Non-Profit Management
Positioning Your Organization
for Success
Presented by Leslie Stone
November 2012
The Purpose
 To bring clarity
 To increase effectiveness
 To inform for action
The Trainer
 Brings information
 Is not an attorney
 Is not a human resources specialist
 Is not a finance expert
Agenda
Day 1:
• Boards and Governance
• Strategic Planning
• Succession Planning
Agenda (continued)
Day 2:
• Capacity Building – organization and programs
• Human Resources and Finance
• Communications and Public Policy
Ground Rules
 Listen carefully.
 Speak genuinely.
 No question is a dumb question.
 Use the ‘Parking Lot’ – seek expertise when needed.
 Have Fun!!
Introductory Exercise
 On an index card, write:
Something you hope you’ll learn today
Find a Partner
 Look around the room
 Find someone that you do not know (well)
 Introduce yourselves
Share the Following
Be prepared to introduce your partner,
telling:
 Her/his name
 The organization with which he/she works
 The county the organization serves
 Your partner’s organizational role (director,
coordinator, advisory board member, etc.)
 What she/he wants to learn
Boards and Governance
 Types of boards:
 Boards of Directors
 Commissions
 Licensing Boards
 Advisory Boards
Boards of Directors
Are legally liable for the
organization’s actions
Hire and fire the chief executive
officer (CEO, Executive Director,
etc.)
Commissions
 Are entrusted to carry out tasks described by law
 Membership is described in the law, many appointed
by high ranking government official (governor,
president, etc.)
 Can be short term (9/11 Commission) or long-term
(Securities and Exchange Commission)
 Usually do not have a permanent administrator
 Operate under the authority of another part of
government
Licensing Boards
 Approve new licenses
 Decide on renewal of existing licenses
 Determine when to take disciplinary action
against existing licensees
 Are legally liable for actions
Advisory Boards
 Advisors don’t make decisions they advise so
generally they have no liability.
 Directors decide, advisors recommend.
 An advisor “works for” the organizational or
programmatic ‘lead’
 Advisors may provide feedback on the performance
of the organizational or programmatic ‘lead’, but do
not hire and fire.
 Advisors can be replaced at any time by the
organizational or programmatic ‘lead’.
Board Responsibilities
 Conduct business legally and ethically
 Maintain strategic direction
 Provide board development and succession
 Assure adequate human resources
Board Development
What is it?
 Orientation
 Decision-making
 Training
Board Responsibilities
 Provide financial stewardship
 Monitor organizational performance
 Advocate for the organization’s mission
 Conduct annual self-assessment
CEO Staff Roles
 Manage day-to-day operations
 Choose, supervise and evaluate all staff
 Carry out organizational policy and programs
 Communicate with funders and the board
 Support the board’s actions in:
 Fiscal
 Legal
 Budgetary
 Compliance
 Public relations
Small Group Discussion
 Count off
 Go to your table.
 Introduce yourselves.
 Review the sample advisory board job description.
 Draft a job description for your advisory board.
 Be prepared to briefly share your work with the
larger group.
 Select a reporter.
Lunch
We will begin again at
1:00 P.M.
Enjoy your break!
Strategic Direction
Set it!
Maintain it!
Strategic Planning
 The process of envisioning a desired
future, and
 translating this vision into broadly
defined goals or objectives, and
 developing a sequence of steps to
achieve them.
When to Plan
At least annually
As circumstances demand
How to Plan
Neutral facilitation
Engage the board, clients, funders
and community
Use a variety of techniques and
tools
Document the work
Roles in Planning
 Staff
 Board
 Community members
 Clients
 Neutral facilitator
Planning Resources
 People
 Information
 Funds
Using the Plan
 As a working document at every
meeting
 As a tool to seek resources
 As a tool to promote your work
 As a tool to track progress
Exercise
 Count off.
 Introduce yourselves.
 Consider the following questions:
 Do you have a strategic plan?
 Do you use it to guide each meeting?
 Is the plan doable and focused for the human
resources you have?
 Think about the roles of staff and board. Are the
board’s expectations properly aligned with these
roles?
 Be prepared to report out 1 observation.
BREAK
15 minutes
Enjoy!
Succession Planning
What is it?
How is it done?
Succession Planning
 a strategy of workforce planning
 a process to ensure the organization recruits and
develops new hires and existing staff to fill each
key role within the organization.
 having “the right people in the right positions at
the right time.”
 The focus is on leadership and positions critical
to the mission of the organization at all levels.
