pathways to excellence workshop · pathways to excellence workshop excellence in human resources...

Pathways to Excellence Workshop

Excellence in Human Resources

February 19, 2015 3:00 PM – 5:00 PM

A.R.T/New York – South Oxford Space 138 South Oxford Street, Brooklyn, NY

Moderator: Pavitra Menon, Senior HR Consultant, Community Resource Exchange (CRE) Panelists: Jen Chau Fontán, Director of Talent Development, Harlem RBI

Nicole M. Ellis, Associate Vice President of Human Resources, Graham Windham Morenike Williams, Director of Administrative Services, Community Access Your organization’s most valuable assets are your human resources. How do your organization's HR practices recognize the importance, expectations, availability and needs of staff and volunteers? How are job descriptions and annual performance reviews tied to achieving organizational results and used to promote professional development? Learn how developing existing talent can help move your organization forward. This session will include an exercise to help you think about what you’re already doing in this area and the steps you need to take to achieve excellence in managing your human resources. Agenda 3:05 PM – 3:10 PM Welcome 3:10 PM – 3:25 PM Moderator and Panelist Introductions 3:25 PM – 3:30 PM Pre-Discussion Exercise 3:30 PM – 4:10 PM Panel Discussion on Best Practices 4:10 PM – 4:25 PM Practical Exercise 4:25 PM – 4:45 PM Q & A 4:45 PM – 5:00 PM Wrap Up Table of Contents Profiles of Panelist Organizations ........................ ................................................. 2-4 Tips & Strategies from Workshop Panelists ........................................................... 5-6 Planning Exercise .............................................................................................. 7-10 Resources ........................................................................................................... 11

Eight Key Areas of Nonprofit Excellence: 8-year Summary ......................... 12-35 Additional Resources .............................................................................. 36-49

Pathways to Excellence: Human Resources

ORGANIZATIONAL PROFILE

Community Access Finalist, 2014 Nonprofit Excellence Awards Community Access expands opportunities for people to recover from trauma, mental health concerns, and discrimination through affordable housing, training, advocacy and healing-focused services. Community Access is built upon the simple truth that people are experts in their own lives. Community Access (CA) has several policies to help promote a skilled and motivated workforce: Staff wellness programs: CA believes that promoting the health and wellness (including job satisfaction and

financial well-being) of staff is critical in supporting these same goals with clients. CA offers gym discounts and healthy lunch parties. CA promotes financial well-being by offering routine consultations with financial planners, and recently adopted a policy that automatically enrolls employees in its 403b program.

Employee Assistance program: Available for staff that need personal support of any kind. Emphasize internal promotions: All jobs are posted through an internal email system. Leadership Development Institute: Created in 2008 to help supervisors and includes a 6-month curriculum on

best practices in management and communication. Progressively priced health plan: The highest paid staff pay a higher percentage of their salary toward the co-

pay. In 2014, higher earners absorbed the entire costs of the premium increase. Flex time: Provided to staff members attending college. Living wage policy: Allows lowest paid staff ($11 per hour) to afford the housing CA builds. Working Advantage & Plum Benefits: CA subscribes to these employee discount programs to provide staff

with access to discounts and more. CA has written job descriptions for every staff, volunteer and intern position in the organization. Its management model requires that supervisors have regular supervision to set goals and objectives, discuss projects, tasks and initiatives, and troubleshoot challenges. At the supervisor level, CA initiated a 360 degree performance review process that provides feedback to managers from their peers, supervisees, and supervisors. A new HR technology system allows CA to better align staff performance with their job description, organizational goals and core principles. CA has a full training curriculum that reflects its mission and core values of recovery and wellness. CA invests in significant training, particularly geared towards those staff who provide direct care services. CA also trains managers on performance management within the organization. Examples of Excellence Identified by the 2014 Selection Committee: Impressive list of employee benefits reflect care for staff – evidence of a truly staff-oriented culture

o Progressively priced health insurance – highest paid staff pay a higher percentage of their salary toward the co-pay

o Living wage policy – lower earners should make enough to be able to afford housing built by Community Access

o Promote staff wellness and financial well-being o Employee assistance program for personal support o Flex time for staff attending college

Excellent recruitment, hiring and training of staff o Strong staff training curriculum and 6-month Leadership Development Institute to cultivate future leaders o Training curriculum reflects mission and core values o Intensive onboarding

Staff focus groups used to identify areas that require improvement – led to formation of work place safety committee, creation of new training modules, creation of FAQ guide to benefits

Written job descriptions for all staff, volunteers, and interns 360 degree performance review process for managers Turned experience of mental illness into something of value to the organization Effectively operationalize commitment to hire from within the community

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ORGANIZATIONAL PROFILE Graham Windham 2014 Bronze Prize Winner for Management Excellence Full-time staff: 464 Part-time staff: 162 Volunteers: 350 Since its founding in 1806, Graham Windham has been a vital force in providing innovative child welfare, educational, vocational, youth development and other social service programs to help New York City’s children and families achieve life-changing outcomes. The proficiency of Graham Windham’s frontline staff in working with clients ultimately determines its degree of progress toward achieving targeted outcome goals. Graham Windham has a pre-screening process that facilitates efficiency and timeliness of hiring. In 2011, Graham Windham launched the “Relias” Learning Management System which supports the management of pre-service and onboarding training plans, in-service training and elective training. It is also a vehicle through which staff can complete online trainings. Along with training in practice models for frontline staff, Graham Windham offered intensive leadership training to 75 supervisors and directors. The board approves all changes to personnel policies and staff is emailed about the changes. Graham Windham offers a set of comprehensive and competitive benefits, including low copays to a pension plan with a 5.75% agency contribution and a tax benefit for staff needing care for children or aging parents. Feedback received from staff survey results supports management in making adjustments to the compensation and benefits’ packages and to the ways that it supports the workforce. To prevent staff burnout, Graham Windham provides extensive support (weekly supervision meetings, regular meetings where they can give feedback and vocalize their needs, and crisis support). The organization’s Employee Assistance Program provides free mental health, financial and legal counseling and support. Some of the other ways that Graham Windham has supported its workforce include: annual health & wellness fairs annual staff recognition events (to honor lengths of service and outstanding contributions). Job descriptions and annual performance goals are closely tied to programmatic and organizational goals, particularly for frontline staff. Merit-based bonuses are awarded to high performing staff for amounts up to 15% of their annual earnings. Performance appraisals for the organizations’ senior management team, known as “the Executive Council” include 360-degree evaluations (incorporating feedback from peers, direct reports and higher ranking managers) To promote internal promotion opportunities, Graham Windham hosts career fairs and posts job openings for the benefit of current staff before sourcing for talent externally. Graham Windham maintains flexible scheduling to accommodate staff members pursuing advanced degrees, and has offered scholarships to support them. Graham Windham conducts regular staff satisfaction surveys, which assess overall job satisfaction and satisfaction with: supervision; how well job responsibilities were defined; workload manageability; salary; bonuses; benefits; admin, HR, IT, and fiscal support. The surveys that the organization administers also ask how long into the future staff see themselves working at the organization. The management team uses results to plan for programmatic and strategic improvements. Examples of Excellence Identified by the 2014 Selection Committee: Incentivize staff performance and retention with meaningful merit-based bonuses Provide pre-service and in-service training on various topics; training modules available live and online Focus on leadership development at all levels and identifying development opportunities for staff so that they can

transition into key management roles should the need/opportunity arise o Launched a Leadership Academy to provide intensive leadership training to supervisors and directors

Pre-screening process facilitates efficiency and timeliness of hiring Job openings posted internally first (for one week) Internal career fairs Use staff satisfaction survey results to make adjustments to benefits offered Recognize foster parents as part of core team Align job descriptions and performance reviews with program outcomes and case management strategy Recognize staff achievements in internal newsletter; annual recognition event to honor lengths of service and

outstanding contributions Provide free counseling, financial and legal support through an Employee Assistance Program Accommodate staff members pursuing degrees; offer scholarships

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ORGANIZATIONAL PROFILE Harlem RBI 2012 Silver Prize Winner for Management Excellence 2008 Winner for Excellence in Communications Full-time staff: 165 Part-time staff: 156 Volunteers: 125 weekly (during busy periods) Founded in 1991, Harlem RBI is a unique, community-based youth development organization located in East Harlem. It provides inner-city youth with opportunities to play, learn and grow. Harlem RBI uses the power of teams to coach, teach and inspire youth to recognize their potential and realize their dreams. Its vision is to be a model learning community where youth become healthy, educated and active global citizens who achieve excellence and change the world. In 2008, Harlem RBI opened DREAM Charter School. For over 20 years, Harlem RBI has developed academic, enrichment and sports programs that empower youth to lead healthy, productive lives. While East Harlem will always remain their first priority, Harlem RBI and DREAM Charter School are now building a team and infrastructure that will allow them to grow outside the boundaries of this community and transform even more lives. In 2012, the Talent department was created to support and develop staff across the organization by enhancing Harlem RBI’s current management systems, strengthening the use of the organization’s competency model, supporting managers in consistent recruiting, hiring and onboarding and conducting long-term workforce planning. In this past year, Human Resources has come under the Talent umbrella in order to be able to provide staff members with coordinated support. Harlem RBI sets clear expectations for staff through an annual Performance Evaluation Process (PEP) while providing them with the professional development opportunities and ongoing feedback needed to meet these expectations. The PEP is a year-round organization-wide assessment process that evaluates staff on: 1) core and leadership competencies needed to be successful at Harlem RBI and 2) individual performance goals and evaluation metrics. The PEP uses a “360” approach in which each employee receives feedback from self, supervisor, direct reports and peers from both inside and outside of his/her department. The process emphasizes the organization’s collaborative culture and reinforces mutual accountability across the organizational structure. After setting annual performance goals for the year, staff members engage in external and internal professional development, and internal “monthly management team meetups” and weekly department meetings that are also opportunities for culture-building. Harlem RBI holds weekly “What’s Going On” meetings to ensure that all staff members have the opportunities to discuss important goals and activities for the week. These meetings also reinforce the organization’s culture through positive staff recognition and sharing of both anecdotal and quantitative successes. Examples of Excellence Identified by the Selection Committee: Talent Development department focuses on staff support and professional development. Annual performance evaluation process uses a “360” approach, in which each employee receives feedback

from self, supervisor, direct reports and peers from both inside and outside his/her department. Promotes staff unity and cohesiveness through “What’s Going On” meetings, weekly meetings where all staff

have an opportunity to discuss important goals and activities for the week. Staff job descriptions are keyed in to organizational needs. Staff goals and expectations are aligned with organizational goals and outcomes. Hires with future needs in mind to ensure the organization is staffed appropriately for expansion and growth. Contingency planning for multiple staff positions and selected upper-level management – focused on

developing “benches” for all management positions. Leadership team conducts quarterly talent reviews to identify and discuss “high potential” and “high

performing” staff who may be targeted for future leadership roles. Designs staff development plans according to possible succession scenarios. 4


STRATEGIES TO IMPROVE YOUR HUMAN RESOURCES PRACTICES Tips from the Workshop Panelists

Harlem RBI

Recruit and hire "athletes" with potential. Don't just hire for your needs today, think about future needs as well. "Athletes" will be flexible, they will learn, and they will be able to take on larger responsibilities over time.

Create 30-60-90 Day Plans for all new hires. This ensures that everyone begins with clarity around their goals and their short-term priorities. It also enables Managers to evaluate new hires early on to validate good hires or to be able to see quickly that someone is not the right fit after all and act accordingly.

Get clear on the organizational culture that you need to build to support your organizational strategy. Engage various staff members from different levels of the organization in designing strategies to build that culture. Tell stories, create rituals, and most importantly, train people to demonstrate the skills that are important to your culture. A strong culture will result in organizational success and staff retention.

Conduct Talent Reviews. Get your Managers to become practiced in talking about their direct reports'

performance and potential. This consistent understanding of where people are helps Managers to take next steps in developing their people and getting them ready for future responsibilities.

Graham Windham Think completely “out of the box” when designing an HR department that is the best fit for

your organization and when partnering with hiring managers to identify talent for their teams. Understanding that our HR team exists only to advance the mission of the organization by providing excellent customer service and support to Graham Windham’s workforce, our team is staffed with professionals whose areas of expertise span: Human Resources in the private and non-profit sectors, Social Work, Psychology/Counseling; Research & Program Measurement and Education. We understand that being responsive to the workforce-related business needs that are unique to our organizational culture require us to leverage a diversity of perspectives, experiences and talent. As such, having a degree, professional certification or several years of working experience in Human Resources is not necessarily a prerequisite for employment on our dynamic team.

Many of our hiring managers have also embraced this perspective when sourcing for talent when building their own teams. We have observed a shift in what was once common preference that the recruiting pool be limited to professionals who have two or more years of direct related experience in child welfare (and even more specifically, that experience needed to have been in the New York City Child Welfare System). Our program hiring managers now, more commonly seek talent that demonstrate a range of attributes and competencies that we believe incline them to be great matches for our roles. This has caused us to significantly expand our pool of talent. It is our goal to attract professionals who are compassionate, connected to our mission, committed to continual learning, exercise unwavering integrity. It is also important that those who we recruit and employ share our core organizational values. Thus, finding the ‘right match’ requires that we do think outside of the box when sourcing for talent and look beyond each applicant’s resume and employment application. Sometimes this means that we successfully recruit from within the organization to fill our roles.

