Infrastructure Recommended
From Guidelines & Principles
Contents
Communication
Yes | No | In Progress | Not Applicable | Not Sure | |
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All basic organization information easily accessible (IRS Form 990, Annual Report, financial statements, fees & services, board & staff members’ names) | |||||
Clear brand | |||||
Confidentiality Policies & Procedures | |||||
Crisis Management Plan | |||||
Distinguish between personal opinion & organizational positions | |||||
Ethics Standards | |||||
External communications/public relations/media plan | |||||
Graphic standards | |||||
Grievance policy & procedures | |||||
Internal communication policies & procedures | |||||
Policy & procedures for developing statements & positions on issues | |||||
Privacy policy | |||||
Social media policy | |||||
Spokesperson(s) authorized to make public statements |
Evaluation
Financial Management
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Appropriate use of benchmarks/industry standards | |||||
Audit committee policies & procedures | |||||
Board-approved, written financial management policies & procedures | |||||
Board-approved, written investment plan | |||||
Board-approved, written risk management plan | |||||
Bookkeeping software | |||||
Cash flow projection | |||||
Contract management policies & procedures (bidding system, contracts, evaluation & monitoring tools) | |||||
Documentation from donors when restricted funds are received | |||||
Documentation of accounting policies and systems—meet Financial Accounting Standards Board (FASB) and/or Government Accounting Standards Board (GASB) requirements | |||||
Expense reimbursement policy & procedures, including cash @dvance | |||||
Financial reserve policy (target of 3-6 months) | |||||
Investment policy | |||||
Mail handling & receipt of funds procedures | |||||
Petty cash policy | |||||
Prohibition on loans to key employees | |||||
Spending limits policy |
Fundraising
Yes | No | In Progress | Not Applicable | Not Sure | |
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Case statement | |||||
Donor database (contributions/restrictions) | |||||
Fund development plan | |||||
Fundraising budget & system to track expenditures | |||||
Individual donor requirements (if the organization has individual donors) | |||||
Policy for donor stewardship | |||||
Written contracts with fundraising consultants |
Governance
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Annual report | |||||
Board attendance policy | |||||
Board calendar (meetings & organizational events) | |||||
Board giving policy (100% of board members should give) | |||||
Board member handbook—policies & procedures including, but not limited to:
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Board member recruitment, selection, orientation, training plans | |||||
Board self-assessment plan & forms | |||||
Board terms, rotation & removal (bylaws) | |||||
Chief executive hiring & assessment/evaluation plan | |||||
Committee charter(s) | |||||
Committee descriptions (purpose, structure, goals, activities, person responsible) | |||||
Committee policy handbooks | |||||
Compensation documentation (executive & other staff) Note: See IRS information on “rebuttable presumption” for more details on what to have. | |||||
Disaster recovery plan | |||||
Executive evaluation plan | |||||
Leadership succession & transition plan (including board & staff leadership) | |||||
Organizational chart | |||||
Process for determining chief executive compensation | |||||
Risk evaluation & management systems |
Human Resources
Personnel Files
Yes | No | In Progress | Not Applicable | Not Sure | |
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Application with original employee signature | |||||
Background check documentation, if applicable | |||||
Documentation of disciplinary action signed by employee | |||||
Documentation of other conditions for employment (i.e., drug test results, certifications, etc.) | |||||
Documentation of receipt of Employee Policies & Procedures Manual | |||||
Driving records/proof of insurance (as necessary) | |||||
Emergency contact information | |||||
Hire letter or contract | |||||
Performance appraisals signed by employee | |||||
Professional development plan | |||||
Records of salary increases | |||||
Reference check documentation | |||||
Resume |
Policies, Procedures & Key Documents
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Alcohol/drug-free workplace policy | |||||
Break policy, including lunch | |||||
Compensation documentation for all employees | |||||
Confidentiality/non-disclosure/non-compete policies & procedures | |||||
Disciplinary action & involuntary termination policies | |||||
Diversity plan/cultural competency | |||||
Expense reimbursement | |||||
Grievance/conflict resolution policies & procedures | |||||
Hiring & interview procedures | |||||
Inclement weather policy & procedures | |||||
Intellectual property policy | |||||
Nonsmoking policy | |||||
Office hours, work week, hours worked | |||||
Organizational chart | |||||
Orientation, training & evaluation procedures | |||||
Outside employment policy | |||||
Performance appraisal policies & procedures | |||||
Professionalism/code of conduct | |||||
Reference request policy | |||||
Return of property upon departure/termination | |||||
Review to determine that all employee interview questions are legal | |||||
Salary scales & compensation philosophy | |||||
Standards & policies for working with contractual employees & consultants—guidelines for selection, hiring & monitoring | |||||
Technology/equipment access & use policies | |||||
Travel policy | |||||
Volunteer engagement plan |
Information Technology
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Data collection system—to support continuous improvement & evaluation | |||||
Database, searchable by strategic constituent groups | |||||
Funded equipment depreciation to allow for necessary technology upgrades | |||||
Hardware, software & vendor inventory | |||||
Monitor IT developments | |||||
Technology assessment & plan | |||||
Technology budget, including maintenance & upgrades | |||||
Technology training plan (staff & volunteers) |
Planning
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Advocacy plan | |||||
Comprehensive organizational plan—including operations, program strategies, fundraising, financial management/budgeting procedures, communications, risk/crisis management | |||||
Data backup & recovery plan | |||||
Disaster recovery plan | |||||
Executive/leadership transition plan | |||||
Fund development plan (diversification of funds) | |||||
Marketing & communication plan | |||||
Operational or business plan | |||||
Organizational assessment/environmental scan
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Periodic review of mission, vision, values | |||||
Risk & disaster management systems | |||||
Strategic plan | |||||
Sustainability plan | |||||
Technology plan | |||||
Values statement | |||||
Mission statement |
Public Policy & Advocacy
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Constituent engagement plan | |||||
Monitor public policy climate | |||||
Advocate on behalf of policies you believe in | |||||
Provide appropriate training/information to organizational advocates | |||||
Written public policy & advocacy policy/plan |
Strategic Alliances
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Accreditation information (if applicable) | |||||
Foster relationships with prospective community partners | |||||
Share information, best practices, lessons learned | |||||
Written policies & procedures for all collaborative relationships |
Transparency & Accountability
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Confidentiality policies & procedures (all constituents) | |||||
Meeting agendas & descriptions of significant decisions made by the board of directors (publicly available) | |||||
Information about fees & services provided (publicly available) |
Volunteer Engagement
Yes | No | In Progress | Not Applicable | Not Sure | |
---|---|---|---|---|---|
Budget | |||||
Grievance policy & procedure | |||||
Performance review | |||||
Recruitment plan |