Succession Planning Steps
1. Develop a communications plan
2. Form a succession planning team
3. Identify key positions
4. Conduct position analysis
5. Develop a succession plan
6. Implement, monitor and revise the plan
Succession Planning Resources
 Talk with others who’ve done it
 Go outside the field
 Mentoring
 Shadowing
 Assessment tools
www.transitionguides.com/resources
Exercise
 Count off.
 Go to your table.
 Introduce yourselves.
 Consider the following questions:
 Discuss transitions in the field. Are knowledge and
skills being systematically passed on and cultivated?
 Does your organization/program have a succession
plan?
 Share 1 observation.
Homework
 Bring:
 the mission statement of your program.
 the strategic plan for your program.
 We will use it tomorrow in our work.
Tomorrow
 Organizational and Programmatic
Capacity Building
 Human Resources
 Finance
 Communication/Public Relations
 Advocacy and Lobbying
Tomorrow
 Organizational and Programmatic
Capacity Building
 Human Resources
 Finance
 Communication/Public Relations
 Advocacy and Lobbying
Evaluation
Plus/Delta
 Plus = What went well?
 Delta = What would you change?
 Use an index card
 See the sample on the flipchart
 Leave the card by the door on your
way out
Begin at 10:00
See
you
then!
Good Morning!
Exercise
 No talking.
 Line up along the wall according to how long you
have been in your current position.
 Most recent to longest
____ Let’s talk._______
Let’s Talk
Tell:
Your name
Number of years in this position.
Let’s Think
 Observe who is where.
 What do you have to learn or teach?
 Who might be a good connection for you to make
while you have each other today?
Now:
 Count off.
 Go to your new table.
What struck you yesterday?
Share one idea per table
Today’s Agenda
 Organizational and Programmatic
Capacity Building
 Human Resources
 Finance
 Communication
 Public Policy
Capacity
 Ability to receive, hold, or absorb.
 Ability to perform or produce.
 Power to learn or retain knowledge; mental
ability.
 Innate potential for growth, development,
or accomplishment
 Being suitable for or receptive to …
Capacity Building
Increasing the:
 ability and skills of individuals, groups and
organizations to:
 plan
 undertake and manage initiatives
 deal with future issues, challenges and
opportunities
Organizational Development
 Is a process
 Start where you are
 Go forward in steps
 Try
 Learn
 Adjust
Committees
Require a lot of support and
guidance
Need to be aligned with the work
to be accomplished
Fewer is better
Select and cultivate members
Possible Committees
 Board and Governance
 Program
 Finance
 Communications
Job descriptions
Board
 Officers
 Committees
 Staff

Programmatic Development
Training:
 staff
 clients
 board members
 funders
 community members
Training
 Developments in the field
 Best practices
 Tools
 Processes
 Practices
 Results
Exercise
Exercise 1: Review the handout Board Committee
Descriptions
What do you think might be the best structure for your
board to meet its obligations?
Be prepared to share one idea with the large group.
Exercise 2: Did anyone bring their plan and mission
statement?
Review both for a clear connection between:
 Who is doing the work in the plan?
 Do the committees link back to the work described in the
plan?
 Is there a focus on programs that connect to the mission?
Human Resources
Assure Adequate Human
Resources
 Target priorities
 Support and protect the director
 Tap those you know
 Seek additional resources
 Non-commission committee members
Key Terms
 A law
 A policy
 Public policy
The Employee Handbook
Policies to safeguard the agency
 Mission and philosophy
 Consistent guidelines/code of
conduct
 Reference for employees
Exercise
 Count off
 Go to your table
 Introduce yourselves
 Talk about a Code of Conduct for home visitation
staff.
 List professional behaviors that should be a part of
the Code of Conduct.
 Be prepared to share your group’s top
recommendation.
Lunch
We will begin again at
1:00 P.M.
Enjoy your break!
The Policy Manual
 Is a formalized human resources document .
 Offers a broad overview of standard operating
guidelines.
 Provides structure.
 Establishes consistency in decision-making.
 Sets clear expectations for employee behavior.
The Policy Manual
Common Policies:
 Code of ethics
 Conflict of interest
 Confidentiality
 Reporting misconduct (whistleblower
policy)
The Policy Manual
Common Policies (continued)
 Document retention, destruction and
protection policies
 Personnel policies
 Financial policies
 Operational policies specific to the program
and services provided
Procedures Manual
The how-to booklet.