Create opportunities for staff to diversify their experiences Graham Windham has learned through responses from formal staff surveys, focus groups and through conversation with members of the workforce that many staff that continue to be employed with the organization for more than a few (2-3) years do so because they express having had several experiences to learn and grow outside of the roles that they were initially hired into. Graham Windham’s leadership team made a concerted effort a few years ago to figure out ways to increase our rates of promotion to supervisory roles and of other internal hires. In addition to ensuring that we post for opportunities on our internal (Intranet) website for at least one (1) week before posting externally, we

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send a weekly career opportunities announcement by email to ensure that staff are made aware of roles that may be of interest. We understand that to be successful in this area, we must rely not only on staff to take initiative in seeking out opportunities to grow, but our expectation is that supervisors and managers proactively support their direct reports in recognizing their potential. The reality is that there are only so many new roles to promote our hire staff into within Graham Windham. Thus, this is not our sole means of creating opportunities which allow staff to build on their experiences. We have installed several cross-functional workgroups to share ideas and to develop collective recommendations regarding enhancements to our Employee Appraisal process; improving the quality of work life; strengthening our onboarding and ongoing training program among others. These workgroups foster a culture of inclusiveness and enable staff to meet and work alongside colleagues with whom they may have never previously had a significant connection (for example: staff from our Central Administration and staff from our direct service programs).

Increase efficiency and build expertise by leveraging technology Since 2011, Graham’s HR department has made several enhancements to its library of workforce data management tools and supports which have each enabled us to work, plan and manage in more cost and time efficient ways. Since implementing ADP’s Workforce Now with Recruiting & Staffing, our HR team members with recruiting responsibilities conduct targeted, filtered searches for talent for the roles that they seek to fill. They spend much less time sorting through endless emails and stacks of resumes to identify talent. Accepting all applications electronically and in a centralized database helps us to keep track of how many applicants have applied for each role and which we have “screened in” or “screened out” so that we can make adjustments to our sourcing strategies as needed along the way. The Human Resources & Benefits (HRB) module of ADP’s Workforce Now and our Relias Learning, Learning Management System have substantially enhanced the ways in which we manage the demographic, work-related and talent management & training information for our workforce. Each member of Graham’s team have electronic HR and training files, enabling us to conduct quick searches, run management reports on indicators including hiring trends, separation & turnover patterns as well as onboarding and ongoing training compliance. We continuously review these and other internally designed databases to ensure that we are fully optimizing their uses to streamline our processes and to learn about what is working and what opportunities there are to improve our practices. As an example, our HR department is currently partnering with the agency’s central Information Technology department on the design of a Microsoft Sharepoint-housed database to manage tracking for all recruitment requests and hiring process workflows.

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1. Recruit and retain qualified staff

An approved job description is completed for all positions. 1 2 3 4 Recruitment is through an objective, consistent process. 1 2 3 4 Criteria used to select the appropriate individual are established and documented.

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All individuals external to the organization who are offered a position sign a letter of employment that outlines the working relationship between the individual and the organization.

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All new employees are oriented to the position and to the organization and on-boarding goes beyond the 1st day.

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2. Put the right people in the right place doing the right things

There is a clear, defined organization structure. 1 2 3 4 A clear rationale exists for every role and this rationale is understood by the person filling the role.

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The span of control for every supervisor is optimal (no more than 6 direct reports per supervisor).

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Competency based hiring processes are deployed (competency based job descriptions exist that match the skills and competencies needed for the position with those of the candidate).

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Job descriptions are reviewed periodically and are updated to reflect the actual job and not just what is required for contract reporting.

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3. Employ fair, consistent and rigorous practices

HR management policies are formalized, documented and approved by the appropriate authority.

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HR management policies comply with employment, workplace health and safety, and other related legislation as applicable in the jurisdiction in which the organization operates.

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HR management policies are reviewed on a regular basis and revised, if necessary.

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The organization has established procedures and informed employees with regard to how to resolve conflicts and grievances within the organization.

1 2 3 4

4. Develop and sustain high performance

Managers and supervisors with the responsibility for managing the efforts of others are provided with appropriate learning opportunities to develop their supervisory skills.

1 2 3 4

All employees have performance objectives that identify the tasks/activities and expected results for future performance.

1 2 3 4

The performance of each employee is fairly assessed, at least annually, at the end of the work plan or performance period.

1 2 3 4

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The organization’s performance management processes include the potential for coaching employees in order to address performance issues/concerns.

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5. Reward and recognize staff with limited resources

The organization is committed to supporting employee work/life balance. 1 2 3 4 The culture of the organization is one where positive feedback is routinely shared and good performance reinforced.

1 2 3 4

The organization offers flexible time and telecommuting options to its staff. 1 2 3 4 Continuous learning is supported through stretch assignments and opportunities for staff to work on things that interest them beyond the scope of their job description.

1 2 3 4

The organization is committed to promoting an inclusive workplace. 1 2 3 4

6. Plan for succession

Critical positions in the organization are identified and succession plans are established to address any potential gaps.

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The talent pipeline is given attention to ensure that talent is identified, nurtured including high potential individuals in non-management positions

1 2 3 4

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RESOURCES

In Packet: Nonprofit Excellence Awards. Pathways to Excellence: 8-Year Summary ..................................................... 12-35

About CRE. ........................................................................................................................................... 36-37

CRE. Employment Laws and Regulations You Should Know ....................................................................... 38-40

CRE. HR Wheel .......................................................................................................................................... 41

CRE. Acceptable and Unacceptable Inquiries. ................................................................................................ 42

Harlem RBI. 30-60-90 Plan Template. .................................................................................................... 43-48

Harlem RBI. Onboarding Checklist .......................................................................................................... 49-50

Other Resources: Bhalla, Vikram, et al. High-Performance Organizations: The Secrets of Their Success. The Boston Consulting Group (BCG). Sep. 2011. http://www.bcg.com/expertise_impact/publications/publicationdetails.aspx?id=tcm:12-84960

Coleman, John. “Six Components of a Great Corporate Culture.” Harvard Business Review, 6 May 2013. Web. 11 Feb. 2015. https://hbr.org/2013/05/six-components-of-culture.

Fernández-Aráoz, Claudio. "21st-Century Talent Spotting." Harvard Business Review, June 2014. Web. 11 Feb. 2015. https://hbr.org/2014/06/21st-century-talent-spotting.

Human Resources Association of New York https://www.hrny.org

Human Resources Professional Association of Nonprofit Organizations (HRPANO) http://www.hrpano.net

Kapila, Monisha. “Onboarding is More than Orientation.” IdealistHR. Dec. 2012. http://idealisthr.org/onboarding-is-more-than-orientation/.

Krishnamoorthy, Raghu. “The Secret Ingredient in GE’s Talent-Review System.” Harvard Business Review, 17 April 2014. Web. 11 Feb. 2015. https://hbr.org/2014/04/the-secret-ingredient-in-ges-talent-review-system/.

Masaoka, Jan. “The Nonprofit Board’s Role in HR.” Blue Avocado. Jan. 2009. http://www.blueavocado.org/node/301.

New York Cares Volunteer Impact Program https://www.newyorkcares.org/vip-program.

NPCC, Information Databank, Personnel Management & Employee Issues http://npccny.org/databank.htm#8.

Pro Bono Partnerships. Employment Law Guide for Nonprofit Organizations. http://www.probonopartnership.org/PBPGuide/frame.htm

Resources for New York State HR professionals http://www.cs.ny.gov/businesssuite/.

Riff, Stephen Falla, et al. “The Nonprofit Compliance Checklist: Staying on Track and Out of Trouble.” Personnel Management. Columbia Law School and Legal Aid Society. 2011. 13-17. http://www.nysba.org/WorkArea/DownloadAsset.aspx?id=28203.

Society of Human Resources Management (SHRM) http://www.shrm.org/Pages/default.aspx.

The Bridgespan Group. “Top 10 Tips for Running a Good Nonprofit Hiring Process.” 2011. http://www.bridgespan.org/Publications-and-Tools/Hiring-Nonprofit-Leaders/HiringTools/Top-10-Tips-Running-Hiring-Process.aspx

Valcour, Monique. “If You’re Not Helping People Develop, You’re Not Management Material.” Harvard Business Review, 23 Jan. 2014. Web. 11 Feb. 2015. https://hbr.org/2014/01/if-youre-not-helping-people-develop-youre-not-management-material

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Pathways to Excellence

Winning Management Practices in Eight Key Areas of Nonprofit Excellence by the 26 Winners of the Nonprofit Excellence Awards

Introduction Managing nonprofit organizations is increasingly complicated. Today’s successful nonprofit must regularly demonstrate progress toward its mission, balance its books, comply with a staggering number of regulatory requirements, recruit, motivate and manage a strong staff and board of directors, raise money, communicate the organization’s “story”, be culturally competent, manage new information technology, and demonstrate transparency, effectiveness and accountability to donors and the public. Hundreds of thousands of articles, books, seminars and web‐based resources touch on nonprofit management, a relatively new field. Many focus narrowly on reducing bad practices and avoiding or correcting problems. But, good management rarely results from only trying to avoid failure. It requires focusing on key performance criteria that have been shown to produce great results. Despite an over‐abundance of information, it has been hard to make sense of what really matters. So, how can today’s nonprofit managers and leaders, as well as their donors, regulators and the general public, identify the key ingredients to nonprofit management excellence — the kinds of practices around which there is consensus and that can serve as practical examples for others to follow? The following examples of excellent policies and practices can be helpful. They are the actual management practices and strategies used by 26 organizations that have won the Nonprofit Excellence Awards during the program’s first eight years. They are organized around key components of the Awards program’s seminal document, Eight Key Areas of Nonprofit Excellence, developed in 2006 and continuously updated by surveying the many standards of excellence and rating schemes for nonprofit management throughout the U.S. and identifying core elements around which there is widespread agreement. The eight core areas identified in this document, and the concrete examples of management strategies that follow from them, are not offered as an all‐inclusive, one‐size‐fits‐all blueprint, and they certainly should not be viewed as a checklist of all that is excellent in running nonprofit organizations. But, given the size and enormous diversity of the nonprofit sector, and the evolving state of the art and science of management, this list is a start. We expect the list to expand and change over time as we all further define excellence. NOTE: The examples below of best management practices by winners of the Nonprofit Excellence Awards are organized according to the categories in the Eight Key Areas of Nonprofit Excellence, the program’s core document. Material in italics (preceded by a solid bullet •) is from the document itself, describing recommended practices. Examples that follow (preceded by a hollow bullet ), are actual management strategies identified by the Awards Selection Committee as practiced by one or more winning nonprofit organizations. Each organization is identified by its initials; a full key to these is provided on page 35.

Produced By: Sponsored By:

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1. Overall Management Focus on Results • A well‐defined mission statement guides organizational decision‐making and practice. • Program and organizational results are regularly achieved, tracked, evaluated and reported in light of targeted

outcomes. • Management structure supports mission, with top leadership guiding continuing progress in achieving mission. • A solid grasp of major opportunities and challenges facing the organization leads to focused planning and

action (e.g., through a strategic plan) to meet challenges and regularly achieve results. • Innovative and entrepreneurial approaches are evident in management strategies. • Expert consultants and technical assistance are used when needed to strengthen management operations. • Impact is sustained over time and, where appropriate, scaled up. • The organization regularly uses reflective learning to address mistakes.

o New grants must serve strategic plan and mission (GSS, BW) o Mergers selected on basis of fit with mission (GSS)

o Intense middle management training during mergers keeps mission focus (GSS) o Sustained impact rooted in achieving targets (GSS) o Multiple feedback systems (GSS) o Advocacy work monitored for results; progress toward short‐term advocacy milestones constantly tracked and

assessed (FUREE, WITNESS) o Quantitative (measurable) outcome indicators used to track clients progress (CUCS) o Progress reports shared weekly with clients (CUCS) o Data from reporting system used for ongoing quality improvement (CUCS) o Effective program models adapted to new situations (CUCS) o Performance Dashboard developed with participation of staff, board, funders and partners; all staff departments

report on Dashboard results (WITNESS) o Performance Dashboard metrics posted on website to assess progress twice a year and achieve a high level of

transparency (WITNESS) o Regular planning and evaluation cycles (e.g., plan 3 years ahead, evaluation every 6 months) (WITNESS)

o Progress on annual and 3‐year work plans with core partners evaluated regularly (WITNESS) o Research data used to improve performance targets and milestones (WITNESS) o DARCI (Decision, Accountable, Responsible, Consultant, Informed) system establishes responsibility and

accountability for all key projects (WITNESS) o Strong accountability led to expansion of primary mission‐related goals (e.g., opening a charter school and

expanding summer programming) (HRBI) o Constant, ongoing tracking of “critical indicators of success” engages all levels of organization from board to line

staff, with weekly reporting to senior management on predetermined goals and outcomes, monthly manager “Dashboard Reports” to Executive Director (HRBI)

o Leadership informs board of progress with a “Box Score” (balanced scorecard) that measures performance across functional areas and progress towards established goals (HRBI)

o Tracking tools include monthly tracking for staff, quarterly summaries for board, bi‐annual Management Report to all key stakeholders and annual Report Card for each board member (HRBI)

o Engage in strategic planning with multiple stakeholders every 3 to 5 years to revisit the organization’s direction and define goals (HRBI)

o Monitoring of the strategic plan includes not only progress on goals but also an assessment of readiness to achieve subsequent steps (HRBI)

o Thematic names (e.g., baseball) create a strong connection between the organization’s mission, goals, annual performance and strategic plan (HRBI)

o Web‐based, data‐driven outcomes tracking system used to follow progress of all program participants and allow parent/teacher access (ICA)

o Program alumni tracked to assess long‐term results (ICA) o Track improvements in patient health outcomes (IFH)

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o Management compares organizational goals to results on a monthly basis by monitoring productivity, finance, fundraising, and clinical quality (IFH)

o Identify systems and management strategies needed to meet key organizational objectives (Groundwork) o Metrics track individual and family participation across programs to strengthen retention and growth in number

of students served (Groundwork) o Strong partnership among staff in finance, program management and Board to achieve organizational goals

(VERA) o Strong use of strategic plans to guide activities; regular steps taken to measure impact; strong tracking of program

metrics (GLWD, LW) o Data and database used to strategize and manage program change and growth; strong department level focus on

metrics and monthly dashboard provide regular overviews of results (GLWD) o Track demographic changes in communities served and adapt accordingly (GLWD, BW) o Track indicators of impact, including improvements in communities and issues (NYLPI) o Track types of engagement by partner firms, including tracking client referrals (NYLPI) o Created a Pro Bono Advisory Council to increase commitment by partnering firms (NYLPI) o When considering a new program, ask if it is consistent with mission (SNLP, CV) o Well‐managed growth is part of a strategic plan with appropriate focus on replication and sustainability (SNLP,

