element 2:
The organization uses strategic thinking, a key leadership attribute, to continually generate insights into factors that impact its mission and achievement of its vision. / A.Encourage a culture of inquiry where board and staff challenge assumptions and foster innovation.
B.Identify issues, topics and opportunities that will improve your organization and anticipate the future, using “what if” scenarios to consider how current issues and developments might impact delivery of the mission.
C.Create and follow a substantive board meeting agenda.
D.Allot time in board meetings and retreats for the group to consider key questions and changes in your organization and the community you serve.
E.Remain flexible and respond rapidly when unexpected events happen.
F.Determine whether advocacy, including lobbying, education on policy issues and civic participation, is a necessary tool for advancing the organization’s work.
Core Element 3:
The organization utilizes available resources such as CARF Standards and DAODAS County Plan Guidelines to ensure the organization engages in strategic planning to provide direction and monitor progress, with the goal of becoming CARF accredited in Governance. /
- Use a deliberate continuous planning process to consider your organization’s future.
- Gather input from stakeholders and carefully consider all opportunities to collaborate to effectively utilize community resources and avoid duplication of services.
Advisory Board / County Board / CEO/ED / In Progress / Completed / Needs Attention / N/A
- Conduct a strategic analysis (such as a SWOT analysis – Strengths, Weaknesses, Opportunities, Threats), with input from internal and external stakeholders to gather quality information to more fully understand trends and the environment in which you operate
- Analyze up-to-date information and create a roadmap that details critical success factors, goals, strategies, activities and key performance indicators.
- Establish realistic, achievable goals that are consistent with your mission and your strategic analysis.
- Establish strategies, structures and processes to support your ability to achieve your goals
- Identify key performance indicators and use a tool such as a scorecard or dashboard to measure progress toward your goals.
- Allot sufficient time at each board meeting to monitor key performance indicators to assess your progress and make necessary changes
Guiding Principle: Organization boards provide oversight that ensures sound stewardship of organizational assets and resources. / Lead / Status
Advisory Board / County Board / CEO/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1: The board works as a unit to determine high-level policy and strategy establishing direction consistent with the organization’s mission, vision and values. / A.Establish your organization’s board as a decision-making body that provides overall leadership and policy direction.
B.Adopt and use decision-making and problem-solving processes that encourage full, vigorous discussion and consideration for diverse points of view.
C. Work as a single unit to craft strategies, board policies and bylaws, updating them as needed.
D. Speak with a single voice.
Core Element 2:
The board sets high ethical standards for itself, the organization and its relationships with clients and key stakeholders, ensuring all comply. / A.Place loyalty to mission, vision and values above loyalty to a founder, a major donor, the chief executive officer or other individuals of influence.
B.Ensure board members, staff and volunteers always act in the organization’s best interest—carrying out their duties diligently, acting in good faith to advance the mission and never working to further their own personal interests.
C.Comply with: 1) the law, 2) articles of incorporation, 3) bylaws and 4) your own policies.
D.Define what transparency means for your organization and its role in how you achieve your mission.
E.Question instances of wrongdoing.
Core Element 3:
The board appoints and empowers a chief executive officer, through whom it directs the organization, its achievements and conduct. / A.Delineate the responsibilities of the board and the staff, consistent with the organization’s mission, vision and values.
B.Hire an executive director/chief executive officer, set and review their compensation, and nurture and hold them accountable for the organization’s performance.
C.Give clear and consistent direction to the chief executive officer, who works for the board as a whole, not for the board chairman or the executive committee.
D. Evaluate the chief executive officer and your organization annually and review financial and programmatic performance, making changes as needed.
Core Element 4:
Board members regularly grade their own performance, keep their commitments and maintain defined boundaries necessary to ethical conduct. / Advisory Board / County Board / CEO/ED / In Progress / Completed / Needs Attention / N/A
A.Guide board member participation through a written statement of individual and collective responsibility that is reviewed and voted upon annually.
