Application Clinic
Agenda I. Welcome & Introductions Michael Clark, President, Nonprofit Coordinating Committee of New York (NPCC)
II. What Are the Awards? Michael Clark
III. Application Review Process Michael Clark Melkis Alvarez‐Baez, Director of Programs, NPCC
IV. Questions? Handouts Frequently Asked Questions Application & Selection Process 2015 Selection Committee – Draft List Eight Key Areas of Nonprofit Excellence 2014 Examples of Excellence 2015 Application
Sponsored By: Produced By:
NONPROFIT EXCELLENCE AWARDS COLLABORATORS & SPONSORS
Since 1924, The New York Community Trust has been the home of charitable New Yorkers who share a passion for the City and its suburbs—and who are committed to improving them. The Trust supports an array of effective nonprofits that help make the City a vital and secure place to live, learn, work, and play, while building permanent resources for the future. The New York Community Trust ended 2014 with assets of nearly $2.6 billion in more than 2,000 charitable funds, and made grants totaling $165 million (unaudited). The Trust welcomes new donors. The Nonprofit Coordinating Committee of New York (NPCC) is the voice and information source for New York nonprofits. NPCC is an umbrella organization representing and serving some 1,500 member nonprofit 501(c)(3) organizations throughout New York City, Long Island and Westchester. As the largest such organization in our area, NPCC represents all types of nonprofits on sector‐wide issues. Established in 1984, NPCC informs and connects nonprofit leaders, saves nonprofits money, helps them manage and govern themselves better, and protects and strengthens the nonprofit community’s relations with government.
Philanthropy New York is the primary membership organization for private, family, corporate, and public foundations based in the tri‐state New York area. Its 285 member organizations—including some of the leading grantmaking foundations in the world—recognize that a vibrant and well‐managed nonprofit sector is fundamental to healthy communities. Collaborating in the Awards provides Philanthropy New York an important opportunity to celebrate management excellence among our members’ nonprofit partners, learn from their experience, and help build greater capacity in the sector. Philanthropy New York is the principal professional community of philanthropic foundations based in the New York City region with a mission of enhancing the ability of philanthropists to serve the public good. Philanthropy New York members recognize that without extraordinary grantees, there would be no effective grantmaking programs.
WNYC is the most listened‐to public radio station in the country, reaching over 1.1 million listeners each week. Consisting of FM 93.9, AM 820 and wnyc.org, WNYC aims to inform the public locally and globally on current events, politics, and civic affairs; export New York’s arts and cultural riches to the rest of the world; and, give voice to diverse audiences. WNYC produces signature programs including The Brian Lehrer Show, The Leonard Lopate Show, and Radiolab, among others, and also broadcasts the best offerings from NPR, American Public Media, the British Broadcasting Company (BBC), and Public Radio International. With more than 100,000 members, the station operates as an independent non‐profit and has one of the largest membership bases of any institution in the city.
Additional financial and in‐kind support is provided by Clark Foundation, Ford Foundation, Google, McGladrey LLP, and Columbia Business School Executive Education Programs in Social Enterprise.
The 2015 New York Community Trust Nonprofit Excellence Awards
Frequently Asked Questions
1. QUESTION: Is my organization eligible if we are an international nonprofit? ANSWER: The Awards competition is open to any 501(c)(3) nonprofit organization based in the New York City area: Manhattan, the Bronx, Brooklyn, Queens, Staten Island, Nassau County, Suffolk County and Westchester County. National and international nonprofit organizations are eligible, but the application must focus on management activities in the New York City area.
2. QUESTION: Can my organization win if we have only one example of excellence in nonprofit management? Is it “worth it” to apply? ANSWER: Winners must show examples of excellence in many areas of nonprofit management. It may be worth applying if you value free expert feedback on your management strategies!
3. QUESTION: If my organization applies and does not make it to round two or round three, is it realistic for us to bother to apply again? ANSWER: Yes! We encourage organizations to apply for the award again, especially if your management practices have strengthened.
4. QUESTION: Will having strong programs and services compensate for average management practices? ANSWER: No. This program rewards excellence in nonprofit management, including but not limited to program management. Program information is useful only when it provides context for management achievements.
5. QUESTION: Will the Selection Committee favor only new/established, small/large, or local/national scope organizations? ANSWER: The Selection Committee seeks excellence in nonprofit management regardless of the organization’s age, size or purpose. (Start-up nonprofits are eligible, but the application and awards process focuses on management track record and results, not future plans.)
6. QUESTION: Must my organization have gone through a major crisis or turnaround in order to win? ANSWER: The Selection Committee will value organizations with consistent, solid management, as well as organizations that grow and become great after a management crisis.