RNY) o Committed to formal evaluation of programs (including use of outside consultants); tracks universal indicators in

youth development (SNLP) o Create strong structure for tracking short‐term outcomes by regularly collecting data through surveys and

convening of focus groups (SNLP) o Develop and track concrete measures related to management: fundraising systems; constituency leadership; and

board diversity (SNLP) o Modify programs based on collected data (e.g., low attendance and retention rate in afterschool program

prompted two new program strategies and modified approach to recruitment and cultivation) (SNLP) o Develop “train‐the‐trainer” approach to replicate program model (SNLP) o “Total Quality Management” system compares goals to results on a monthly basis by monitoring productivity,

finance, fundraising, and clinical quality (IFH) o Data and surveys used to help identify problems and develop programs (CHASI) o Collect best practices in mission‐relevant areas and use them to guide practices (HA) o Productivity guide used for staff to develop monthly goals based on job description and mission (HA) o Monthly meetings review successes and challenges, ensuring strategic prioritization, collaboration, and cross‐

pollination of best practices (HA) o Program managers create program plans, identify indicators, and think about potential partners for the next 3‐5

years (CH) o Program plans enable setting goals/targets and regular review of targets creates an environment of continuous

improvement (CH) o Continuous data‐based review of mission relevance – “management by measurement” (ODFMC) o Electronic health records and dashboard provide data that help management focus on advancing the mission

(ODFMC) o Management strategies as reflected in the strategic priorities are aligned with the mission (ODFMC) o Productivity goals and objectives are predicated on best practices, benchmark data, constant review of

productivity, feedback loops and clinical outcomes (ODFMC) o Performance Improvement Committee reviews clinical performance “report cards” and outcomes summaries

measuring clinicians’ productivity (ODFMC) o Developed a formal theory of change that is consistent across all programs (RHI) o Emphasize client participation in planning and evaluation processes; design these processes to be as much

learning experiences as they are means for measurement and improvement (RHI) o Staff observation and feedback and community feedback process leads to changes within the organization (RHI)

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o Service indicators and performance targets in contracts and grants used to measure program‐specific results; goals and targets identified by the board assess overall organizational performance, ensuring connection to mission (BW)

o Assess relevance of potential foundation grants or government RFPs, including indicators of mission alignment, fit with current programs, impact on infrastructure, and nature of funding (BW)

o Assess true cost of proposed or existing programs and impact on overall operations and administrative infrastructure (human resources, finances, etc.) (BW)

o Implemented a peer review process that enables programs to conduct internal audits of case files and other client records (BW)

o Dedicate staff members to quality assurance (e.g., quality control analysts for case management programs, director of organizational excellence, or director of metrics) (BW, HRBI, CSH)

o Hold an annual staff meeting to review accomplishments and new goals (BW) o Clear mission translates into management plans around specific lines of business (e.g., identifying successful

program models; advocating with government to create such models; assisting local governments and providers in implementing such models; and funding successful programs) (CSH)

o Multi‐year strategic planning is integrated into tactical planning (e.g., team and individual workplans, budgets, etc.) (CSH)

o Implement a Measuring Success Program: extensive, interlocking systems used to manage for results across many different program categories and operational areas (CSH)

o Community Scorecard used to inform new organizational directions by assessing community need and potential of organization to add value in communities with unmet needs (CSH)

o Test assumptions and make decisions based on metrics (CSH) o Financial metrics used to inform strategic goals (CSH) o Mission drives programs, strategic direction and board/management decision‐making (CV) o Mission reviewed regularly (e.g., biannually) by the board to ensure that work and direction are aligned with

mission (CV) o Quality Improvement unit includes staff from all levels of organization; tracks and collects data to inform practice

and improve programs and performance (CV, LW) o Annual satisfaction surveys conducted among staff and clients, leading to improvements in services provided and

client communication (CV) o Use researched service models with proven track records of success to inform interventions (CV) o Admission and discharge data used to analyze trends about who the organization is serving and where

participants go after they leave the organization; trends used to modify services offered (CV) o Dedicated Outcomes Committee ensures that all programs set measurable goals; regularly reviews process and

outcome results and asks questions of staff (CV) o Program‐related outcomes are compared to industry data and attempt to quantify social impact (CV) o “Social Impact” section of quarterly newsletter features outcomes of a different program in each issue (CV) o Development of strategic plan factors in industry trends and data, client survey results, performance measures,

and audits (CV) o Retreat attended by staff, volunteers and clients held to brainstorm what is working and what can be improved

(CV) o Implemented a Mission Effectiveness Plan that ensures consistent mission‐driven action (LW) o Created Performance Effectiveness Indicators (PEIs) in each program area to measure and understand impact

across the organization (LW) o Developed 39 individual PEIs, outcomes measurements, beyond those required by funders; outcomes

measurement drives organizational success (LW) o Develop programs based on community need and mission alignment (LW) o Identifies emerging trends in community/industry through a Risk Management Committee (LW) o Considers staff and persons supported input into strategic plan as well as annual assessment to inform goals (LW) o Created interdepartmental matrix to fine‐tune and improve internal referral process for needed services (LW) o Proactively identify industry trends and engage board and colleagues in preparation (LW, CSH)

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o Effective use of consultants to complete the team; created long‐term financial model for expansion; defined program goals and metrics (RNY)

o Use staff performance evaluations to refine program metrics (RNY) o Conduct regular internal review and assessment of both big picture and day‐to‐day organizational details; track

data to show how “on mission” the organization is (RNY) o Frequently evaluates where the organization could be better; commitment to continuous learning (RNY, LW) o Use “teach back” sessions as a way of reinforcing shared outcomes across departments (RNY) o Developed extensive and integrated systems to set goals that are aligned with mission, assess progress towards

those goals, and make course corrections based on the data (GW) o Used strategic planning process to focus the organization’s mission and program array and to identify strategies

for improving program outcomes, including terminating/transferring to ensure strategic alignment and moving toward a common set of agency‐wide goals for a core target population (GW)

o Invested in Solution‐Based Casework (SBC) and training for staff (cross‐departmental); created certification process for case planners and supervisors (GW)

o Program Performance and Planning Team/Board Program Performance Committee meet 2x each year for 8‐9 hours to review performance, develop plans for improvement and set targets for the following year (GW)

o Launched coaching initiative to help program managers use performance data to inform program solutions (GW) o Involved entire organization, from Board to frontline staff to move from a siloed operation to an integrated

organization through management and evaluation systems (GW) o All levels of management review performance data, discuss ways to improve performance, and make

necessary adjustments (GW) o Created Direct Practice Roundtable to allow senior managers to hear directly from staff on challenges or obstacles

to meeting mission and vision (GW)

2. Governance Structure That Moves the Organization Forward • Top Board leadership continually supports efforts to improve achievement of mission and monitors progress

toward planned results. • Board members are effectively involved in critical roles – policy oversight, leveraging resources, assuring

accountability, publicly representing the organization – and expectations are understood and performed by board members and committees; percent of board who contribute financially is high.

• Board minutes and other key documents are created, circulated and retained in accordance with document retention requirements.

• Board regularly monitors and evaluates the performance of the CEO. • Individual member and overall Board performance is evaluated regularly. • Board leadership assures organization‐wide accountability, transparency, effectiveness and ethical behavior,

including compliance with appropriate legal and professional guidelines and regulations, such as a Conflict of Interest Policy and a Whistleblower Policy.

• Board receives and reviews quarterly reviews, event materials, Executive Director’s report and development report.

• New Board candidates receive a recruitment prospectus and site visits.

o Board of Directors receives a quarterly review, event materials, Executive Director’s report (compilation of weekly program reports) and development report, resulting in an engaged Board that feels prepared to discuss the organization in a fundraising context (Groundwork)

o All new Board candidates receive a recruitment prospectus and site visits (Groundwork) o At the end of year appeal, board members receive report cards, each board member suggests 25 names of

potential candidates (Groundwork) o Board is actively engaged in steering major decision‐making, including weighing risks for the future of the

organization as to not dilute the franchise (HRBI, CSH) o Board report cards used to track and evaluate each Board member’s involvement and fulfillment of a specific set

of roles and responsibilities, and to improve Board performance and engagement (HRBI, BW) o Conducts annual 360˚ Board performance reviews (HRBI)

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o Executive Director and senior development staff meet with Board members individually to discuss yearly contributions (HRBI)

o Maintains 100% Board member giving (HRBI, Groundwork, GLWD, NYLPI, LW, RNY) o Has a formal succession plan: terms, evaluation, recruitment; regular skill‐set assessment (GLWD, HRBI, SNLP, CV) o As ambassadors of the organization, Board members regularly visit programs and strengthen their connection to

the mission (HRBI, BW, LW) o Board recruitment is strategic, based on a gap analysis, the future direction of the organization, and strategic

positioning (HRBI, CSH) o Established a policy of considering Board prospects with prior involvement with the organization as a means of

evaluating the candidate’s leadership strengths and gauging his/her “fit” with the organization’s culture (HRBI) o Has a strong Board leadership development process and accountable committee structure (GLWD) o Require Board members to rank the organization as their #1 or #2 charity in terms of personal giving (GLWD) o Engage board members rolling off as special affinity group (GLWD, SFF) o Assess Board members annually based on job descriptions with explicit goal of organizational effectiveness

(GLWD) o Board committee structure serves as a “farm” or “feeder” system for potential Board leaders (GSS, SNLP, CSH) o Provides a Board orientation manual and site visits (GSS) o Allows a transition year for incoming Board Chair (GSS, SFF) o Maintains high level of Board involvement in its budget process (NYLPI) o Uses board members to leverage resources, such as pro bono legal support and outside counsel (NYLPI, BW) o Board members are available to staff for consultation, advice, and open dialogue (NYLPI) o Improve quality of the Board as a whole by focusing on non‐engaged members at the margins and being more

explicit about expectations (NYLPI) o Expectations, roles and responsibilities for Board members are written (NYLPI, WITNESS) o Governance Committee reviews expectations with all board candidates (NYLPI) o Carefully monitor participation and financial contributions of all Board members (NYLPI) o Board structures are designed to ensure stability when changes occur; board mentors and self‐assessments used

to enhance performance (SNLP) o Diverse Board composition and structure (SNLP) o New Board candidates meet with at least two existing Board members during recruitment process, and review

schedules and commitments (SNLP) o Dropped term limits for Board members, focusing instead on regular Board member performance reviews (SNLP) o Integrate constituents into organizational leadership (e.g., full voting members on Board, staff positions) (SNLP) o Potential Board members tasked to recruit 5 new members every 6 months (FUREE) o Each Board member leads an advocacy/organizing campaign (FUREE) o Ranking system assesses leadership potential/checklist system monitors development (FUREE) o Community‐based Board (ICA) o Board has 3 full‐day meetings per year, allowing for comprehensive evaluation of progress and adherence to

mission (HA) o Trustees are seen as volunteers; Board participates in conducting tours, hosting events, leveraging donated

technology and getting pro bono assistance (HA) o Trustees dedicate a retreat to evaluating the head of school’s progress toward realization of the mission;

incorporates survey results from families, trustees, and parents; summary shared with staff to guide annual goal setting (HA)

o 40% of private revenue generated by the Board and President’s Council (SFF) o Affinity groups used as feeder groups for the Board: President’s Council, Legal Advisory Council, Associates

Committee and Mothers’ Council (SFF) o Board Chair discusses goals for fundraising, committee participation, and volunteer requirements with every

Board member and conducts an annual assessment (CH) o Board members submit annual give/get expectations based on performance assessments from the previous year

(CH) o Established a Foundation (fundraising) Board to address challenges created by Operating Board’s federal

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requirements (ODFMC) o Board recruitment strategy includes roundtable discussion groups and town hall meetings within the communities

served (ODFMC) o Annual Board retreat held to examine financial and operational needs, share perspectives and establish priorities

(ODFMC) o Invest in formal Board training to increase Board effectiveness (ODFMC) o Appoint a seasoned mentor to each new Board member to ensure that he/she receives ongoing Board training,

assistance throughout his/her first years of service, and opportunities to share expertise (ODFMC) o While strategically recruiting Board members for their expertise in specific areas, also focus on maintaining a

diverse Board (e.g., 91% from surrounding area, 45% are African American and Latino, and 64% with experience in youth development) (RHI)

o Board pledge form at the start of the year holds Board members accountable to personal goals for giving, getting, and participating in Board committees; form is revisited mid‐year and at year‐end (RHI)

o Board is trained in fundraising practices and implemented monthly Fundraising Committee meetings to meet the needs of the organization and growth approved in the budget (RHI)

o As part of the organization’s succession planning, Board and staff created a “bird’s eye view” calendar, outlining the annual lifecycle of the organization in a daily, weekly, monthly, and quarterly basis from the perspective of Board, programs and management responsibilities (RHI)

o Board Program Committee works with staff to assess viability of programs: financial feasibility of new programs as well as sustainability of existing ones (BW, GW)

o Visiting Committee enables board members to visit program sites before some board meetings (BW) o Strong integration of board committees with staff; board members attend agency events and staff meetings; a

true dialogue exists (BW) o Board’s internal evaluation process reviews finances, assesses program performance, reviews administrative

operations based on goals set by executive director and senior staff, and includes formal reviews from external parties (program and financial audits) (BW)

o Executive director’s performance reviewed annually (BW) o Organization asks funders to make board nominee referrals (BW) o Biannual board retreats are dedicated to organization’s strategic positioning; one meeting per year is combined

with a staff retreat (CSH) o Board contributes to organization’s fund development efforts beyond 100% personal giving (CSH) o Taskforce created to review governance practices (e.g., revamping of Development Committee) (CSH) o Compensation Committee conducts a dedicated and rigorous CEO review process (CV) o Nominating Committee maintains a list of skills needed on the board, and regularly reviews individual board

member performance, focusing on contributions, meeting attendance and committee participation (CV) o Formal board succession policy added a second vice‐chair position to ensure stability and continuity (CV) o “Junior board,” called the Leadership Council, helps attract younger donors and additional corporate support;

intentionally cultivates future leaders, providing a pathway to the board (each leader has a board mentor) (CV) o Board serves as a brain trust: critical, engaged, reflective, and thinking with staff on how to evolve the

organization (CV) o Utilize ad‐hoc committees to address specific needs that arise (LW) o Clearly define job descriptions, fundraising responsibilities, and committee membership expectations for board

members (LW) o Invite a guest speaker from a featured program to every board meeting (LW) o Board assesses Executive Director’s performance each year (LW) o Board engages in annual self‐assessment; Governance Committee reviews results and addresses performance

gaps accordingly(LW) o Align recruitment efforts with governance needs and strategic priorities (LW) o Assign board members to two distinct committees – one quantitative, one qualitative (LW) o Proactively recruiting new board members through formal and informal means, and cultivating current and future

board leaders in anticipation of 25% turnover from long time members in the next few years (LW) o Developed a formal contingency plan that ensures the organization is able to temporarily fill critical positions with

