Boris Frank Associates ______________________________ 7094 Paoli Road, Verona, WI 53593 608/845-3100 borisfrank@tds.net CONFIDENTIAL AGENCY ASSESSMENT Revised January 26, 2008 © Copyright 2008 Boris Frank Associates ___________________________________________________________ Serving Not-For-Profit Organizations Since 1982 To help evaluate the effectiveness of our organization, please complete this questionnaire using the following scale: 1. Not or never true 2. Rarely true 3. True 50% of the time 4. Usually true 5. Always or absolutely true 6. Do not know 7. Does not apply BOARD 1. ___ Board members understand the roles and responsibilities of a board 2. ___ Our bylaws are up to date and effective 3 ___ We follow our bylaws 4. ___ Board members understand the principles of “due care and diligence, prudence, good faith and loyalty” 5. ___ There is a formal process for selecting board members 6. ___ Community diversity is represented on the board 7. ___ A substantial majority of the board members are independent and do not receive any form of compensation from the agency 8. ___ There are board term limits which are enforced 9. ___ There are written, current board job descriptions 10. ___ There are written, current performance standards for board members 11. ___ Board members are not compensated, other than for reasonable expenses 12. ___ New board members are adequately oriented and trained 13. ___ The board works well together 14. ___ There are people on the board with financial and nonprofit accounting expertise who review the financial reports 15. ___ The board and its members regularly evaluate their effectiveness 16. ___ Board meetings are effective, well run and deal with important issues 17. ___ Board and committee meetings start and end on time 18. ___ The Board receives an agenda and related documents in advance of board meetings 19. ___ Board minutes are kept, reflecting actions and dissent 20. ___ Board members review advance information and come prepared to meetings 21. ___ Board and staff conflict of interest and loyalty policies are in place 22. ___ Privacy and confidentiality policies are in place 23. ___ All board members receive and understand financial reports 24. ___ The bylaws provide for removing ineffective or inactive board members 25. ___ The board meets in executive session to discuss staff and personnel issues 26. ___ Bylaws, policies and procedures are periodically reviewed 27. ___ We have a political activity and advocacy policy 28. ___ We have an agency conflict of interest policy 29. ___ Board members are required to disclose potential conflicts of interest and sign a conflict of interest statement COMMITTEES 1. ___ It is clear how committees can be formed 2. ___ The committee structure works 3. ___ All committees have clearly defined roles and responsibilities 4. ___ Committee reporting process is clear 5. ___ Committee minutes are kept PERSONNEL AND STAFFING 1. ___ The hiring process of the CEO is well defined and effective 2. ___ Role and relationship between board and staff is clear 3. ___ Communication between board and staff is effective 4. ___ There is a clear, current agency organizational chart 5. ___ The board is never involved in subordinate staffing decisions 6. ___ Staff is effective and competent 7. ___ Background checks are conducted when hiring 8. ___ Personnel handbook and policies are current and have been reviewed by competent human resource professionals 9. ___ Grievance procedures and policies are current 10. ___ Staff have a process to bring critical administrative and operating issues and concerns directly to the board without fear of retaliation 11. ___ A Whistleblower system exists 12. ___ Staff have current job descriptions and performance standards 13. ___ The CEO is evaluated at least annually 14. ___ All staff are regularly evaluated by their supervisor; appropriate records of evaluation are maintained in the employee’s personnel file 15. ___ Employee workload, compensation and benefits are at levels that attract a qualified staff 16. ___ Staff is responsive to board requests for information 17. ___ Volunteer policies and procedures are in place and are applied 18. ___ A CEO succession plan exists 19. ___ We have “key person” insurance BUDGETING AND FINANCES 1. ___ We have adequate operating funds 2. ___ An annual budget is approved by the board 3. ___ The annual budget projects a “profit” 4. ___ We have a 12-18 month cash flow projection 5. ___ All income and funds received are deposited within 48 hours of receipt 6. ___ An accounting system based on generally accepted accounting principles is in place and applied 7. ___ Financial reports including statement of financial position (balance sheet) and statement of activities compared to budget and prior year are prepared and reviewed by the Board at least quarterly 8. ___ Internal financial controls, checks and balances based on generally accepted practices