7. QUESTION: My organization is not widely known, so do we have a chance? ANSWER: The Selection Committee considers what is written in your application, rather than the organization’s name or stature in the community. The Selection Committee is firmly committed to judging all applicants fairly.
8. QUESTION: Is it really worth so much work to complete the application? ANSWER: Many past participants have recognized the value of self-assessment and report that their organizations benefited from the process. Applicants may request follow-up feedback on their applications, including summaries of Selection Committee comments about the organization’s management strengths and weaknesses.
9. QUESTION: Won’t the Selection Committee know who is going to win even before they see the applications? ANSWER: No. The Selection Committee’s selections are based on the information included in submitted applications and the site visit experience (for finalists). New members are added to the Selection Committee each year and the applicant pool is never the same.
10. QUESTION: If one type of organization wins this year, can we assume a different type will win next year? ANSWER: No. The Selection Committee does not solely focus on program area or size when making a decision.
11. QUESTION: Who should be involved in preparing our application? ANSWER: The strongest applications are from those organizations where discussion and reflective time has been invested by staff, board, volunteers and other stakeholders prior to completing the application. We would hope that the 2015 New York Community Trust Nonprofit Excellence Awards application questions will stimulate this work!
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Eight Key Areas of Nonprofit Excellence 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?
This basic Areas of Nonprofit Excellence document was developed in 2006 and has been continuously updated through 2014 to address this question. By surveying the many standards of excellence and rating schemes for nonprofit management throughout the U.S., identifying the key elements around which there is widespread agreement, and describing what high‐performing nonprofits do in each of these areas, this document provides a summary of core management excellence areas and performance strategies that organizations can learn from. 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 variety 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. The Nonprofit Excellence Awards program encourages a growing number of today’s nonprofits and those who observe, support and study them, to pursue excellent management practices, and to contribute to our field’s growing legacy of excellence.
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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.
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 members 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.
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.
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.
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 and unnecessary risk, 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 in place, 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.
6. Appropriate and Reliable Information Technology (IT) Systems • The 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.
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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 relative to competitors and its clients’ needs and satisfaction.
• The organization actively and effectively “brands” itself and “tells its story.” • 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 presence 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 IRS
Form 990, annual report, etc.).
8. Effective and 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 ratio – 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.
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
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Leake & Watts www.leakeandwatts.org
Founded as an orphanage in 1831, Leake & Watts continues to provide support today to thousands of children, adults and families each day so they can achieve success tomorrow through a wide variety of early childhood, child welfare, developmental disabilities, special education, and juvenile justice programs.
Year Founded: 1831 Budget: $75,324,825 Full‐time Staff: 860 Part‐time Staff: 239 Volunteers: 441 Executive Director: Alan Mucatel Board President: G. Crossan Seybolt, Jr. Overall Management Focus on Results
Strong use of strategic plan and data to drive results and ensure goals are met o Hired Chief Strategy Officer to lead efforts in achieving strategic plan goals
Implemented a Mission Effectiveness Plan that ensures consistent mission‐driven action
Created Performance Effectiveness Indicators (PEIs) in each program area to measure and understand impact across the organization
o Developed 39 individual PEIs, outcomes measurements, beyond those required by funders; outcomes measurement drives organizational success
Develop programs based on community need and mission alignment
Identifies emerging trends in community/industry through a Risk Management Committee
Considers staff and persons supported input into strategic plan as well as annual assessment to inform goals
Created interdepartmental matrix to fine‐tune and improve internal referral process for needed services
Turns program challenges into opportunities to learn and improve programming overall
Launched many evidence‐based models to improve outcomes for children and families
Proactively identifies industry trends such as movement to Managed Care and engages board and colleagues in preparation
Creating person‐centered, change‐oriented, trauma‐informed approach across multiple divisions of service
Governance Structure that Moves the Organization Forward
Utilizes ad‐hoc committees to address specific needs that arise
Clearly defines job descriptions, fundraising responsibilities, and committee membership expectations for board members
100% Board giving
Invite a guest speaker from a featured program to every board meeting
Board assesses Executive Director’s performance each year