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pre‐identified staff and is fully prepared to continue operations and assure excellence service (LW) o Created Associate Executive Director position to ensure a succession plan for the Executive Director; filled the

position with a candidate able to step in for the Executive Director at a moment’s notice (LW) o Board has written job descriptions with detailed expectations of time, expertise, attendance at events and Board

meetings, participation with constituency and fundraising (RNY) o Executive Director meets annually with individual Board members to review goals, fundraising responsibilities,

involvement, and fundraising prospects (RNY) o Individual Board members set annual goals that are tracked (RNY)

o Board Chair and Executive Director meet monthly to discuss programs and progress on goals (RNY) o Young Executives Board of 70 past and current rowers (RNY) o Succession planning: created list of Executive Director’s key functions with specific assignments of which staff can

provide back up for them (RNY) o Weekly management team meetings ensure transfer of historical, institutional knowledge (RNY)

o Senior staff rotate attending board meetings to give them leadership exposure (RNY) o Create projects that allow senior staff and board to work together without the involvement of the Executive

Director (RNY) o Structure board meeting minutes as action templates to encourage accountability (RNY) o Board Chair collects reports from all CEO direct reports as part of annual 360 performance review; results in a

report measuring performance against specific goals established at the start of the year (GW) o Board manages tension between financial incentives and outcomes incentives for children served (GW) o Board Development Committee split into workgroups focused on foundation support, corporate support,

volunteers and branding (GW)

3. Strong, Transparent and Accountable Financial Management • Clear processes are in place for creating, approving and reviewing the annual budget at the Board and senior

level. • There is regular accountability in the form of management tracking and reporting of budget performance and

cash flow to the Board, appropriate Board committees, regulatory bodies, supporters and/or other key stakeholders.

• Key financial milestones and targets are regularly monitored and met. • If the organization is of sufficient size to complete an annual audit, the audit is prepared by qualified outside

accountants and reviewed by a separate audit committee of the board in a timely fashion. • Appropriate internal controls are in place to assure integrity, accuracy and transparency in all financial dealings

by the organization and to prevent fraud and waste. • The organization’s federal Form 990 is complete, accurate, reviewed by senior management and board

leadership, and publicly available. • Local, state and federal required forms and reports (e.g., IRS Form 990, NYS CHAR 500, etc.) are filed as required

and are complete, accurate, reviewed frequently by senior management and board leadership, and publicly available.

• Adequate cash reserves protect the organization against contingencies and risk. • Annual operating and capital budgets are informed by its strategic plan, program goals and Board‐directed

initiatives • Budget planning strives for modest surplus at year end.

o Constant financial information flows to staff and Board, allowing early course corrections (GSS, IFH, GLWD) o Train program directors to read financial reports (GSS) o Demonstrate strong financial health: solid balance sheet; liquid cash reserves; 3‐6 months working capital (HRBI) o Use “bottom‐up” budgeting (HRBI) o Involve staff at all levels of the organization in discussions about budget reductions in order to improve “buy in”

for austerity measures (HRBI) o Board actively involved in designing a financial disaster policy that is thoughtful, relevant and incorporates big‐

picture strategies (HRBI)

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o Monthly variance reports showing spending against budgets and available resources through year‐end provided to program managers to assist with budget implementation (HRBI)

o Monthly Finance Committee review of financial statements showing performance versus budget, performance versus prior year and a forecast to year‐end (HRBI)

o Implement strong policies and control measures; maintain strong cash reserves and a line of credit (CHASI) o All staff are familiarized with the budget and receive timely information; use contingency budgets (CHASI) o Demonstrate strong financial health despite significant growth; take financial risks, but manage them well (IFH) o “Six‐Point Plan” guides cash flow when finances are stressed, taking into account adjustments to: (1) accounts

receivable, (2) staffing, (3) contracts, (4) fundraising, (5) vendors, and (6) productivity (IFH) o Use strategic plan to guide the budgeting process (NYC) o Set campaign goals and regularly secure new funding sources (NYC) o Use monthly contingency “triggers” with percentage projections (NYC) o Sophisticated cost‐cutting preserves core services; bottom‐up contingency plans show worst case scenario

budgets with bottom line savings and 12‐14 month cash‐flow projections (Groundwork) o Maintain healthy balance sheet and use agency‐wide real‐time budgeting (VERA) o Proactively responded to economic crisis: instituted furloughs and enrolled in NY Dept. of Labor’s Shared Work

Program to save money; limited layoffs; promoted continuity with reduced hours; and, provided staff opportunities to get additional financial assistance (VERA)

o Leverage resources to have high‐impact with relatively small budget (NEDAP, RNY) o Annual operating and capital budgets are informed by its strategic plan, program goals and Board‐directed

initiatives (GLWD) o Budget planning strives for modest surplus at year end (GLWD, CSH) o In response to financial downturn, asked staff to reduce expenses; did not fill some staff vacancies; engaged staff

in a process designed to re‐engineer functions to increase efficiency and cost effectiveness while fulfilling mission (GLWD)

o Board and Finance Committee receive extensive reports one month prior to quarterly meetings (GLWD) o Finances are transparent across all levels of the organization (SNLP) o Budget focuses on enhanced financial stability but also aims for growth (NYLPI) o Focused on balancing budget after cuts, while preserving mission integrity (NYLPI) o Achieve a surplus every year; end each year with nearly 6 months’ cash on hand (HA) o Strategic planning committee monitors financial position and budget revisions against actual spending; provides

long‐term financial goals and planning guide for future growth and sustainability (HA) o Uses a financial manual created with help from a consulting firm working closely with staff in response to a

financial audit, demonstrating willingness to engage with professional consultants (SFF) o Strong scenario planning built into a fluid budgeting process, resulting in good dialogue between finance staff,

Executive Director and Board (SFF) o Staff and Board leadership have strong grasp on liquidity/unrestricted funds (SFF) o Organization‐wide and program‐specific financial information is included in quarterly dashboard and a mid‐year

reforecast is used to create the budget template for the following year (CH) o 3‐5 year program plans are tied to the budget model; program results tie back to revenues, and results tie back to

budget (CH) o Budget development is guided by 5‐year strategic plan with consideration of provider productivity levels, payer

mix, and revenue sources (ODFMC) o Pay close attention to key opportunities in the organization’s field (e.g., healthcare) to leverage resources and

other supports (ODFMC) o Monthly cash flow reporting (ODFMC) o Board Finance Committee developed a worksheet to help predict income for the coming year (RHI) o Quarterly cash flow projection is created at the beginning of the year, and when cash flow is a concern, a bi‐

weekly cash flow report is created (RHI) o Increased budget to support staff at the senior level in an effort to prepare for the future transition of the

Founding Executive Director (RHI)

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o Despite being a small organization, create a financial policies handbook that outlines separation of duties, functional expense policies, system of checks and balances, payroll approval process, etc. (RHI, RNY)

o Plan ahead for funding streams that are expected to end (RHI) o Board understands its responsibility for the organization’s financial health and, at each board meeting, discusses

how much risk the organization can take on (RHI) o Budget development considers 3‐year revenue and expenditure patterns and takes a bottom‐up approach (BW) o Carefully monitor all programs; those running deficits for 3 consecutive months receive particular attention,

ensuring timely corrective action (BW) o Strong analysis of RFPs, assessing potential impact on finances and on staff resources (BW) o Generate and build reserves despite constraints of public funding (BW) o Executive team‐developed strategic “guidelines and principles” used in budget development process (CSH) o Budget process does not occur in a silo, but in conjunction and synched with annual work plan process (CSH) o Ensure that budgets for all regional offices align with organization’s strategic plan (CSH) o Recognize that demands are greater than budget; have regions make a case for additional funds (CSH) o Everyone is involved in the budget process – everyone “owns it” (CSH) o Focus on break‐even budgeting (e.g., balance projects that are profitable with others that are of strategic

importance but difficult to fundraise for) (CSH) o Aggressively manage balance sheet to ensure long‐term health and stability: reduce costs of carrying loan funds,

and manages the cost of capital (CSH) o Allow for mid‐budget course corrections due to changes in investments and lending activity (CSH) o Assess risk associated with new projects, discounting projected returns according to risk (CSH) o Institute an “innovation fund” to underwrite worthy projects that are not otherwise funded (CSH) o Budget dashboard reviewed monthly to control costs and identify problems early in the budget year (CV) o Budget dashboard includes year‐to‐date comparisons, projection scenarios, contingencies and risks (CV) o Risk management dashboard quickly reviews risks and progress towards mitigating them (CV) o Finance staff goes out and meets with program staff; recognize the importance of relationships with internal and

external audiences (CV) o Proactively manage finances to address preventive maintenance issues on campus and with facilities (CV, GSS) o Created ad hoc Debt Finance Committee to restructure long‐term debt (LW) o Budgets are in line with the strategic plan (LW, NYC) o Program Directors meet with CFO and Executive Director as part of budget process (LW) o Closely monitor census and programs running a deficit to ensure timely corrective action (LW) o Engaged a consultant to help “non‐finance” board members understand financial statements and meet fiduciary

responsibility (LW) o Instituted centralized purchasing process as a cost savings measure (LW) o Quality Assurance Department focused on improving system of financial oversight (LW) o 7 months of liquid reserves (RNY) o Committed to becoming more self‐sufficient; focus on earned income revenue streams (RNY, CSH) o Board Finance Committee periodically trains current and new board members with no finance background to

encourage fiduciary responsibility (RNY) o Involve direct practice leadership in creating and monitoring budget, leading to accountability throughout the

organization (GW) o Have two rounds of face‐to‐face discussions to ensure budget requests are fully aligned with latest program

priorities and strategic plan (GW) o Run monthly snapshot reports to supplement quarterly reports (GW)

4. Diversity and Culturally Competent Organizational Practices • Staff is diverse and represents the community(ies) or population(s) served, as appropriate to the organization’s

mission. • Inclusive service, outreach and hiring policies and practices are integrated into the organization’s structure,

leadership and governance policies and practices. • The organization has a written diversity policy.

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• The organization regularly demonstrates and improves its cultural competence in relating to clients or constituents, volunteers, staff and other key stakeholders.

• The organization regularly assesses and responds to emerging needs and communities. • The organization is demonstrably committed to diversity with measurable results.

o Initiated new programs, modified mission and changed name in response to new needs demonstrated in

community (CHASI) o Actively seek client feedback (CHASI) o Conduct strong outreach to target communities and maintain diverse staff that speaks multiple languages (CHASI) o Actively maintain relationships with community partners and remain true to unpopular research‐based program

in order to continue serving key constituencies (CHASI) o Function as culturally‐based, close‐knit community (ICA) o Respond to economic stress on community through programming (ICA) o Use metrics that track individual and family participation across programs to strengthen retention and growth in

the number of students served (Groundwork) o Identify emerging issues and work with groups on the ground to effectively and ethically engage neighborhoods

(NEDAP) o Analyze new complexity of needs among client population; revise model based on constituent needs and

customer satisfaction assessment (e.g., expanded mission to serve people with all life‐altering illnesses and added illness‐specific programming) (GLWD)

o Engage clients in advocacy (GLWD) o Enhanced its Client Activity Tracking System to include program changes (GLWD) o Restructured the organization to deliver maximum service (NYLPI) o Continually focus on efficacy of programs, e.g., reorganizing intake systems, clarifying case selection criteria and

process, creating new fact sheets to empower clients, and developing a sign language video (NYLPI) o Proactively reach out to clients; implement a structured intake process where each team assesses each client’s

goal, and staff have the autonomy to make decisions; seek to enable clients to communicate their issues in a way that will result in change (NYLPI)

o Jointly litigate with pro bono partners; collaborate with community organizations to advocate for legislative change in state laws (NYLPI)

o Realize that expanded programs at new sites need community‐based leadership to make them sustainable e.g., hired a part‐time site director who focused on strengthening community relationships) (SNLP, HRBI)

o Deliberately and systematically launched program expansion; set benchmarks and sought institutional partner (SNLP)

o Tracking system used to identify program youth who have gone on to various leadership positions (SNLP) o Explicitly‐identified strategies used to expand organizational resources and capacity; very responsive to

differences in communities served (SNLP) o Demonstrably committed to diversity with measurable results (WITNESS) o Emphasis on developing diverse staff, leaders and skills at all organizational levels (WITNESS) o Team Performance inventories and retreats organized for broad, honest staff feedback (WITNESS) o Strong focus on diversity and cultural competency; 65% staff of color; 30% senior management; has a Cultural