B.Establish a regular board and committee meeting schedule and set a standard of performance for members that encourages their review and independent evaluation of materials provided.
C.Ask members to serve as ambassadors, representing and advocating for your organization, keeping tabs on community needs and monitoring the effectiveness of the programs your organization offers.
D.Aim to have 100% of your organization’s board members make personal financial contributions commensurate with their ability to give and help raise money for your organization.
E.Conduct vigorous self-assessments, examining the board’s collective behavior, effectiveness and compliance with its policies and strategies.
F. Ensure board members who volunteer within your organization—in a capacity outside of board service—respect the staff and understand the staff has authority over them.
Core Element 5:
Board members are recruited and trained using a deliberate process to develop the skills and knowledge needed to carry out their duties. / A.Build a diverse board that brings varying experiences, skills, perspective and cultures to the decision-making process.
B.Utilize best practices in organizational governance addressing board size and use of annual elections and term limits.
C. Provide annual orientation as well as regular, ongoing training to keep board members focused on the big picture and their key responsibilities
Guiding Principle: Organizations are obligated to display high levels of ethical behavior, accountability, transparency and compliance with the law. / Lead / Status
Advisory
Board / County
Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization diligently educates itself about, and complies with, all applicable laws and legal obligations. / A.Ensure the board and staff know about, and adhere to, all applicable federal, state and local laws, regulations and fiduciary responsibilities, including but not limited to:
•The Duty of Care or Diligence
•The Duty of Loyalty or Faithfulness
•The Duty of Obedience to Mission
•Laws governing tax-exempt organizations
•Laws governing nonprofit organizations and their governance
•Laws governing charitable solicitation
•Employment law
•Intellectual property law
•Lobbying and reporting law
B.Conduct an annual review of your organization’s compliance with all applicable laws and regulations to ensure compliance, providing a summary to the board and staff.
C.Seek competent legal and accounting advice.
Core Element 2:
Serving the public good, board members, staff and volunteers are highly ethical in all their actions and behaviors. / A. Establish a code of ethics that is followed by the board, staff and volunteers..
B.Adopt a written conflict of interest policy, which meets the IRS standards and guidelines.
C.Have board members, volunteers and staff annually sign a conflict of interest statement, especially those who make decisions regarding programs or finances.
D.Do what is right, regardless of the situation, rather than attempting to protect the reputation of the Organization, the board or staff.
Core Element 3:
The organization respects and protects confidential informationin its possession and the privacy of everyone involved. / A. Adopt a policy, consistent with applicable law, that protects the confidentiality (HIPAA and 42 CFR Part 2) and privacy of all your stakeholders (clients, members, grantees, staff, donors, volunteers, etc.) and monitors compliance.
B.Ensure your organization adherence to policies regarding 42 CFR Part 2 and HIPAA as it relates to stakeholders (clients, members, grantees, staff, donors, volunteers, etc.).
Core Element 4:
The organization openly and honestly communicates with stakeholders and the publicabout its mission, activities, finances and decision-making. / Advisory
Board / County
Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
A.Report to stakeholders and the public at least once a year about your organization’s mission, programs, finances, impact and the people who do the work (board, staff, donors and volunteers).
B.Provide accurate and timely information through public resources such as Guidestar, SC Secretary of State, etc.
Guiding Principle: Organizations effectively and responsibly manage the financial resources bestowed upon them and upon which they rely to accomplish their mission. / Lead / Status
Advisory Board / County Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization adopts and employs effective internal financial controls, (reference CARF Finance and Governance standards). / A.Include an independent member with financial expertise on the board finance or audit committees and, when appropriate, seek outside professional advice
B.Operate in accordance with written, board-approved financial policies that document key control processes and procedures (including but not limited to: compensation, conflict of interest, whistleblower protection, confidentiality, document destruction and investment management).
C.Adopt and operate under an annual budget that follows financial guidelines established by the board.