Board engages in annual self‐assessment; Governance Committee reviews results and addresses performance gaps accordingly
Aligns recruitment efforts with governance needs and strategic priorities
Assigns board members to two distinct committees – one quantitative, one qualitative
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
Developed a formal contingency plan that ensures the organization is able to temporarily fill critical positions with pre‐identified staff and is fully prepared to continue operations and assure excellence service
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
Strong, Transparent and Accountable Financial Management
Created ad‐hoc Debt Finance Committee to restructure long‐term debt
Budgets are in line with the strategic plan
Program Directors meet with CFO and Executive Director as part of budget process
Closely monitors census and programs running a deficit to ensure timely corrective action
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
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Engaged a consultant to help “non‐finance” board members understand financial statements and meet fiduciary responsibility
Instituted a centralized purchasing processes as a cost savings measure
Quality Assurance Department improved system of financial oversight
Inclusive, Diverse and Responsive Organizational Practices
Language Committee audits and develops terminology to describe constituents and work (commitment to cultural sensitivity)
o Staff is trained on new language expectations
Staff profile reflects community served
Thoughtful approach to working with partners and creating relationships with local elected officials and other community leaders who represent target audiences
Attends neighborhood organization meetings to assess and prioritize community needs
Agency‐wide Undoing Racism Workgroup creating a mandate and statement regarding institutional racism that ties back to organization’s core values
Supports bilingual hiring by providing a salary addition for new hires that speak a language clients require
Enlightened Use of Human Resources
Uses annual employee survey results to inform new employee initiatives and policy changes
Created an Employee Referral System with a bonus for staff that refer new employees who stay for at least a year
Emphasis on staff development and training o Mission‐driven service training for all staff; included as part of new employee onboarding o Conducted agency‐wide assessment of training needs; new trainings were introduced; trainings tailored to
specific jobs/programs were offered o Provides Management Training for managers and supervisors agency‐wide o Senior Management team participates in a leadership diagnostic to identify strengths and weaknesses
Competency‐based (tied to core values) performance evaluations with 100% participation
Offers tuition reimbursement and salary increases for employees who receive higher education degrees
Recognizes employees annually with awards based on organization’s core values
Implemented Universal Team Meetings: opportunity for entire staff to celebrate accomplishments and receive updates from senior management
Coaching model includes bi‐weekly 1‐to‐1 supervision for all employees across the agency with training for supervisors
Introduced competency‐based hiring process that relies on behavior‐based interviewing
New hires evaluated after 6 months; annual performance reviews thereafter; performance reviews are based on program and organizational goals and include development of personal goals
Performance evaluations revised to reflect core values
Appropriate and Reliable Information Technology Systems
Places emphasis and investment in technology (part of strategic plan)
Management Information Systems Team dedicated to updating hardware and software across 22 sites
Developed in‐house client information system
Launched an in‐house Help Desk to assist staff with IT issues
Technology Planning Committee ensures that staff have access to technology and are appropriately trained
Technology team works closely with management and the strategic plan priorities to ensure effective service delivery
Implemented Alert Now System to send mass updates to staff
Regular and Effective Communications and Use of Communications Technology
Annual communications plan created by Institutional Advancement Committee and approved by the Board o Plan directly tied to programmatic and development efforts o Plan ensures consistent messaging and branding in multiple communications channels
Expertise in crisis communications; focus on transparency
Assess and prioritize community needs through two‐way communications
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
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o Parent Committees provide feedback
Revamped internal website (intranet) to be a resource for staff, including relevant forms and a calendar of events
Keep staff informed via agency‐wide Quarterly Employee Newsletter
Effective, Ethical Fundraising and Resource Development
All staff involved in fundraising efforts o Employee Giving Campaign; offers bi‐weekly payroll deduction o Staff‐initiated fundraising activities
Lowered cost of dollar raised from special events by 50%
Created Volunteer Manager position to grow volunteer corps and engage corporate partners to provide program support and bolster fundraising
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
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Row New York www.rownewyork.org
Based in Queens and Manhattan, Row New York empowers youth from under‐resourced communities to build strength, gain confidence, and pursue excellence through the competitive sport of rowing, paired with academic support.
Year Founded: 2002 Budget: $1,828,000 Full‐time Staff: 24 Part‐time Staff: 13 Volunteers: 80 Founder & Executive Director: Amanda Kraus Board Chair: David Huntington Overall Management Focus on Results
Effective use of consultants to complete the team o Worked with Arbor Brothers Foundation to create a 3‐year financial model for expansion o Worked with TCC Group to hone program goals and metrics including fitness, academic, and social‐emotional
growth.
