Infrastructure Strongly Recommended

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Yes No In Progress Not Applicable Not Sure
Accountability, data collection & monitoring systems
Environmental scan and/or community needs/assets assessment
Evaluation procedures
Written contracts with external consultants

Financial Management

Yes No In Progress Not Applicable Not Sure
Accounts receivable and billing procedures
Asset & cash management policies & procedures
Audit, financial review, or compilation
Bank reconciliations
Board review & approval of budget
Board review & approval of tax filings & audits
Budgets (revenue/expenses)
Cash disbursements—accounts payable procedures
Chart of accounts
Credit card policy & procedures
Directors & officers liability insurance
File tax exemption on personal property of the organization. Check with your county to see if applicable. (i.e., Permissive Exemption in Douglas County, NE
Internal control procedures
Monthly financial statements with balance sheet
Procurement & purchasing policies
Signature authority


Yes No In Progress Not Applicable Not Sure
Adherence to Association of Fundraising Professionals’ Code of Ethics
Do not call/fax/email policy
Do not pay fundraisers based on percentage of funds raised or commissions
Gift acceptance, management & recognition policy (including in-kind donations, fair market value & disposal of assets, donor confidentiality policy)
Grants management system (if the organization has grants)—copies of every proposal, all grants communication, database information, reporting requirements, evaluation & calendar
Keep track of volunteer hours when conducting gaming
Prompt acknowledgment & thank you letters to donors
Uphold the public trust


Yes No In Progress Not Applicable Not Sure
Board code of ethics/conduct
Board member reimbursement/compensation policy
Board resolutions/minutes book
Bylaws include board liability & indemnification language
Liability insurances (Director & Officer, general, volunteer, etc.)
Voting procedures

Human Resources

Policies, Procedures & Key Documents

Yes No In Progress Not Applicable Not Sure
Benefits documentation
Board evaluation & review of CEO compensation and performance
Board review & approval of compensation structure
Code of ethics
Conflict of interest—including annual disclosure of relationships
Employee health care information (kept separately from personnel information)
Health, dental, vision, life insurance policies
Leave time policy—voting, military service, bereavement, jury duty, FMLA
Medical benefits continuation privileges
Nondiscrimination, diversity & harassment policy
Performance review & professional development
Position descriptions
Retain personnel files in accordance with Document Retention & Destruction Policy
Retirement policy
Social Security, Medicare, Medicaid
Succession plan
Time off—holidays, vacation, sick, etc.
Workers’ compensation & unemployment insurance

Information Technology

Yes No In Progress Not Applicable Not Sure
Compliance with applicable data security standards (PCI, DSS, etc.)
Disaster recovery plan
Management information systems (MIS) policies, procedures & protocols (including data sharing, email, Internet, list-serve, passwords, security, social media, technology use)
Off-site system back-up
Organizational website and email accounts
Software license compliance
Surge protectors, patch management program, intrusion detection system, virus scans, firewalls, SPAM and passwords for all computers
Uninterruptable Power Supplies on key servers


Public Policy & Advocacy

Yes No In Progress Not Applicable Not Sure
Procedures to track lobbying expenses for reporting purposes

Strategic Alliances

Yes No In Progress Not Applicable Not Sure
Fiscal sponsorship policy & procedures
Joint venture policy
Written memo of agreement/understanding for each collaborative commitment

Transparency & Accountability

Yes No In Progress Not Applicable Not Sure
Annual report (publicly available)—including program information, organizational performance, financial status, donor (with permission), board & staff listings, organization contact information
Code of ethics
Nondiscrimination policy

Volunteer Engagement

Yes No In Progress Not Applicable Not Sure
Organizational Needs Assessment (volunteers)
Orientation & ongoing training plan
Position descriptions
Recognition plan
Volunteer Policy & Procedures Manual
  • Anti-Harassment
  • Attendance
  • Confidentiality
  • Discipline
  • Grievance
  • Liability/risk information
  • Non-discrimination
  • Organizational chart
  • Travel policy