Competency Committee, and strong, ethical client codes (CUCS) o Progress reports shared with clients on a weekly basis (CUCS) o Collaborate with other agencies and public authorities to tackle hard issues (CUCS, CSH) o Broadly and deeply engage the communities he organization serves (FUREE) o Culturally‐based management and communications strategies guide program development (e.g., African

discussion circles called mbongis) (ICA) o Strong client (parent) engagement through parent committees focused on hiring, admissions, outreach, and

fundraising (HA) o Impressive diversity in socioeconomic status and race among students and staff (HA) o Broad staff and volunteer language capacity allows for translation and interpretation for legal services, extensive

availability of foreign language outreach materials, and CBO/community outreach in monolingual communities

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(SFF) o Diverse groups of constituents are represented on a Food Council (CH) o Hire people who represent the neighborhoods served (CH) o Ensure a culturally competent organization by going beyond diversity training and engaging a trained consultant

to administer individual cultural competence “inventories” and provide each staff member with reports noting strengths, challenges and action steps (HRBI)

o Develop new programs to respond to emerging needs in the community (e.g., social work staff launched a gay/straight alliance to support the organization’s LGBTQ population) (HRBI)

o Diversity and cultural competency are core values and inform governance, Board composition, staff recruitment and other aspects of the organization (ODFMC)

o Tuned in to community needs – proactive in listening and seeking input (ODFMC) o Clear pipeline and thorough, targeted practices for recruiting from the community, using appropriate models from

the private sector (ODFMC) o Recognize that meeting community needs is measured not only by clinical results but also by attention to

patients’ perceived needs, customer service and health literacy (ODFMC) o Emergent needs determined through client surveys (ODFMC) o Annual assessments of cultural competency included in staff reviews (ODFMC) o Concerted effort to address clients’ needs through training, feedback and management focus on diversity,

language and culture (ODFMC) o Stay open on most holidays to increase access to programs and services (ODFMC) o Policy of hiring and training from the community ensures that the organization is responsive to community needs

(e.g., 96% of staff are from the local community) (RHI) o Program goals are dependent on diversity and hiring within the community (e.g., hiring local teens directly

addresses unemployment in the community) (RHI) o Staff demographics strongly aligned with service population (BW) o All staff provided with annual cultural competency training (BW) o Translation tool in website allows visitors to read in 50 different languages (BW) o Regularly tracks changing demographics in all service areas (BW) o Cultural preferences factored in food service, resulting in increased program attendance (BW) o Annual Community Scorecard assesses and responds to community needs (CSH) o Annual State of the Industry Survey used to learn about the needs of the supportive housing industry; findings

used to create new programs and tailor existing models to local needs (CSH) o Defined recruitment policies and practices to support diversity and cultural competency (CSH) o Actively pursue opportunities to subcontract with minority/women business enterprises (CSH) o Established core value related to cultural competency: “We value diversity and celebrate its power to enrich us

all” (CV) o Prospective employees go through organizational values training program (CV) o Recruit prospective employees who reflect client population by advertising in newspapers that serve minorities,

conducting job fairs in minority communities, and providing recruitment incentives for staff (CV) o Undoing Racism Committee ensures all staff are treated fairly and equally (CV) o LGBTQ Committee is devoted to ensuring that the organization is a safe place for staff and clients regardless of

sexual orientation (CV) o Community Advisory Committee keeps community informed of issues, advocates for the organization in the

community, and advises management on community concerns and issues (CV) o Hold focus groups to see what different constituents are thinking and incorporate their ideas; responsive to

community needs (CV) o Language Committee audits and develops terminology to describe constituents and work (commitment to cultural

sensitivity); staff trained on new language expectations (LW) o Staff profile reflects community served (LW) o Thoughtful approach to working with partners and creating relationships with local elected officials and other

community leaders who represent target audiences (LW) o Attend neighborhood organization meetings to assess and prioritize community needs (LW)

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o Agency‐wide Undoing Racism Workgroup creating a mandate and statement regarding institutional racism that ties back to organization’s core values (LW)

o Support bilingual hiring by providing a salary addition for new hires that speak a language clients require (LW) o Hold regular diversity trainings, including focus on disability and LGBTQIA (sensitivity training) (RNY) o Bi‐annual caregiver/parent meetings to discuss concerns and new programs (RNY)

o Interpreters available at these meetings (RNY) o Multilingual staff (seven languages) (RNY) o New staff receive cultural competency training focused on celebrating and supporting differences (RNY) o Program graduates hired whenever possible (RNY) o Para‐Rowing Committee advises the organization on how to meet the needs of rowers with disabilities and

informs workshop offerings (RNY) o Reserve 80% of program spots for low‐income public school youth; 20% for youth from any socio‐economic

bracket – model achieves economic diversity among participants (RNY) o Parent liaison enhances communication between parents and staff (RNY) o Obtain feedback on emerging community needs from three Advisory Councils for youth, birth parents, and foster

parents (GW) o Held conversations with all directors in the organization to address diversity at senior levels and to formulate

practices for internal advancement (GW) o Recruit in local communities and population of program participants to ensure that staff’s ethnic diversity

matches that of the service population (GW)

5. Enlightened Use of Human Resources • Recruitment, on‐boarding, engagement, evaluation and retention of staff reflect the organization’s mission and

recognize the importance and changing expectations, availability and needs of staff and volunteers. • Staff and volunteers reflect the diversity of the community(ies) and population(s) served. • The organization continually works to provide a safe and healthy work environment, protecting clients,

employees and volunteers from harm, including regular efforts to ensure standards of prudent care. • The organization has written personnel policies that are communicated to staff, reviewed at the Board level,

and include job descriptions for each position and annual performance reviews. • Staff have the necessary education, experience and certifications to perform their duties well. • Professional development opportunities, either internal or external, are available to staff. • Salaries and volunteer compensation are within the range of community norms, reflect appropriate skills,

performance and job status, and are within federal and state legal bounds regulating excessive compensation, utilizing industry‐based surveys of salaries and benefits for comparable positions.

• The organization has employee Whistleblower and Conflict of Interest policies in place to protect confidential employee reporting of suspected fraud and material conflicts of interest.

• There is a relatively high level of staff retention. • The organization has mechanisms, including succession plans, to manage transitions in key leadership positions. • Employee performance reviews are tailored to each position, are linked to broader organizational and program

(mission‐related) goals and outcomes for which employees are held accountable, and employees are regularly recognized when these are met.

• The organization creates “stretch assignments” and employs a “growth pipeline” to retain talented staff by providing them with increasing supervisory responsibilities.

o Use a sophisticated, results‐driven employee evaluation process (Groundwork) o Staff participate in board presentations, are invited to speak on panels and attend conferences; senior leaders

engage in key strategic issues through weekly senior leadership meetings, strategic planning, and analysis of funding opportunities (Groundwork)

o Use a check‐list system to monitor leadership development (FUREE) o Executive Director personally orients all new staff with organizational manual, vision/values statement, strategic

plan (GSS) o 360° staff/peer feedback at leadership retreat (GSS)

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o Celebrated the Year of Supervision as a means of engaging all staff in related trainings, book clubs and other activities (GSS)

o Agency‐wide ethics policies created by standing Ethics Committee included in Employee Handbook (GSS) o Supervisor/supervisee handbook (GSS) o Use clear job descriptions and requirements with gradually increasing managerial responsibilities to groom and

recruit senior managers (CHASI) o Conduct a Management Boot Camp for emerging talent (CHASI) o Provide internal training and individual coaching for new supervisors (CHASI) o Use Volunteer Engagement Scale tool to track volunteer progress (NYC) o Encourage cross fertilization around functions at all levels of the organization (NYC) o Make performance‐based promotions (NYC) o Invest in staff by providing strong benefits, multi‐level learning environment, and professional development

(VERA) o Concrete internal learning opportunities are made available for staff and Board (trainings, discussion groups,

peer‐to‐peer exchange) (VERA) o Share executive leadership through its strategy of co‐directors (NEDAP) o Engage staff across program areas in devising organizational responses (NEDAP) o Staff professional development and performance reviews are linked to strategic plan (GLWD) o Strongly focus on volunteer engagement (e.g., volunteers can connect their work to final products and

organizational outcomes), leading to an excellent volunteer retention rate (GLWD) o Encourage pro bono partners to deepen engagement by serving on boards (NYLPI) o Leverage outside legal resources; engage lawyers from private firms as co‐counsel in litigation, and recruit pro

bono lawyers to provide legal services to community organizations (NYLPI) o Encourage innovative and entrepreneurial behavior to advance mission; distribute leadership responsibilities

(NYLPI) o Offer professional development opportunities through mentoring of administrative staff (NYLPI) o Leadership roles are used to deliberately groom staff, Board members and student participants, creating a

mission‐driven training model (SNLP) o Staff satisfaction is central to success; staff members are assigned roles that provide opportunities to develop

professionally, embodying concept of “diagonal growth” (SNLP) o Management approach is normally collaborative, but becomes hierarchical when needed (SNLP) o Strong quality assurance focuses on part‐time staff supervision and training (SNLP) o Innovative succession planning at management level; uses co‐program director model (SNLP) o Balance longevity and consistency of senior management team with commitment to leadership development

among existing staff (IFH) o Entrepreneurial leadership constantly strives to lead in health‐care and management (IFH) o Produce an annual Human Resources Report to Board (CUCS) o Develop staff via “Fellows” program; host graduate students in education administration for year‐long internships;

leverages skill of broad base of volunteers (HA) o Anonymous evaluations of head of school demonstrate open, honest and collaborative atmosphere (HA) o Each department has its own handbook; performance is measured against mission‐focused job descriptions,

incorporating expectations from handbook (HA) o Volunteerism identified as a strategic priority, leading to the creating of a staffed Volunteer Program, embedded

in the Development Department (SFF) o Conducted large‐scale compensation study to ensure that salaries were competitive in the marketplace, and

regularly reviews compensation to ensure both internal and external equity (SFF) o Highly sophisticated use of 2,000+ volunteers allows carefully matching volunteers’ abilities and interests to

agency needs (SFF) o Uses Specific, Measureable, Attainable, Realistic, Time‐bound (SMART) goals; each employee partners with

his/her supervisor to identify 4 goals plus a professional development objective, all tying into larger departmental and organizational objectives (CH)

o Align performance evaluations across departments in advance of merit‐based raises to promote parity and staff

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development through merit‐based performance management system (CH) o Split HR department into two branches: HR (administrative focus) and Talent Development (focus on staff support

and professional development) (HRBI) o Quarterly talent reviews conducted by leadership team to identify and discuss “high potential” and “high

performing” staff who may be targeted for future leadership roles (HRBI) o Annual performance evaluation process uses a “360” approach, in which each employee receives feedback from

self, supervisor, direct reports and peers from inside and outside his/her department (HRBI) o Staff job descriptions are keyed in to organizational needs; staff goals and expectations are aligned with

organizational goals and outcomes (HRBI) o Hire with future needs in mind to ensure the organization is staffed appropriately for expansion and growth (HRBI) o Contingency planning for multiple staff positions and selected upper‐level management – focused on developing

“benches” for all management positions (HRBI) o Design staff development plans according to possible succession scenarios (HRBI) o Promote staff unity and cohesiveness through weekly “What’s Going On” meetings where all staff have an

opportunity to discuss important coals and activities for the week (HRBI) o Collaborate with other organizations to establish industry best practice models for prescreening applicants,

onboarding staff and rewarding staff effectively (ODFMC) o Use annual staff effectiveness plan, informed by employee feedback (satisfaction survey, exit interviews, orientation

evaluations and employee evaluations) to establish HR and staff development priorities; plan presented to and approved by dedicated Board Human Resources Committee that focuses on staff needs (ODFMC)

o Use employee turnover data and metrics on staff effectiveness to improve HR practices and guide HR decisions (ODFMC)

o Invite staff to monthly Board meetings and encourages them to interact directly with the board (ODFMC) o Partner with local college that trains students and sources future employees; offers generous tuition

reimbursement for training to support students in building their careers (ODFMC) o Program participants evaluate group facilitators twice each year; feedback and suggestions are used to improve

program and staff performance (RHI) o Management hiring, training and program decisions are tightly connected with mission‐based theory of change

(RHI) o Extensive training, supervision and support of staff has a direct impact on the surrounding community and the

organization’s mission (RHI) o Offer staff trainings based on needs identified during staff reviews (RHI) o Evaluate staff twice each year (RHI) o Developed novel professional development matrix outlining growth opportunities in six employment areas (RHI) o HR policies are intentionally flexible to accommodate life situations of employees who would not otherwise be

able to maintain employment (RHI) o Executive Director conducts orientation breakfast for employees every two months, acculturating them to the

organization, belief in the mission, and important personnel practices (BW) o Bi‐weekly newsletter for staff (BW) o New hires evaluated after 6 months, annual performance reviews thereafter (BW, LW) o Training Director facilitates in‐house training, and coordinates external training (BW) o Offer extensive training and professional development opportunities (e.g., including programs at Baruch and

Columbia, mandatory ethics and cultural competency training, IT workshops, and training to help staff pass MSW license exam) (BW)

o Use exit interviews and trend analysis of what is said in exit interviews (BW) o Planning around leadership transition emphasizes transparency and communication (BW) o Strong emphasis on healthy work‐life balance (CSH) o Invest in staff development to build skills tied to strategic plan goals (CSH) o Impressive 9‐Box Performance Potential Matrix evaluates employee’s current performance and future potential

(CSH) o Senior staff undergoes training in feedback and accountability to ensure performance and staff accountability

(CSH)

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o Cross‐training for staff provided via monthly knowledge‐sharing calls (CSH) o Perform careful succession planning for all positions critical for the achievement of strategic goals, including

cultivation of internal candidates (CSH) o Feedback obtained through annual staff surveys used to improve practices and address skill gaps (CSH) o Peer review lunches allow staff to improve communications skills and allow staff across the country to connect

and learn about their colleagues’ work (CSH) o Cascading goals approach ensures strong, clearly communicated links between job descriptions, annual

workplans, team workplans, and strategic goals (CSH) o Culture is set at CEO level but permeates the entire organization (CSH) o Staff performance is evaluated formally against individual workplans during performance reviews twice each year