Tie staff performance evaluations to refined program metrics
Conduct regular internal review and assessment of both big picture and day‐to‐day organizational details o Track data to show how “on mission” the organization is
Scale programs in a careful, planned way
Frequently evaluates where the organization could be better; commitment to continuous learning
Use “teach back” sessions as a way of reinforcing shared outcomes across departments
Governance Structure that Moves the Organization Forward
100% Board give/get participation
Board has written job descriptions with detailed expectations of time, expertise, attendance at events and Board meetings, participation with constituency and fundraising
Executive Director meets annually with individual Board members to review goals, fundraising responsibilities, involvement, and fundraising prospects
o Individual Board members set annual goals that are tracked
Board Chair and Executive Director meet monthly to discuss programs and progress on goals
Young Executives Board of 70 past and current rowers
Succession planning: created list of Executive Director’s key functions with specific assignments of which staff can provide back up for them
Weekly management team meetings ensure transfer of historical, institutional knowledge
Senior staff rotate attending board meetings to give them leadership exposure
Create projects that allow senior staff and board to work together without the involvement of the Executive Director
Structure board meeting minutes as action templates to encourage accountability
Strong, Transparent and Accountable Financial Management
7 months of liquid reserves
Focus on earned income revenue streams
Board Finance Committee periodically trains current and new board members with no finance background to encourage fiduciary responsibility
Inclusive, Diverse and Responsive Organizational Practices
Hold regular diversity trainings, including focus on disability and LGBTQIA (sensitivity training)
Bi‐annual caregiver/parent meetings to discuss concerns and new programs o Interpreters available at these meetings
Multilingual staff (seven languages)
New staff receive cultural competency training focused on celebrating and supporting differences
Program graduates hired whenever possible
Para‐Rowing Committee advises the organization on how to meet the needs of rowers with disabilities and informs workshop offerings
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
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Reserve 80% of spots for low‐income public school youth; 20% for youth from any socio‐economic bracket – model achieves economic diversity among participants
Monthly newsletter to parents
Parent liaison enhances communication between parents and staff
Enlightened Use of Human Resources
On‐boarding process includes 5 training modules tailored to particular positions o Revisit elements of staff orientation regularly throughout the year
Review job descriptions each year
Strategic use of volunteers to augment staff o Coaching Corps Members: volunteers brought on to reduce student to staff ratio o Provide volunteers with one‐on‐one orientation from staff
Establish staff training/professional development plan o Professional development includes coaching roundtables, speaker series, and weekly program meetings o Budget for external professional development o Provide professionalism training for recent graduate hires
All staff receive bi‐annual reviews, including self‐assessment and feedback from supervisor regarding staff norms and program and organizational goals related to position
Twice a year staff provides anonymous feedback on their supervisors
Established staff norms, values and guidelines for internal and external communications
Appropriate and Reliable Information Technology Systems
Good use of Salesforce for data collection and reporting o Salesforce allows organization to capture data from disparate systems, run customized reports on critical
organizational metrics, track participant progress, identify trends and forecast future program requirements
Constant Contact used to track communications with constituency
Google Drive used for file sharing
Dual wi‐fi networks for staff and guests
Technology is used for rowing and physical fitness instruction
Regular and Effective Communications and Use of Communications Technology
Actively engages range of audiences, including alumni and past Board members
Targeted, multimedia approach to communicate with constituency, including newsletter, social media, and blogs
Develop a Communications Plan for each event
Embed brand identity in all fundraising efforts
Solicit feedback from constituency through annual survey
Meet every Monday to determine and assign social media opportunities and outreach for the week
Track social media metrics weekly
Program information available in Spanish on the website
Effective, Ethical Fundraising and Resource Development
100% Board give/get
Board leverages resources to increase funding and develop partnerships
80% of spots reserved for low‐income youth; 20% for youth from any socio‐economic bracket – model helps meet earned income goals
Technology used to track donor retention and growth
Young Executives Board; members commit to helping with fundraising, outreach and obtaining in‐kind support
Develop an outreach plan at the beginning of the year for existing donors; map out deliberate, multiple touch points for each
Personalize outreach and cultivation plans throughout the year for new donors
Wise use of limited resources – creative partnering; pull together free and low cost resources to grow
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
6
Graham Windham www.graham‐windham.org
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.