How to:
 Pay
invoices
 Refer callers to needed service
providers, support or information
 Address a client complaint
Monitoring Board
Performance
An annual self assessment
Monitoring Organizational
Performance
Tools
 Management
 Financial
 Programmatic
Exercise
 Count off
 Introduce yourselves
 Go to the table
 Talk about the tools that you and your organization
have in place for supporting and monitoring
performance.
 Employee evaluations
 Program evaluations
 Audits
 Policy and procedures manuals
 Employee handbooks
 Others?
BREAK
15 minutes
Enjoy!
Financial Stewardship
Responsible planning and
management of resources
Financial Confidence
The budget
Financial statements/reports
(prepared and presented at least
quarterly)
Audits
 Recommended annually for budgets
over $300,000
 Funders have different audit
requirements (WV state grants of
$50,000 or more)
Audits (continued)
 Put out to bid (every 3-5 years)
 Audit must be presented to and
approved by board
 Get a pdf copy
 Post it on website
Financial Policies
 Investment policies (revise every 2-3 years)
 Internal controls
 More than 1 employee handles transactions
 Written procedures for handling transactions
 Passwords, locks and physical access
 Reviewing and changing procedures periodically
 Purchasing practices
 Unrestricted current net assets (reserve funds)
Indicators of $ Health
 The organization should raise $3 for every $1 spent
on fundraising
 75% of the annual budget should be used on
program activities (and the quality of programming
should be high)
 3-6 months of operating funds should be in reserve
 Reserve funds (unrestricted) should increase every
3-4 years
 Dipping into reserve funds should be limited to 20%
of the total reserves
Exercise
 Talk together.
 Where do you and your board get financial expertise?
 Make a list of high quality resources that you know of
that can be used for non-profit financial education.
 As a group, be prepared to share 1 source of
financial expertise that you recommend.
Communicating
 Identify your audiences
 Put yourselves in ‘their shoes’
 Have a communications plan
 Use the art of reframing (what can be done instead
of what’s wrong)
 Engage experts
 Share your resources and materials – collaborate for
impact
Exercise
 On a scrap sheet of paper, make a list of the top 3
tips you have learned about communicating with the
public.
 Share your tips with the people in your small group.
 As a group, identify your top 3 tips and be prepared
to share them with the large group.
Lobbying or Not?
 A state association meets with legislators to support
a budget for their organizations.
 XYZ non-profit states in a newsletter that it agrees
with pending legislation.
 Zebra Extinction Prevention organization takes a
position against zebra hunting legislation and sends
a letter to members asking them to contact their
legislators.
 The director of a non-profit testifies at a hearing on
the impact of budget cuts at the request of City
Council.
Terms
Advocacy
 The act of pleading or arguing in favor of something,
such as a cause, idea, or policy; active support.
(the mission of your organization)
Terms
Lobbying- activities that are intended to
influence a specific piece of legislation.
West Virginia Code §6B-3-1
states:
LOBBYING or LOBBYING ACTIVITY means the
act of communicating with a government officer
or employee to promote, advocate or oppose or
otherwise attempt to influence:
 (i) The passage or defeat or the executive approval or
veto of any legislation which may be considered by the
Legislature of this state; or
 (ii) The adoption or rejection of any rule, regulation,
legislative rule, standard, rate, fee or other delegated
legislative or quasi-legislative action to be taken or
withheld by any executive department.
Terms
Grassroots Lobbying
attempts to influence the general
public or any sector of the public to
lobby for or against particular
legislation.
Non-Profits and Lobbying
Fact or fiction?
Non-profit organizations are allowed
to lobby.
Fact: NPs can lobby
 Section 501(h) of IRS code enables 501(c)(3)
organizations to make expenditures to influence
legislation that applies to their organization
Must:
 Be non-partisan
 Conform with state and federal laws


Follow WV Ethics Commission requirements for reporting
Describe activity on 990
Lobbying or Not?
 A state association meets with legislators to support
a budget for their organizations.
 XYZ non-profit states in a newsletter that it agrees
with pending legislation.
 Zebra Extinction Prevention organization takes a
position against zebra hunting legislation and sends
a letter to members asking them to contact their
legislators.
 The director of a non-profit testifies at a hearing on
the impact of budget cuts at the request of City
Council.
Optional Exercise
 Count off.
 Introduce yourselves.
 Think about your program’s mission.
 Consider the following questions:
 How does advocacy relate to the mission of home
visitation programs in WV?
 What are some examples of advocacy related to home
visitation programs?
 Is advocacy a part of your program plan?
 Share 1 observation.
Thank you!
 For your service
 For participating today
 For ALL that you do for West Virginia
and her citizens – especially our
children!!