(CSH) o Conduct extensive workforce planning to make sure it has the capacity (at board and staff levels) to meet future

goals (CSH) o Offer staff an extensive menu of professional development opportunities, including in‐service trainings, online

training platforms, outside conferences, coaching, feedback, and guest speakers (CV) o Scholarships available for study in related fields (CV) o All new hires participate in 10‐day training (CV) o Employee handbook available in English and Spanish (CV) o Created a Junior Executive Program to develop emerging leaders (CV) o Annual performance reviews include professional goals, development plans and salary increases tied to

performance; skills surveys identify employees’ best function(s) (CV) o Strong internal promotion rate (CV) o Every qualified internal candidate is given an interview, and if not selected for promotion, also given feedback (CV) o Formal succession policy reviewed annually by the Executive Team and board (CV) o Both long‐ and short‐term succession plans for CEO, as well as every VP and manager (CV) o Strong culture of valuing employees: provide affordable staff housing; offer Shooting Star program to recognize

exemplary performance (CEO sends personal Thank You note; recognized in newsletter); coordinate CEO luncheons with staff (CV)

o Checklist for managers of new programs – Project Implementation Team (PIT) – to optimize time and resources (CV)

o Uses annual employee survey results to inform new employee initiatives and policy changes (LW) o Created an Employee Referral System with a bonus for staff that refer new employees who stay for at least a year

(LW) o Mission‐driven service training provided for all staff; included as part of new employee onboarding (LW) o Conducted agency‐wide assessment of training needs; new trainings were introduced; trainings tailored to

specific jobs/programs were offered (LW) o Provides Management Training for managers and supervisors agency‐wide (LW) o Senior Management team participates in a leadership diagnostic to identify strengths and weaknesses (LW) o Competency‐based (tied to core values) performance evaluations with 100% participation (LW) o Offer tuition reimbursement and salary increases for employees who receive higher education degrees (LW) o Recognize employees annually with awards based on organization’s core values (LW) o Implemented Universal Team Meetings: opportunity for entire staff to celebrate accomplishments and receive

updates from senior management (LW) o Coaching model includes bi‐weekly 1‐to‐1 supervision for all employees across the agency with training for

supervisors (LW) o Introduced competency‐based hiring process that relies on behavior‐based interviewing (LW) o Performance reviews based on program and organizational goals, including development of personal goals (LW) o Performance evaluations revised to reflect core values (LW) o On‐boarding process includes 5 training modules tailored to particular positions Revisit elements of staff

orientation regularly throughout the year (RNY) o Review job descriptions each year (RNY) o Strategic use of volunteers to augment staff and reduce student to staff ratio (RNY)

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o Staff provide volunteers with one‐on‐one orientation (RNY) o Establish staff training/professional development plan, including coaching roundtables, speaker series, and weekly

program meetings; and a budget for external professional development (RNY) o Provide professionalism training for recent graduate hires (RNY) o All staff receive bi‐annual reviews, including self‐assessment and feedback from supervisor regarding staff norms

and program and organizational goals related to position (RNY) o Twice a year staff provides anonymous feedback on their supervisors (RNY) o Established staff norms, values and guidelines for internal and external communications (RNY) o Incentivize staff with meaningful merit‐based bonuses (GW) o Provide in‐house training on various topics; training modules available live and online (GW) o Focus on leadership development at all levels and identifying development opportunities for staff so that they can

transition into key management roles should the need/opportunity arise (e.g., launched a Leadership Academy to provide intensive leadership training to supervisors and directors) (GW)

o Pre‐screening process facilitates efficiency and timeliness of hiring (GW) o Emphasize internal promotions by posting job openings internally first and conducting internal career fairs (GW) o Use staff satisfaction survey results to make adjustments to benefits offered (GW) o Recognize foster parents as part of core team (GW) o Align job descriptions and performance reviews with program outcomes and case management strategy (GW) o Recognize staff achievements in internal newsletter; annual recognition event to honor length of service and

outstanding contributions (GW) o Provide free counseling and legal support through an Employee Assistance Program (GW) o Accommodate staff members pursuing degrees; offer scholarships (GW)

6. Appropriate and Reliable Information Technology (IT) Systems • Organization complies with all regulations and industry standards relating to the types of data it collects,

transmits and stores (e.g., health care information under HIPAA, credit card information, etc.). • The organization regularly uses reliable information technology systems that provide timely, accurate and

relevant information to facilitate workflow, track its data, and increase efficiency and effectiveness in accomplishing its mission.

• The organization successfully manages information with regard to confidentiality, safety, accuracy, integrity, reliability, cost effectiveness, and legal compliance, including the necessary safeguards against systems breach and data loss.

• The organization invests in technology resources that are deemed appropriate to enhance and streamline its ability to achieve its mission (e.g., computer networking, remote access strategies, etc.).

• Designated staff has the expertise to effectively support the organization’s technology goals and operations and assures that all electronic files are backed up regularly; technology hardware and software are regularly assessed, updated and standardized.

• The organization has in place an effective disaster preparedness and disaster recovery plan that assures business continuity and defines the process by which the technology infrastructure would be rebuilt in the event of a catastrophic occurrence.

• The organization provides staff and volunteers with ongoing IT training relevant to their work. • The organization monitors and adopts new technology that has the potential to enhance its ability to fulfill its

mission. • The organization engages in technology planning that is integrated into short‐ and long‐term strategic and

operational goals, and establishes goals for the information system’s physical growth and future expenditures.

o Medical records technology allows efficient care, constant improvements in patient outcomes, and improved clinical performance (IFH)

o Health Information Technology used by patients and staff improves communication during and between medical visits (IFH)

o Online Progress Notes Reporting System tracks student progress and allows parent/teacher access (ICA) o Website used for volunteer recognition (NYLPI)

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o Developed a series of innovative, custom‐built legal and clinical databases (SFF) o Has an IT Advisory Council comprised of Board, staff, and corporate partners (CH) o Integrate technology into the work and management of the organization (ODFMC) o Prioritize staff training to ensure proper use of technology (ODFMC) o Employee information – manuals and benefits – are available on shared drive at all times (ODFMC) o Innovative implementation of IT systems to monitor and evaluate program, financial and operations data

(ODFMC) o Free wireless internet access available to local community; helps with jobs communication and learning about

stakeholders (RHI) o Strategic planning committee for technology maps organization’s future IT needs (BW) o Full time computer instructor trains staff in software applications and also trains clients (BW) o Department heads and caseworkers in the field equipped with smart phones to remain in constant contact (BW) o Provide full IT orientation for new employees (CSH) o Use video conferencing across national organization with regional offices (CSH) o Cloud‐based platform allows staff to input and access data immediately (CSH) o Launched a training portal for staff, including training records and a library of training videos (CV) o Detailed IT policy protects clients, consumers, and staff (CV) o Internet‐ready laptops or netbooks and cell phones provided to all staff working in the field (CV) o Places emphasis and investment in technology (part of strategic plan) (LW) o Management Information Systems Team dedicated to updating hardware and software across 22 sites (LW) o Developed in‐house client information system (LW) o Launched an in‐house Help Desk to assist staff with IT issues (LW, GW) o Technology Planning Committee ensures that staff have access to technology and are appropriately trained (LW) o Technology team works closely with management and the strategic plan priorities to ensure effective service

delivery (LW) o Implemented Alert Now System to send mass updates to staff (LW) o Use Salesforce to capture data from disparate systems, run customized reports on critical organizational metrics,

track participant progress, identify trends and forecast future program requirements (RNY) o Constant Contact used to track communications with constituency (RNY) o Google Drive used for file sharing (RNY) o Dual wi‐fi networks for staff and guests (RNY) o Use a single database to facilitate data collection, tracking, and reporting across all programs (GW) o Microsoft Outlook add‐in allows appointment reminders and progress notes to be entered through the calendar

interface and are logged in the database automatically (GW) o Chief Information Officer meets with division Vice Presidents, HR, and Program Performance Planning Team to

determine needs (GW) o Maintain a rolling IT strategic plan (GW) o Conduct an annual security audit (GW) o Developed an IT policy manual on security procedures (GW) o Transitioned to Office 365 to guarantee access to email during/after a disaster (GW) o IT Team provides training to staff (GW)

7. Regular and Effective Communications and Use of Communications Technology

• Communications plan and processes assure regular presentation of accurate information to and reception of information from various publics (donors, volunteers, key constituencies and stakeholders, general public), including strategies to protect consumer privacy and confidentiality.

• Communications plan and practices are strategically integrated and central to all organizational planning and assure accurate and ethical communication of the organization’s mission, vision, values and activities.

• Communications plan and practices regularly assess the organization’s market relate to competitors and its clients’ needs and satisfaction.

• The organization actively and effectively “brands” itself and “tells its story.”

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• The organization promotes understanding of and familiarity with the brand by all employees, Board members and volunteers.

• The organization implements standards for its messages and graphics that assure coherence in the organization’s fonts, colors, logos, etc., in accordance with a communications plan and stated guidelines.

• The organization provides release forms and opt‐out practices, ensuring that clients, consumers and donors do not receive unwanted public exposure.

• The organization establishes regular formal and informal strategies for gathering feedback on services from target audiences, and identifies how this input will be considered and incorporated as appropriate.

• The organization actively engages a range of key stakeholders and other audiences, considering their preferred methods of communication.

• Internal communications motivate, inform, and counsel employees. • The organization maintains a website or web presences that provides information about its mission, programs,

finances, management and governing board; updates website content with information about current developments.

• The organization maintains an intentional use of social media as appropriate. • The organization makes information available to the public as required by federal and state law (e.g., most

recent Form 990, annual report, etc.)

o Share program models widely in the organization’s field (CUCS) o Use well‐defined, well‐integrated communication strategies and develop communications materials for all

stakeholders (bi‐annual youth‐written newsletter; management report; monthly email “blasts”) (HRBI) o Leverage public service announcements, videos and taxi advertising (HRBI) o Effectively leverage celebrities to reinforce brand recognition (HRBI) o Provide staff training and have policies in place to ensure consistent use of the organization’s brand and style

(HRBI) o Brand identity is strong in all messaging and communication both internally and externally (HRBI) o Mindful of telling the story of the community without exploiting it (HRBI, RNY) o Use culturally‐based management and communications strategies; culture of accountability to constituency with

various mechanisms ensuring that community voices participate in decision making (ICA) o Communications capitalize on in‐kind advertising from media partners and buyers (NYC) o An annual Communications Plan is part of overall strategic plan with goals and metrics for each level (NYC) o Demonstrate a good understanding of multiple constituencies with communication goals and strategies for core

groups: residents, employees, Board, school principals, nonprofit community and funders (Groundwork) o Communications efforts tied to and have produced concrete results (Groundwork) o Demonstrate a sophisticated relationship between communications and program staff; identify different

audiences for each project and track monthly communications impact (VERA) o Spins off projects, including written “Independence Agreements” that spell out specific benchmarks that new

501(c)(3)s are expected to accomplish; created a very thoughtful Spin‐Off Toolkit for others to learn from (VERA) o Conduct strong tracking and testing of communications (NEDAP) o Commit significant resources to communications at both Board and staff levels; maintain a strong Board

Communications Committee with members from advertising and marketing sectors (GLWD) o Communications are a key component of strategic plan and target specific stakeholder audiences (GLWD) o Formal and informal methods of assessing both external and internal communications include sound use of

metrics to gauge effectiveness (GLWD) o Broadened public awareness of expanded mission and brand through special initiatives (e.g., “The World’s Largest

Potluck”) (GLWD) o Uses Facebook as a hub; uses media to tell its story; internal newsletter is published every 2 weeks (GLWD) o Focuses on organizational effectiveness; moved website tasks from Information Technology to Communications

function (GLWD) o Make events informative as well as fun in hopes of engaging more ongoing supporters (GLWD) o Communications are used as tools for advancing advocacy; successfully links communications function with

activities critical to mission (NYLPI)

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o Use communications in multiple ways to advance program outcomes and enhance staff roles as thought leaders in their fields of expertise (NYLPI)

o Invest in communications practices that have seen results in increased media coverage and general visibility (NYLPI)

o Make good use of a diverse range of media (events, video, social media) as vehicles for branding (SNLP) o Communicates its story and brand well; all communications are mission‐focused; deliberately focuses on positive

stories about its participants, young women, emphasizing strengths and leadership (SNLP) o Actively engage a range of audiences: alumnae, past board members, all stakeholders (SNLP) o Communication plan regularly shapes communications strategies (IFC, ICA) o Conducts bilingual (Spanish‐English) member‐to‐member communications; hosts an annual bilingual convention

(FUREE) o Produces a quarterly member‐written newsletter (FUREE) o Members trained to represent the organization in media and with public officials (FUREE) o Youth trained as community advocates (FUREE; RHI) o Strong evidence of branding consistency across the organization with focus on providing real‐time window into

the school; developed a View Book which has multiple audiences with organizational management practices included (HA)

o A multi‐stakeholder Communications Committee helps drive strategy; parents, volunteers, head of school, development director, communications director, and trustees all represented on the committee (HA)

o Strong constituent outreach in the form of “affinity groups”; good approach to generating involvement and cultivating donors (SFF)

o Strong practices measure external and internal communications; feedback used to identify needs in communities served; partnered with local businesses and other community organizations to address those needs (CH)

o Excellent knowledge of how community receives information (ODFMC) o Use multi‐channel communications (word of mouth, online patient portal, voice and text messages, social media,

print, etc.) to reach 11 different market segments (ODFMC) o Increased investment in communications has led to a growing number of clients and improved communication

with current clients (ODFMC) o Conducted a communications study, including focus groups with multiple stakeholders, that led to the creation of

a tagline (“Expert Care Delivered with Respect”) that informs all development messages and materials (ODFMC) o Staff‐wide training program on communications strategies (ODFMC) o Multi‐channel communications are frequent, vivid and effective in reaching donors and other constituencies (RHI) o Regularly uses storytelling to communicate with donors (RHI) o Effectively integrate social media, press and publicity with Board Fundraising Committee’s work plan (RHI) o Include program participants in site visits with funders, gives them speaking roles at events, and involves them in

program design and planning (RHI) o Mindful that some corporate sponsorships may not lead to sustainable results for the organization (RHI) o Strong internal communication with staff, including bi‐weekly e‐newsletter and printed memoranda distributed

with paystubs (BW) o Actively communicate mission to staff members, especially during orientation of new hires (BW) o Collected a series of stories and produced a video that tells the story of all services provided to commemorate

milestone anniversary (BW) o Successfully renamed and rebranded to reflect core values (BW) o Internal “branding police officer” enforces branding guidelines (BW) o Outside firm assessed organization’s communications strategies (CSH) o Communications team guided by an annual work‐planning process tied to strategic plan (CSH) o Staff trained and provided with a brand book to ensure continuity and consistency in messaging and

communications (CSH) o Deliberate use of brand ambassadors (CSH) o Solicit feedback from stakeholders – communication goes two ways (CSH) o Very deliberate in analyzing communications, using data (CSH) o Employ a local communications strategy with stakeholders on the ground (CSH)