Year Founded: 1806 Budget: $56,897,863 Full‐time Staff: 445 Part‐time Staff: 145 Volunteers: 350 President & CEO: Jess Dannhauser Board Chairman: Georgia Wall Overall Management Focus on Results
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
Used strategic planning process to focus the organization’s mission and program array and to identify strategies for improving program outcomes
o Terminated/transferred particular programs through this process to ensure strategic alignment o Moved toward a common set of agency‐wide goals for a core target population
Strong investment in Solution‐Based Casework (SBC) and training for staff (cross‐departmental) o Trained all child welfare staff in the model o Created a certification process for case planners and supervisors
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
Launched coaching initiative to help program managers use performance data to inform program solutions
All levels of management review performance data, discuss ways to improve performance, and make necessary adjustments
o Moved from a siloed operation to an integrated organization through management and evaluation systems o Involved entire organization, from Board to frontline staff, to make this shift possible
Created Direct Practice Roundtable to allow senior managers to hear directly from staff on obstacles/challenges to meeting mission and vision
Governance Structure that Moves the Organization Forward
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
Board manages tension between financial incentives and outcomes incentives for children served
Development Committee split into workgroups focused on foundation support, corporate support, volunteers and branding
Board oversaw year‐long executive transition with longtime leader serving as CEO and successor serving as President
Strong, Transparent and Accountable Financial Management
Involve direct practice leadership in creating and monitoring budget, leading to accountability throughout the organization
Two rounds of face‐to‐face discussions ensuring budget requests are fully aligned with latest program priorities and strategic plan
Run monthly snapshot reports to supplement quarterly reports
Inclusive, Diverse and Responsive Organizational Practices
Obtain feedback on emerging community needs from three Advisory Councils for youth, birth parents, and foster parents
Held conversations with all directors in the organization to address diversity at senior levels and to formulate practices for internal advancement
Recruit in local communities and population of program participants to ensure that staff’s ethnic diversity matches that of the service population
2014 Awards Examples of Excellence – Presented at Best Practices Workshop & Awards Presentation on November 20, 2014
7
Enlightened Use of Human Resources
Incentivize staff with meaningful merit‐based bonuses
Provide in‐house 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
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 length of service and outstanding contributions
Provide free counseling and legal support through an Employee Assistance Program
Accommodate staff members pursuing degrees; offer scholarships
Appropriate and Reliable Information Technology Systems
Linked systems to improve automated functions o A single database facilitates data collection, tracking, and reporting across all programs 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
Chief Information Officer meets with division Vice Presidents, HR, and Program Performance Planning Team to determine needs
Maintain a rolling IT strategic plan
Conduct an annual security audit
Developed an IT policy manual on security procedures
Transitioned to Office 365 to guarantee access to email during/after a disaster
Launched an IT Help Desk
IT Team provides training to staff
Regular and Effective Communications and Use of Communications Technology
Conduct routine satisfaction surveys for staff and foster parents
Focused attention on communicating client stories through multiple channels
Consistent brand management across media
Branding workgroup within Board Development Committee
President & CEO tweets for the organization on a regular basis
Use staff newsletter and intranet announcements for internal communications
Privacy policy, including social media policy, is posted on website
Maintain a calendar of events to coordinate news and events to be covered and featured
Effective, Ethical Fundraising and Resource Development
Diversified development plan addresses all potential audiences
Monthly meeting among the development team, President & CEO, members of Program Performance and Planning Team to ensure strategic goals are met
Four workgroups developed within the Development Committee to work with staff on foundation support, corporate support, volunteers, and branding
Leadership Council (major donor society) and Corporate Council (membership program for corporations)
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The 2015 New York Community Trust Nonprofit Excellence Awards
Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
Selection Process Winners will be chosen after a three‐stage selection process, including two stages of written applications and an in‐person presentation (previously, the site visit). The Awards Selection Committee is an all‐volunteer expert group selected by the program’s Management Committee made up of representatives of NPCC, The New York Community Trust, and Philanthropy New York.
The Selection Committee for these Awards is firmly committed to judging all applicants fairly, only taking into account their size, age, purpose and other factors in order to realistically adjust expectations of and assess achievements of their specific management practices. Past winners have included small, mid‐sized and large organizations. All information submitted for consideration remains confidential to Selection Committee members and staff managing the Awards. After the Selection Committee reviews all Part One applications, the pool will be winnowed down to a maximum of 10 semifinalists for consideration. The 10 semifinalists will be asked to complete a Part Two application. You will be notified whether or not you qualify for Part Two of the competition by July 31, 2015. In‐Person Presentations: The pool of 10 semifinalists will be narrowed down to a maximum of 6 finalists. You will be notified whether or not you qualify for the final round of the competition by October 8, 2015. Finalists will be asked to present to a team of Selection Committee members at either 10:00 am or 2:00 pm on one of the following days: Friday, October 16, 2015; Wednesday, October 21, 2015; Friday, October 23, 2015; or Wednesday, October 28, 2015. Please hold these time slots for all four days.
Feedback All applicants may request feedback on their applications, including summaries of Selection Committee comments and scoring, as well as useful feedback on particular management areas, by contacting Awards program staff at NPCC. Contact information and instructions will be included in a notification email that you will receive no later than July 31st.
The purpose of this feedback is to provide observations on management strengths and weaknesses, and to encourage your organizational growth and improve your management.
Collaborators & Supporters The Nonprofit Coordinating Committee of New York serves as the tax‐exempt manager of this program, in collaboration with The New York Community Trust and Philanthropy New York. The program is sponsored by WNYC. Additional financial and in‐kind support is provided by The Clark Foundation, Ford Foundation, Google, McGladrey LLP, and Columbia Business School Executive Education Programs in Social Enterprise.