are in place and applied 9. ___ All payroll taxes and other payables are remitted in a timely manner and are up to date 10. ___ A regular audit or financial review is conducted within 3 to 5 months of the end of our fiscal year by a firm selected exclusively by board members not directly involved in the financial affairs of the organization 11. ___ Our audit is “clean” and unqualified 12. ___ Our auditor provides us with a Management Letter describing any issues that require attention 13. ___ Staff is not involved in selecting the auditor 14. ___ The Audit Committee and Finance Committee meet in executive session with the auditor 15. ___ All Board members receive a copy of the audit/review and management letter, and have an opportunity to meet with and question the auditor 16. ___ An adequate reserve fund exists 17. ___ We have an investment policy that is regularly reviewed 18. ___ Everyone handling money or involved in financial transactions is bonded or is covered by an employee dishonesty policy 19. ___ The agency does not make loans, or guarantee loans, to board or staff 20. ___ Reasonable, cost effective travel and expense reimbursement policies are in place FUNDRAISING 1. ___ Responsibility for fundraising is clearly defined and assigned 2. ___ A fundraising plan is in place 3. ___ Fundraising is diverse, not depending upon limited sources 4. ___ The board plays a role in fundraising 5. ___ All board members contribute annually 6. ___ Board members and volunteers are adequately trained in sound fundraising procedures 7. ___ The board chair takes a lead role in fundraising 8. ___ Fundraising is cost effective 9. ___ We have a written Donors Rights and Privacy Policy 10. ___ All gifts and pledges are acknowledged within 48 hours of receipt 11. ___ A formal acknowledgement meeting IRS requirements is sent to all donors 12. ___ We are in compliance with Better Business Bureau Standards of Practice 13. ___ Individuals raising funds for the agency are not compensated based on a commission or percentage of funds raised 14. ___ We are appropriately licensed, where required, in all states where we solicit funds MANAGEMENT AND OPERATIONS 1. ___ Operating policies and have been approved by the board and are current 2. ___ There are clear policies as to who may speak for and commit the organization 3. ___ Working conditions and resources are adequate 4. ___ Technology is state-of-the-art 5. ___ Record keeping and files are current and accessible 6. ___ Computer records and electronic files are regularly backed up and stored off site 7. ___ Copies of critical documents are stored off site 8. ___ We have adequate insurance coverage including general liability and officers and directors liability; we review our coverage at least annually 9. ___ All federal and state operating and fundraising licensing and reporting requirements, including Federal Form 990, are met and the Board reviews these reports for accuracy and completeness 10. ___ A crisis resolution plan exists 11. ___ A disaster recovery and catastrophe plan exists 12. ___ A confidentiality policy exists 13. ___ A document retention policy is in place 14. ___ We are familiar with and follow all rules, regulations and guidelines regarding political activity 15. ___ Key agency documents, including federal and state reports, financial reports and program effectiveness reports are readily available for public review PUBLIC INFORMATION 1. ___ An agency spokesperson(s) has been identified 2. ___ An effective marketing and public information strategy is in place 3. ___ Stakeholders, clients, members and other partners are kept informed about the agency 4. ___ Marketing and public information materials are current and effective 5. ___ The agency responds in a timely and effective manner when contacted by the public 6. ___ We are well known in the community 7. ___ Our credibility is high and we have a positive image in the community PLANNING, PROGRAMS AND EVALUATION 1. ___ Mission is clear and current 2. ___ Vision and long range goals have been adopted 3. ___ A strategic plan has been approved by the board 4. ___ A strategic planning process, involving all board members and key staff, has been conducted within the last year 5. ___ Planning is based on a community needs assessment process 6. ___ Realistic, measurable goals and objectives are in place 7. ___ The strategic plan and agency goals are regularly reviewed and modified 8. ___ Our programs and projects are effective 9. ___ A process is in place to continually evaluate the effectiveness of the agency and our programs 10. ___ We regularly meet our goals and objectives Name of organization you are evaluating:________________________________ My relationship to the organization: ___ Board member ___ Committee member ____ Volunteer ____ Staff ____ Other ______________________________ Name: (Optional) __________________________ Today’s date _____________________