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o Conduct quarterly community advisory meetings (CV) o A “listening organization”: use mail, email, phone surveys and focus groups to solicit feedback on communications

efforts; feedback used to improve communications practices (CV) o Conducted a communications audit to review all marketing materials and ensure use of a consistent voice,

message, and brand (CV) o Communications not just relegated to communications staff; everyone—staff and board—is involved (CV) o Developed a Results Card to communicate social impact; results are profiled in newsletter, website, and annual

report (CV) o Annual communications plan created by Institutional Advancement Committee and approved by the Board; plan

directly tied to programmatic and development efforts, and ensures consistent messaging and branding in multiple communications channels (LW)

o Expertise in crisis communications; focus on transparency (LW) o Assess and prioritize community needs through two‐way communications, including a Parent Committee (LW) o Keep staff informed via agency‐wide Quarterly Employee Newsletter (LW) o Actively engage a range of audiences, including alumni and past Board members (RNY) o Targeted, multimedia approach to communicate with constituency, including newsletter, social media, and blogs

(RNY) o Develop a Communications Plan for each event (RNY) o Embed brand identity in all fundraising efforts (RNY) o Solicit feedback from constituency through annual survey (RNY) o Staff meet weekly to determine and assign social media opportunities and outreach for the week (RNY) o Track social media metrics weekly (RNY) o Program information available in Spanish on the website (RNY) o Conduct routine satisfaction surveys for staff and foster parents (GW) o Focused attention on communicating client stories through multiple channels (GW) o Consistent brand management across media (GW) o Branding workgroup within Board Development Committee (GW) o President & CEO tweets for the organization on a regular basis (GW) o Use staff newsletter and intranet announcements for internal communications (GW) o Privacy policy, including social media policy, is posted on website (GW) o Maintain a calendar of events to coordinate news and events to be covered and featured (GW)

Communications Technology o Tools include: monthly e‐newsletter with mission driven content, intranet for greater communication between

part‐time and full‐time staff, weekly blogs updated minimum of twice per week, Facebook and Twitter for young professional events and newsletter releases, Flickr and YouTube for sharing its story visually, using filmed student performances, pictures from events, etc. (Groundwork)

o Use technology to track volunteer communications (GLWD) o Effectively use electronic media thoroughly to reach volunteer and general audiences (NYC) o Web site design serves multiple constituencies; maintains accountability and transparency through Funder Portal,

which allows grantmakers access to financials and Board minutes (ICA) o Interactive websites respond to changing environment, opportunities and communication technologies (WITNESS) o New cloud‐based platform, “Schoology,” enables parents and students to easily access all files and information

needed (HA) o Use website increasingly as an educational tool (e.g., live streaming and issue‐specific podcasts directly related to

mission, as well as to promote other advocacy campaigns) (SFF) o Relies heavily on technology for internal communications (e.g., online staff newsletter) (ODFMC) o Updated website to include client‐generated content (RHI) o Use website to deliver services, both internally (as a tool for internal referrals) and externally (as a resource for

people seeking information) (BW) o Revamped internal website (intranet) to be a resource for staff, including relevant forms and a calendar of events

(LW)

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8. Effective, Ethical Fundraising and Resource Development • The organization complies with all local, state, and federal laws and regulations concerning fundraising

practices. • Fundraising policies and activities are ethical, effective, regularly reviewed by the Board and accountable to

donors. • Board and CEO are familiar with the Association of Fundraising Professionals’ (AFP) Code of Ethical Principles

and Standards of Practice and ensure that fundraising professionals acting on behalf of the organization adhere to them (e.g., organization cannot compensate by commission; cost ration – how much organization spends to raise each dollar – is consistent with guidelines, etc.).

• Resource development planning is multi‐year, monitored regularly, and closely linked to fundraising practice. • Fundraising revenue streams are as diverse as possible in an effort to strengthen the organization’s

sustainability, and lessen the impact of a potential loss of significant funding from any one source. Diversification may include a variety of sources (grants, sponsorships, etc.), revenues (foundations, individuals, government, corporations, etc.), solicitors, advocates, and donor levels.

• Board assumes overall responsibility for raising sufficient funds to meet the organization’s budgeted objectives, 100% of Board members give annually to the organization to the best of their ability or in accordance with a written board giving policy.

• Fundraising communications include clear, accurate, honest information about the organization and its activities.

• Clearly stated policies for gifts accepted, gift alignment with mission and gift management, assuring compliance with mission and no harm to the organization

• The organization expends funds responsibly, ensures donated funds are dispersed according to donor wishes and requirements, and regularly communicates with donors regarding its activities, making such information available through multiple outlets.

• The organization proactively engages and nurtures year‐round donor relationships and reinforces value of contributions to donors.

• The organization maintains fundraising records and data systems appropriate to its size and capacity that enable accurate and transparent use of donor funds, donor preferences, interests, and giving history, while maintaining and respecting appropriate levels of donor confidentiality.

o Proposed grants must jibe with strategic plan and mission (GSS, BW) o Maintain 100% Board member giving and fundraising participation (HRBI; Groundwork; GLWD, NYLPI, LW, RNY) o Track donor retention and growth (HRBI, RNY) o Strategic shift away from a campaign fundraising model to a major gifts model to combat donor fatigue and

improve the efficiency of development staff (HRBI) o Diverse and balanced funding sources; no single donor or funding source represents more than 5% of the

organization’s annual operating revenue (HRBI) o Assure accountability and transparency through a Funder Portal, allowing grantmakers access to financial and

Board minutes (ICA) o Use a disciplined approach to new program development, piloting new programs with organization’s own

unrestricted funding before soliciting other support (NYC) o Launched a capital/expansion campaign ($20 to $30 million) during financial downturn because need had

expanded greatly (GLWD) o Diversified its revenue streams, reducing reliance on one or two funding sources (GLWD) o Conduct a large volume of low‐cost special events that generate individual donors (SNLP) o Use a methodical approach to developing partnerships, including grassroots events (SNLP) o Cultivate individual donors with an affinity group strategy (SNLP) o Attract and cultivate diverse donor segments (SNLP) o Board heavily involved: 50% of major donors referred by board (HA) o Development Department is able to track the origins of donor referrals and how donors come to Sanctuary (SFF) o Program managers conduct regular check‐in meetings to discuss strategies and produce quarterly reports that

inspire development managers to develop better proposals (CH)

33

o Engage in systems testing(e.g., testing donor letters and detailed analysis of direct marketing; same rigor is applied to messages designed to have program impact for fundraising) (CH)

o Established a separate Foundation for private fundraising (ODFMC) o Foundation Board members are actively engaged in fundraising, establishing goals and contributing through

recruiting donors (ODFMC) o Engage donors through a volunteer program that also serves as a pipeline for Board leadership (ODFMC) o Monthly meetings of Fundraising Committee around an annual work plan and concrete organizational goals (RHI) o Individual fundraising from community served (RHI) o Annual fundraiser capitalizes on changes in the local context and serves as a window for future donors (RHI) o Each element of annual fundraiser is maximized to create mission‐related opportunities for program participants

and to achieve organizational goals (RHI) o Staff works together: development office meets regularly with program staff, and finance staff also intricately

involved with mission‐driven work (BW) o Strategic about fundraising: only seek funding that is clearly related to mission (BW) o Creative and innovative strategic thinking (e.g., decisions made relative to specific projects, markets, audiences,

etc.) (CSH) o Fund Development team guided by a fundraising plan developed annually to ensure that work and goals are

driven by mission, strategic goals, and budget (CSH) o Develop a 3‐year revenue model as a roadmap for funding new strategic goals (CSH) o Shift to a centralized fund development approach (e.g., headquarters leads fundraising efforts for the entire

organization), resulting in improved consistency of messaging and outreach to foundations and other funders (CSH)

o Fundraising strategy calls for diversification of resources and financial opportunities, financial flexibility, and identifying what is important (CSH)

o Advancement Department and Development Committee set annual fundraising goals to be achieved through multiple fundraising strategies (annual appeal, special events, grant proposals, major gifts, and planned giving) (CV)

o Understand that fundraising is about engagement (e.g., CEO takes donors on tours, gets staff involved; uses organization’s story and history to engage donors) (CV)

o Send interim reports to foundations, whether required or not (CV) o Founding member of a planned giving collaboration designed to help set up and run planned giving programs

more effectively; collaboration has allowed participating agencies to share expertise, time and resources (CV) o All staff involved in fundraising efforts (e.g., Employee Giving Campaign and staff‐initiated fundraising activities)

(LW) o Lowered cost of dollar raised from special events by 50% (LW) o Created Volunteer Manager position to grow volunteer corps and engage corporate partners to provide program

support and bolster fundraising (LW) o Board leverages resources to increase funding and develop partnerships (RNY) o 80% of program spots reserved for low‐income youth; 20% for youth from any socio‐economic bracket – model

helps meet earned income goals (RNY) o Young Executives Board; members commit to helping with fundraising, outreach and obtaining in‐kind support

(RNY) o Develop an outreach plan at the beginning of the year for existing donors; map out deliberate, multiple touch

points for each (RNY) o Personalize outreach and cultivation plans throughout the year for new donors (RNY) o Use limited resources wisely; pull together free and low cost resources to grow (RNY) o Diversified development plan addresses all potential audiences (GW) o Monthly meeting among the development team, President & CEO, members of Program Performance and

Planning Team to ensure strategic goals are met (GW) o Developed four workgroups within the Development Committee to work with staff on foundation support,

corporate support, volunteers, and branding (GW)

34

26 Winning Organizations 2007 ‐ 2014

BronxWorks (BW), 2013 Winner

Center for Urban Community Services (CUCS), 2007 Winner

City Harvest (CH), 2011 Winner

Community Health Action of Staten Island (CHASI), 2008 Winner

CSH, 2013 Winner

Families United for Racial and Economic Equality (FUREE), 2007 Winner

God’s Love We Deliver (GLWD), 2010 Winner

Good Shepherd Services (GSS), 2007 Winner

Graham Windham (GW), 2014 Winner

Groundwork, Inc (Groundwork), 2009 Winner

Harlem Academy (HA), 2011 Winner

Harlem RBI (HRBI), 2008 and 2012 Winner

Ifetayo Cultural Arts (ICA), 2008 Winner

Institute for Family Health (IFH), 2008 Winner

Leake & Watts (LW), 2014 Winner

Neighborhood Economic Development Advocacy Project (NEDAP), 2009 Winner

New York Cares (NYC), 2009 Winner

New York Lawyers for the Public Interest (NYLPI), 2010 Winner

Open Door Family Medical Centers (ODFMC), 2012 Winner

Red Hook Initiative (RHI), 2012 Winner

Row New York (RNY), 2014 Winner

Sadie Nash Leadership Project (SNLP), 2010 Winner

Sanctuary for Families (SFF), 2011 Winner

The Children’s Village (CV), 2013 Winner

Vera Institute of Justice (VERA), 2009 Winner

WITNESS, 2007 Winner

35

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36

Community Resource Exchange

Effectiveness & Performance Management. We help clients define success, pinpoint how it is achieved, and manage for outcomes, to help improve their effectiveness.

Board Development. CRE moves nonprofit boards past a focus on roles and responsibilities to active engagement in planning for the future reach, impact, and sustainability of their organizations.

Talent Management. We help organizations align HR structures with their programming and operations to develop more efficient and impactful organizations. We also help boards and senior staff manage for change, including succession planning.

Implementation Support. Once strategy is developed, CRE assists with execution, ensuring that well-laid plans are implemented successfully to achieve intended results.

2. Leadership and Management Development

Peer-Based Learning. CRE strengthens the leadership capabilities of established and emerging nonprofit leaders. Our cohort approach includes topic-specific discussions, action learning in small teams to support change initiatives within participants’ organizations, 360º feedback, role plays, and case discussions. Key programs include:

o Leadership Caucus. This eight-month cohort program – now in its ninth year – focuses on early-career executive directors and senior leaders.

o High Performing Managers Initiative. This six-month cohort program – now in its sixth year – targets middle managers.

Team Building. CRE works with organizations to enhance collaboration between senior management. The end result: a strong leadership team.

Training. CRE training programs help organizations focus on the essentials, including fiscal management, financial planning, and fundraising strategies, among other topics.

Customized Programs. We partner with nonprofits to create in-house leadership and management programs that meet a client’s specific needs.

3. Executive Coaching. CRE’s private coaching sessions help nonprofit leaders strengthen their leadership skills and develop solutions to both day-to-day and long-term challenges.

4. Executive Search. Having the right people in the right roles is essential to an organization’s growth and success. CRE works with boards and staff to identify talent gaps, develop recruitment strategies, screen and select candidates, develop compensation packages, and conduct reference checks.

WHO WE SERVE

In FY 2013, we were privileged to work with nearly 300 nonprofits across NYC’s five boroughs, with budgets ranging from less than $100,000 to over $25 million, from near start-ups to those with more than 100 years of service. Many of these are returning clients.