Identifying Nonprofit Excellence Key factors considered by the Awards Selection Committee in reviewing applications and selecting awardees are outlined in a separate Eight Key Areas of Nonprofit Excellence document. The 8 areas are:
Overall management focus on results
Governance structure that moves the organization forward
Strong, transparent and accountable financial management
Diversity and culturally competent organizational practices
Enlightened use of human resources
Appropriate and reliable information technology (IT) systems
Regular and effective communications and use of communications technology
Effective and ethical fundraising and resource development
Applicants must document significant accomplishments in more than one of these areas. The strongest applications are expected to be from those organizations where discussion and reflection have been invested by staff, board, volunteers and other stakeholders prior to and during completion of the application. The Awards identify and promote excellent management practices that provide useful examples for other nonprofits. We hope that the questions in this application will stimulate that goal.
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The 2015 New York Community Trust Nonprofit Excellence Awards
Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
HOW TO APPLY Content This application is designed to give considerable flexibility for your organization to tell its management story. In formulating responses, bear in mind that the Awards competition focuses on management (including program management), as opposed to program content. Discussion of program content should be limited, and should enhance the explanation of your management practices. For instance, “We changed our methods for serving clients at our food bank to allow them to make their choices online and schedule their pick up time, thus enabling our organization to serve more people more efficiently, with less waste,” is an example of using program information to explain an excellent management practice. It is also expected that applications will reflect management results, not only process. What has improved in your organization’s operations or progress toward achieving its mission as a result of this exemplary management practice?
Page Requirements Online submissions are strongly encouraged, though paper applications will also be accepted. Your Part One application narrative addressing Questions 1 through 10 must be no more than a total of seven (7) pages. Please submit only one copy of the application form. All submissions must be typed single‐spaced with no less than 1/2 inch margins. The text must be a minimum 11‐point size in Times New Roman font. Online submission of the application narrative must be in Microsoft Word format. You do not have to repeat each question, but each question must be clearly numbered. Applications not meeting these margin and font size requirements will NOT be considered. Materials submitted by mail should be sent to the address below.
Supporting Documents In addition to the 10 questions, you must submit supporting financial documents (see page 7). This material is not included in the 7‐page maximum covering questions 1‐10. If you submit these documents by mail, they must be unbound and on 8 ½ by 11 paper. Applications missing required supporting documents will NOT be considered. Do NOT send books, videotapes, manuscripts or other unrequested materials. These will not be reviewed or returned.
Applying Online Go to http://npexcellence.fcny.org to apply online. If you are not able to upload supporting documents (see page 7 for specifics), please email them to [email protected] or mail them under a separate cover to NPCC (address below) with a note indicating that you submitted the rest of the application online.
Paper Submissions Completed applications and supporting documents can be mailed to:
Nonprofit Coordinating Committee of New York Nonprofit Excellence Awards
135 West 36th Street, 15th Floor New York, NY 10018
All materials must be received by 10:00 AM on Friday, May 1, 2015.
Questions? Contact Melkis Alvarez‐Baez at [email protected] or 212‐502‐4191 ext. 225.
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The 2015 New York Community Trust Nonprofit Excellence Awards
Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
The 2015 New York Community Trust Nonprofit Excellence Awards Note: This page must be completed and submitted with your application.
PART ONE APPLICATION COVER PAGE (Deadline: 10:00 AM, May 1, 2015)
Name of Organization:
Based in: New York City Area (this is required; see “Eligibility”)
Primarily Serves (check all that apply):
NYC Area (5 boroughs, Nassau, Suffolk, Westchester Counties) National Constituency
International Constituency Other________________________________________________
Type (e.g. Arts, Healthcare, Environment, Youth Development, etc.):
Address:
City: State: Zip:
Telephone: Website:
Facebook Page: Twitter Handle:___________________
Primary Contact Person’s Name, Title, Email Address & Phone Ext.: ______
Executive Director’s Name, Email address & Phone Ext.: ______ (Please provide contact information for more than one person in your organization)
Finance Manager’s Name, Email Address & Phone Ext.:
Communications Manager’s Name, Email Address & Phone Ext.:
______
Number of Paid Staff Members: Full‐time #: Part‐time #: ______
Number of Volunteers (excluding Board members): ______
Number Serving on your Board of Directors: ______
Organization Began Operations In (year):
Most Recent Fiscal Year Ended (date):
Total Revenues for that Year: ______
Total Assets:
Excess (deficit) of support and revenue over expense during the most recent fiscal year: _______
The 2015 New York Community Trust Nonprofit Excellence Awards
Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
PART ONE QUESTIONS (Deadline: 10:00 AM, Friday, May 1, 2015) Limit your answers to no more than 7 pages total. Please refer to page 3 for specific margin and font size requirements. Applications that do not conform to these specifications will not be considered. Questions can be answered in narrative and/or bullet point form. Be specific: answer all boldface questions, describing examples of your actual, existing management policies and practices and their results. Questions not in boldface suggest the kinds of management practices and issues you might address in describing your excellent practices; you are NOT required to address all of the non‐boldface questions. Emphasize areas of excellent practice within your organization that represent excellent, sustainable and/or replicable practices from which other nonprofit organizations might benefit. (Consult Eight Key Areas of Nonprofit Excellence.)