D.Establish a system of internal controls – appropriate for the size and complexity of your organization – that results in accurate, reliable financial statements and protects your assets.
E.Ensure Organization has designated Corporate Compliance Policy & Procedure with a designated Corporate Compliance Officer (cannot be the Executive Director) to report concerns to the board confidentially and without fear of negative consequences.
F. Ensure organization’s payroll taxes are submitted timely and accurately.
Core Element 2:
The organization adheres to sound accounting principles, demonstrates fiscal responsibilityworthy of the public trust and complies with all finance-related legal and regulatory requirements. / A.Hire an independent certified public accountant to perform an annual audit.
B.Have the board review and approve the IRS Federal Form 990 each year and be familiar with its content.
C.Track your organization’s compliance with grants and funds received and abide by the restrictions or heightened scrutiny that accompany federal, state or foundation grants.
D.Establish an internal audit function that reports directly to the board, if appropriate.
Core Element 3:
The organization regularly monitors sources of funds and how they are used,ensuring they are deployed to further the charitable mission. / A.Review financial statements at least quarterly, comparing with budget and prior year performance, to ensure accuracy and understanding of your financial position.
B.Forecast future financial results at least once a year, taking a strategic forward-looking view when evaluating the impact of financial decisions.
Advisory Board / County Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
C.Implement a system of checks and balances, supported by your organization’s structure and internal processes, that reduces the potential for fraud and the mishandling of funds.
D.Conduct an annual risk assessment, taking action to protect assets.
Guiding Principle: Organizations develop, implement and monitor operational plans to ensure accountability, evaluation and continuous improvement. / Lead / Status
Advisory Board / County Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization has a strategic/countyplan which includes committee goals and objectives to be achieved within an established timeframe and budget. / A.Develop a strategic/county plan approved by the board, to guide the day-to-day operations of staff and committee activity.
B.Review plans regularly to monitor progress, making modifications when necessary to improve your organization’s response to changes in the environment.
C.Allocate appropriate financial resources to support the strategic/county plan and evaluation of results.
D.Anticipate and plan, routinely, for disasters, disruptions and transitions.
E.Incorporate advocacy efforts in your strategic/plan, including outreach, education and civic participation, to advance the mission of the organization, when appropriate.
Core Element 2:
The organization builds evidence-based evaluation into its strategic/county plan, using the results to build a culture of continuous learning. / A.Include measurable objectives, outcomes, key performance indicators, and timelines in your organization’s strategic/county plan.
B.Analyze processes and outcomes and use appropriate quantitative and qualitative data collection methods to make data-driven decisions.
C.Share the results of your organization’s evaluations with stakeholders
D.Seek out professional guidance, if needed, when evaluating your organization’s performance.
Core Element 3:
The organization has clearly defined and board-approved policies and procedures for critical operations. / A.Develop written operations policies and procedures for all major functions, processes and associated tasks.
B.Establish a process to capture and respond to client feedback
Guiding Principle: Organizations recognize that people are their most important asset. They utilize effective leadership and fair practices to attract and retain employees and volunteers. / Lead / Status
Advisory Board / County Board / CEO / ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization complies with all local, state and federal human resources laws and regulations, i.e. DHEC, CARF, etc. / A.Conduct background checks on all employees and volunteers, especially for those who manage finances, work with children or access sensitive information.
B.Establish written employee policies and procedures, setting forth the organization’s expectations and obligations, and have reviewed by a qualified attorney and adopted by the board.
C.Seek legal and professional human resource guidance on employee related issues to reduce risk and liability.
D.Determine appropriate compensation of high-level employees utilizing independent, third- party compensation studies.
E.Adopt a written whistleblower policy, provide training, and make sure board, staff, and volunteers can confidentially report misconduct without negative consequences.
Core Element 2:
The organization places a high priority on recruiting and retaining top-quality staff and volunteersand creating a supportive, productive environment. / A.Share information about the organization’s plans and activities with employees and volunteers and seek their input to create a supportive work environment that fosters mutual respect and trust.