To learn more about CRE, please contact: Katie Leonberger, Executive Director [email protected]

37

EMPLOYMENT LAWS AND REGULATIONS YOU SHOULD KNOW As organizations increase in size, they become subject to different employment laws and regulations at the city, state and national levels. Developing formal processes for personnel transactions and recordkeeping may be required where previously informal processes were sufficient. Keep in mind that it is unlawful to discriminate on the basis of race, color, religion, citizenship status, sex or sexual orientation, national origin, marital status, disability, status with regard to public assistance, age or other protected status under federal, state or local law. These laws apply to hiring, firing, promotion, demotion, layoff, training opportunities, and all other employment decisions. Although not comprehensive, this list identifies some key laws and regulations to keep in mind. Many of these laws also carry recordkeeping requirements that will be important to review as you begin to manage more and more personnel information.

Title VII of the Civil Rights Act of 1964 – Employers with 15 or more employees are prohibited from employment discrimination based on race, color, religion, sex, or national origin. Both job applicants and employees are protected by Title VII. Courts have held that employers are accountable when managers or supervisors make discriminatory employment-related decisions or actions. See end for the “protected classes” under Title V11.

New York City Human Rights Law – This city law bans discrimination in employment on the basis of race, color, creed, age, national origin, alienage or citizenship status, gender (including gender identity and sexual harassment), sexual orientation, disability, or marital status. Protection also extends to discrimination on the basis of arrest or conviction record and status as a victim of domestic violence, stalking, and sex offense. Retaliation and bias-related harassment are also prohibited.

Affirmative Action Requirements – Employers with federal, state or local contracts or subcontracts may be required to develop and implement written affirmative action plans showing the steps they have taken to eliminate discrimination within their organizations. Applicability to employers depends on the dollar amount of the contract and number of employees (federal, state and local requirements vary; applies to employers with government contracts only)

Americans with Disabilities Act (ADA) – Prohibits individuals from discrimination based on disability status and requires that employers make reasonable accommodation for otherwise qualified employees with disability (federal; applies to employers with 20+ employees)

Family and Medical Leave Act of 1993 (FMLA) – Provides for up to 12 weeks of unpaid leave for certain medical and family situations (e.g., adoption) for either the employee or a member of the covered and eligible employee's immediate family, as well as reinstatement of returning employees to the same or an equivalent job (federal; applies to employers with 50+ employees)

Immigration Reform and Control Act of 1986 –Prohibits employers from hiring or continuing to employ individuals who are not authorized to work in the U.S.

38

Employers are required to verify an individual's identity and eligibility to work in the U.S. by examining documents required by law (Immigration and Naturalization Service Employment Verification Form I-9) within the first three days of employment (federal; applies to all employers)

The Uniform Guidelines on Employee Selection Procedures - Requires employers to demonstrate that their selection procedures are valid in predicting or measuring performance in a particular job. The guidelines also require that questions on a job application or in a selection interview be job related, and that employers avoid questions that could be construed as an invasion of privacy (federal; generally applicable to all employers)

Wage and Hour Laws – Set minimum wage and overtime pay requirements, and address hours, recordkeeping, employment of minors, disabled workers, full-time students, learners, and apprentices (federal, state and local; applies to all employers)

2. Statutory Benefits

While you are probably already paying for these benefits for your current employees, it is important to plan for the increased administrative burden of providing these benefits to a larger number of employees. It may be cost effective to hire a third party payroll administrator service to generate paychecks, prepare required reports, make deductions and keep records.

Social Security Tax – Requires employers to pay social security or FICA taxes to the IRS. Employers must pay 7.65% of the employee’s salary directly to the IRS, as well as withhold the same amount from each employee’s paycheck and pay it to the IRS (federal; applicable to all employers)

Unemployment Insurance – Employers must pay for New York State Unemployment Insurance for each employee. Nonprofit organizations are exempt from paying federal unemployment tax (state; applicable to all employers)

Workers’ Compensation/Short-term Disability Insurance – covers the salary of employees injured on the job. Rates vary (state; applicable to all employers)

3. Required Posters Employers are required to display a series of federal and state mandated posters in an area visible to staff. Poster requirements can be found at the following sites:

NYS Poster Requirements: http://www.labor.state.ny.us/workerprotection/laborstandards/employer/posters.shtm

Federal Poster Requirements: http://www.dol.gov/osbp/sbrefa/poster/matrix.htm

4. Resources:

39

http://www.labor.state.ny.us/workerprotection/laborstandards/employer/posters.shtm

http://www.labor.state.ny.us/workerprotection/laborstandards/employer/posters.shtm

http://www.dol.gov/osbp/sbrefa/poster/matrix.htm

1. The Department of Labor (DOL) provides information on federal laws: http://www.dol.gov/elaws/. You can also download required posters at this site.

2. The New York State Department of Labor (NYSDOL) provides information on employer responsibilities under state requirements: http://www.labor.state.ny.us/

3. Here is another helpful guide to federal laws that may apply to your organization: http://www.paychex.com/manemp/fedintro.html

4. Department of Labor (DOL) lists posters required by law. You can download these posters as well: http://www.dol.gov/osbp/sbrefa/main.htm

5. Information on New York City’s EEO Laws can be found here: http://www.nyc.gov/html/eepc/html/laws/laws.shtml#city

6. For information on statutory benefits, contact the following:

a. Unemployment Insurance https://uiereg.labor.state.ny.us/eReg/eRegInitialPart1.html

b. Workers Compensation and Disability Insurance http://www.nysif.com/home/home.asp

7. The Society for Human Resource Management is an excellent source of information on human resources issues: http://www.shrm.org

8. The Equal Employment Advisory Council is an employer association dedicated to advancing practical and effective EEO and affirmative action compliance programs to eliminate workplace discrimination: http://eeac.org/

Protected classes under Title VII and the corresponding Acts:

Race - Civil Rights Act of 1964 Color - Civil Rights Act of 1964 Religion - Civil Rights Act of 1964 National origin - Civil Rights Act of 1964 Age (40 and over) - Age Discrimination in Employment Act of 1967 Sex - Equal Pay Act of 1963 & Civil Rights Act of 1964 Familial status (Housing, cannot discriminate for having children, exception for

senior housing) Disability status - Vocational Rehabilitation and Other Rehabilitation Services of

1973 & Americans with Disabilities Act of 1990 Veteran status – Vietnam Era Veterans Readjustment Assistance Act of 1974 Genetic information - Genetic Information Nondiscrimination Act

40

http://www.dol.gov/elaws/

http://www.labor.state.ny.us/

http://www.paychex.com/manemp/fedintro.html

http://www.dol.gov/osbp/sbrefa/main.htm

http://www.nyc.gov/html/eepc/html/laws/laws.shtml#city

https://uiereg.labor.state.ny.us/eReg/eRegInitialPart1.html

http://www.nysif.com/home/home.asp

http://www.shrm.org/

http://eeac.org/

HRM Is A Core Management Function

Align Staffwiththe

Mission

Reward and Recognize Staff with Limited Resources

Plan for Succession

Develop and Sustain

High Performance

Recruit and Retain Qualified Staff

Put the Right People in the Right Place Doing the Right Things

Employ Fair, Consistent, Rigorous Practices

41

Acceptable and Unacceptable Inquiries

Subject Area Acceptable Inquiries Examples of UNLAWFUL Questions

Race or Color None prior to hire Are you Puerto Rican?

What is your EEO status?

Marital/Parental Status

None prior to hire Are you married/single/divorced?

How many children do you have?

What are the ages of your children?

Name Are there any work or educational records that are accessible only by another name due to a name change?

What is your maiden name?

Do you have a maiden name?

Residence/Fin-ancial Condition

What is your place of residence?

How long have you been there?

Do you own or rent your home?

Do you have significant debt?

Sex/Sexual Orientation

None prior to hire Do you wish to be addressed as Mrs., Ms. or Miss?

Do you have a significant other?

Age None prior to hire How old are you?

What is your date of birth?

Arrest Have you ever been convicted of a crime? Have you ever been arrested?

Religion or Creed These are the regular work schedule requirements (days/hours). Are you able to fulfill these requirements? (If not, you may probe to identify what accommodations may be necessary)

What is your religious denomination/affiliation?

What religious holidays do you observe?

This is a Catholic/Protestant/Jewish organization.

National Origin None prior to hire Is that a Spanish surname?

What is your nationality?

Where are your parents from?

What is your family background?

Citizenship Do you have a legal permanent right to work in the United States without sponsorship?

Are you a naturalized or native-born citizen?

Do you have naturalization papers?

What is your citizenship status?

Education Where did you attend college?

What was your major?

What courses did you take in accounting?

When did you graduate from high school?

When did you graduate from college?

Language The ability to write and translate business materials in Spanish is a business necessity in our office. Do you have these skills?

What is your native language?

Is English a second language?

When/how did you learn French?

Disability Can you perform these essential functions/requirements of the job with or without a reasonable accommodation?

Are you disabled?

Do you have a handicap?

Have you ever been treated for cancer (or other disease/illness)?

Have you ever received worker’s compensation?

Organizations I understand you are a member of [organization] and you believe it made a difference in your abilities. How has it improved your ability to do this job?

To which social clubs, societies, and lodges do you belong?

42

1

30-60-90 PLAN

Objectives: By the completion of the 30-60-90 Plan, a new hire and his/her Manager will have:

Agreement on the staff member’s annual goals and expectations for meeting those goals;

Shared understanding of how the staff member is on track to meeting his/her goals;

An initial sense of what the staff member should focus on as far as his/her professional

development.

As a part of onboarding, this process is meant to aid a staff member and their Manager in getting on the

same page, clarifying the new hire’s role and goals, and to set both the Manager and the new staff member

up for success. Should you need additional support in completing the process or have any suggestions to

make this process stronger, please reach out to the Talent Team.

New Hire: Title:

Manager: Date:

PART I: Drafted SMART GOALS

SMART Goals

(Core to the position and reflective of the Job

Description.)

Milestones and/or Indicators of Success

(These can change depending on time of year and

priorities.)

PD Goal:

43

2

30-60-90 DAY Milestones

(These should be drafted and discussed by the end of a new hire’s first week)

Derived from the annual goals for this role, here are the 30-60-90 Day priorities and objectives. These

should align to the indicators developed for annual goals. Indicators are always adjustable to the work-plan

and should be assessed regularly.

Think:

What understanding/working knowledge should the new hire be working to acquire and then be

able to demonstrate?

What relationships should s/he be building?

What early work should this staff member accomplish?

What success looks like in this role:

By 30 Days ( / / ) By 60 Days ( / / ) By 90 Days ( / / )

Sign-off (please submit a copy of Page 1 and 2 to TD by end of new hire’s 1st week)

Employee:

Manager:

Date:

44

3

30 – Day Check-In

Milestones Assessment Successes Challenges

Is this staff member on track to meet all 30-60-90 Day Objectives? (If not, please explain what measures

will be taken/what support is needed to get on track)

What has this staff member’s experience been like at HRBI so far? How thorough and useful has their

onboarding process been?

Sign-off (please submit a copy of this page to TD at close of 30-Day mark)

Employee: Manager:

Date:

45

4

60 – Day Check-In

Milestones Assessment Successes Challenges

On track to meet all 30-60-90 Day Objectives?

Are there any stand out competencies to address now (strengths to celebrate, growth areas to highlight and

work on?)


Employee: Manager:

Date:

46

5

90 – Day Check-In

Milestones or SMART Goals Assessment Successes Challenges

Additional milestones or annual goals

2x2 (or 3x3) based on the PEP competencies

STRENGTHS: Which competencies have been areas of strength for this staff person?

Competency Comments

GROWITH: Which competencies have been areas for growth for this staff person?

Competency Comments

Next Steps to develop Competency growth areas:

Has staff member met all 30-60-90 Day Objectives? If yes, please give staff member a quick intro to

Performance Evaluation Process (PEP) and the upcoming check-ins that you will be having as a part of the

process (including a brief explanation of the annual process).

47

6

(If the staff member has not met all 30-60-90 Day Objectives, please explain why, and how this impacts the

staff member’s ability to successfully meet their annual goals.)


Employee: Manager:

Date:

48

1

ONBOARDING CHECKLIST

Welcome! (on first day)

Meet & Greet (Talent Development & Manager)

Goals (within the first 1 week of a new hire’s arrival)

Goal Setting (your Manager)

Employee Trainings (within first week of a new hire’s arrival):

Human Resources Overview (Amanda Holder– HR

will schedule)

Information Technology Overview (Mike Perez/Josh

Pagan)

Office Orientation and tour

(Mike Montes)

Orientation Sessions (within 90 days of a new hire’s arrival):

Talent Development Overview (Talent Development)

Program Visit

Communications & Development Overview (Elz Cuya Jones/Hannah Baek & Megan Hodges)

Finance Training (Sara Alvarado)

Referral Process (Social Work Team)

Youth Sexual Identity (Marisol De Leon)

DREAM (Traci Douglas)

Theory of Change (Rich Souto)

RBI 101 (Rachel Cytron)

Harlem RBI History with Executive Director Rich Berlin

C-Team Orientation (M-Team Member)

M-Team Orientation (M-Team Member)

Check-In (within 90 days of new hire’s arrival):

1-on-1 Talent Development Coffee (Jen Chau Fontán)

30-Day Check-In (your Manager)



Onboarding completed!

(to be signed when all sessions have been attended and submitted to Amanda Yepez):

______________________________________

Your signature

______________________________________

Manager signature

Quarterly Training

Personnel Training (HR)

49

2

Logistical (by employee’s first day):

Computer/Office Set-Up (IT/A-Team)

Harlem RBI Email (IT)

Telephone Extension (IT)

Added to all staff-wide

events (WGOs, Staff Meetings, etc. – HR)

Mailbox (A-Team)

Keys (A-Team)

Staff Welcome Gift (A-Team)

Add to org chart (Amanda Yepez)

Reminders:

Invited to Exhibitions, Uniform Nights and other important upcoming events

Welcome email sent by HR to all-staff the first day including short bio, email and extension

HR orders business cards

50

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