1. Please provide your mission statement (in italics). If your mission statement does not make clear what your organization aims to do – its core purpose – then state in 1‐2 sentences what change your organization is trying to make in the lives of the community(ies), people and/or cause(s) you serve.
2. How does your organization’s management focus on both mission‐related AND organizational results? Give specific examples of regular planning and feedback that have led to measurable results in advancing your mission and other organizational goals. Summarize your track record of mission‐related AND organizational results over the last 3‐5 years. How are results or outcomes defined, verified, tracked and reported? Who follows up and/or tracks results, how often, and what does this encompass? How has impact been sustained? How will you sustain and/or improve key results going forward?
3. Cite specific examples of how your Board of Directors adds value to your organization and helps it perform better, and how the Board leads in concert with management? Do you have a regular and transparent process for filling Board positions? How are Board members recruited, recognized, informed, involved and effectively engaged in policy oversight? Leveraging resources? Assuring accountability, ethical practices, transparency and effectiveness? Publicly representing the organization? Do Board members have job descriptions or clear descriptions of their responsibilities? How is Board performance evaluated? Does the Board monitor and evaluate the CEO’s performance and compensation? Do you have a Board Conflict of Interest policy that regularly discloses material conflicts of interest and leads to appropriate recusals to prevent self‐dealing? Is it monitored regularly for compliance? How are Whistleblower policies for Board members enforced? (Also see Checklist #2.)
4. How does your organization’s financial strategy support your mission? How do financial considerations get incorporated in major decision‐making? Describe the roles of your Board and senior staff in setting financial expectations and goals, creating, approving, reviewing and revising your budget annually and throughout the year. How does your budget planning incorporate operating, capital and cash flow needs? Describe the magnitude and purpose of your reserves (number of months of liquid reserves (excluding fixed or donor‐restricted assets) you had at the end of the most recent fiscal year). How do you think strategically about your growth of unrestricted net assets? How do you track, report, and communicate financial milestones and results to your Board, key staff, and other key stakeholders? Describe your biggest financial challenge(s) in the past 3‐5 years, how you met it/them, and what preventive steps you took for the future. Describe internal controls to assure integrity, accuracy and transparency and prevent fraud and waste. How do you ensure that required local, state and federal reports (e.g. IRS Form 990, etc.) are filed in a timely manner, reviewed by senior managers and the Board and publicly available? (Organizations with revenues greater than $100,000 are required to complete the Financial Information sheet. Electronic copies are available at http://npexcellence.fcny.org.)
5. How does your organization utilize and care for its human resources? Cite specific examples of how your
policies and practices recognize the importance and needs of staff and volunteers. What makes your organization a special place to work? What benefits do you offer to ensure high morale and staff retention? How are staff and/or volunteers celebrated and supported? Are written personnel policies communicated to staff and volunteers and reviewed at the Board level? Are job descriptions and annual performance reviews tied to achieving program and organizational results? How is staff and/or volunteer talent identified and cultivated? Are internal or external professional development opportunities available?
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6. How does your organization ensure that its staff, volunteers, and board are diverse, culturally competent, and responsive to emerging issues or communities? Cite specific examples of how your organization’s policies and practices are inclusive and culturally competent – i.e., in tune with and responsive to the varying languages, cultures and expectations of your organization’s constituencies and stakeholders. How does your organization regularly assess and address changing needs and emerging challenges and issues within the constituencies, communities and issue areas your organization serves? What forms of diversity (e.g., gender, ethnic and racial, cultural, religious, immigrant/refugee, linguistic, generational, sexual orientation, etc.) policies and/or practices are important for sustaining high quality in your program work in your organization? Does your organization’s staff and governance reflect this diversity? How has the diversity of your staff and board changed in the last 5 years? Cite current numbers and percentages in Checklist #2. How does your organization assure these results? How are your organization’s policies and practices culturally competent?
7. How do your organization’s policies and practices appropriately manage your information technology resources? Cite specific examples of how you regularly use technology and other resources to increase efficiency and effectiveness. Cite specific examples of how technology planning is integrated into short‐ and long‐term strategic operational AND mission‐related goals. What is the most significant technology upgrade your organization has implemented? What impact has it had on the management of your organization? Does your organization invest in appropriate equipment, up‐to‐date, compatible hardware and software to enhance your ability to achieve your mission? Do you regularly back up important electronic files and check to see if those back‐ups actually work? How else do you protect users’ confidentiality and security? Is there at least one staff person responsible for updating software and hardware? Is staff adequately trained in the use of technology to carry out their responsibilities? How is technology inventory tracked and managed?