B.Offer employees market-based, equitable compensation and benefits, including retirement benefits, as appropriate.
C.Communicate to staff and volunteers what is expected of them so they understand the rules under which your workplace operates.
D.Ensure staff and volunteers can relate to people with varying cultural backgrounds within the community your Organization serves.
E.Provide staff and volunteers with current, written job descriptions.
F.Hire staff and recruit volunteers with necessary skills and knowledge and provide opportunities for professional development.
G.Provide staff and volunteers with tools and resources needed to succeed.
H.Give ongoing feedback to staff and volunteers about their performance and complete written evaluations annually.
I.Establish transition plans, including a succession plan, to manage changes in leadership and other key positions.
Guiding Principle: Organizations provide donors with ways to support the community, causes and organizations they value. Organizations have an ethical and fiduciary obligation to handle all funds appropriately, meet grant deliverables, honor donors’ wishes and have sufficient funds to carry out their mission. / Lead / Status
Advisory Board / County Board / CEO
/ED / In Progress / Completed / Needs Attention / N/A
Core Element 1:
The organization has clear, written, board-approved fundraising policiesto guide its work. / A.Adopt written policies to govern use of charitable donations in compliance with applicable laws and regulations and consistent with your organization’s mission, vision and values.
B.Use a written gift acceptance policy to govern the handling of all the types of donations and guide staff in maintaining ethical relationships with donors.
Core Element 2:
The organization adheres to high ethical standards for fundraising. / A.Adopt a code of ethics that is actively used to govern all fundraising activities.
B.Document and honor donors’ wishes and restrictions placed upon the gifts made to your organization.
C.Respect donors’ privacy, ensuring the information you maintain is kept confidential.
D.Inform donors, in a timely fashion, of any changes to your organization that may affect use of their gifts.
E.Pay fundraising staff and consultants in an ethical way that puts the organization’s and donors’ interests first (do not pay commissions or fees based on a percentage of dollars raised).
Core Element 3:
The organization implements a comprehensive, board-adopted annual fundraising plan. / A.Appoint a fundraising committee that is chaired by a board member and includes other members of the board as well as volunteers, to raise money to meet your organization’s needs.
B.Craft a written, board-approved annual fundraising plan that incorporates strategies for obtaining diverse revenue sources, including grants, donations, investments and earned income (when appropriate) and clearly outlines the roles and responsibilities of the board, committees and staff needed to turn the plan into action, including goals, strategies, objectives and timelines.
C.Monitor the fundraising plan to ensure it supports objectives funded in your organization’s annual budget and mapped out in its strategic plan.
D.Write up-to-date case statements, clearly conveying your organization’s needs, to be used with potential donors.
E.Recruit volunteer fundraising leaders with the appropriate skills, provide necessary staff support for their solicitation efforts, celebrate successes and thank them for their efforts.
Advisory Board / County Board / CEO/ED / In Progress / Completed / Needs Attention / N/A
Core Element 4:
The organization regularly communicates with donorsand other stakeholders, in an ethical and transparent way. / A.Include in your marketing plan the methods and frequency of communication, as well as the vehicles and media to be used to regularly inform stakeholders about your organization’s activities.
B.Include in fundraising materials, clear, accurate and honest information about your organization, its activities and how you intend to use the money raised.
C.Communicate in a manner that accurately conveys your organization’s accomplishments and recognizes contributions of donors and volunteers.
Core Element 5:
The organization implements a donor stewardship programthat values donors of all levels. / A.Utilize a dependable, secure software system that allows staff to collect, monitor and manage donor and gift information.
B.Maintain accurate records of each donation, making the information available to the donor, when requested.
C.Develop and implement a donor cultivation and stewardship plan that reflects your organization’s values and your donors’ preferences for engagement.
D.Maintain written agreements for major gifts, endowments and other contributions as appropriate.
E.Make records available to the public as requested and as appropriate for your organization.