8. How do you communicate with your constituencies? Cite specific internal and external communications with
key stakeholders that clearly convey your communications strategies and your results from these strategies. Are you effectively telling the core story of how your organization makes a difference? Do you have a communications plan that is integrated with your programmatic and development efforts and that promotes your organization’s brand consistently through print, broadcast, and online materials? How are social media and technology integrated into your strategic communications objectives? Do your plans, practices and actual communications assure that regular, accurate information reaches your various publics? How do you know? Cite examples of how you regularly listen to key stakeholders. How do you regularly assess the impact and reach of your communications relative to your competitors, clients, donors and others? Cite evidence that your messages are understood or “working.” Describe your strategies to protect consumer privacy and confidentiality. Cite evidence that your organization actively and effectively “brands” itself and maintains its brand (public identity and reputation) in telling its story.
9. How does your organization effectively and ethically develop resources? Cite specific, concrete examples of how you assure sustainable revenues as well as ethical and transparent fundraising practices and communications. With what results? Describe your fundraising policies, strategies and actual practices for leveraging financial and other resources. What roles do your Board, organizational leadership, staff, volunteers, constituents or clients and community(ies) play in resource development? Are your development plans, policies and activities ethical, effective, regularly reviewed by the Board and accountable to donors? How do you balance between publicly recognizing contributions and donor confidentiality when needed? What practices do you have in place to ensure that donor names are not shared or traded without donor permission? (Also see Checklist #2.)
10. Cite up to three examples of how your mission guides the management strategies of your organization. These
should be concrete examples of “best” program management or organizational management practices that distinguish your organization’s work. Each example highlighted can cover one or more of the management areas identified above.
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The 2015 New York Community Trust Nonprofit Excellence Awards
Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
APPLICATION CHECKLIST # 1: Applications missing any of these documents will NOT be forwarded to
the Selection Committee for consideration. If submitting by paper, submit in the following order. Check off that you have included:
1. Completed cover page. 2. Checklist #1 (This Checklist). 3. Checklist #2. 4. Completed Application (answers to questions 1‐10; 7 page maximum). Online submission of the application narrative must be in Microsoft Word format. 5. Completed Financial Information Worksheet (required of organizations with revenues of more than $100,000. Electronic copies are available at http://npexcellence.fcny.org). On the Notes tab of the Excel spread sheet, explain any significant discrepancies between the information in the financial documents described below, information on the worksheet, and your answers to Question 4 of the application. 6. If your organization is required to obtain an annual audit, include your latest audited financial statement. Include any management letter or other formal communications from your auditor. If this letter reflects any material deficiencies, please provide a copy of your response to this letter sent to your auditor.
NY State nonprofits with revenues above $500,000 (other than religious congregations) that solicit funds from the public are required to have an annual audit.
Organizations with revenues between $250,000 and $500,000 are required to have an annual independent accountant’s review report and financial statements with accompanying notes.
Organizations with revenues below $250,000 should submit the most recent internal financial statement.
7. If your most recent audit (or financial review) covers a period that ended prior to March 31, 2015, provide an interim financial statement (statement of income and expenses and balance sheet) covering the period through March 31, 2015. 8. Copy of your organizational budget for the current fiscal year. 9. Copy of your most recent IRS Form 990, including all schedules.
Organizations with revenues above $200,000 or total assets greater than $500,000 must file Form 990. Private Foundations must file Form 990‐PF.
Organizations with revenues between $50,000 and $200,000 and total assets less than $500,000 must file Form 990‐EZ (but may choose to file a Form 990).
Organizations with revenues below $50,000 must file Form 990‐N (but may choose to file a Form 990 or Form 990‐EZ).
10. A description of your process for determining executive compensation. (Use the Microsoft Word form online at http://npexcellence.fcny.org). 11. Copy of your IRS 501(c)(3) determination letter. 12. A list of your Board of Directors and their organization affiliations. (Complete the Microsoft Excel form online at http://npexcellence.fcny.org).
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APPLICATION CHECKLIST # 2: Applications missing this document will NOT be forwarded to the Selection Committee for consideration. 1. Board:
a. Percentage of Board members who make personal gifts: ____% b. Do you have Whistleblower and Conflict of Interest policies in place for Board members? YES NO
2. Financial Management: a. # Months of cash: ____ b. # Months of liquid unrestricted net assets: ____ c. # Months of designated unrestricted net assets: ____
3. Diversity: a. Do you have a written diversity policy and/or affirmative action plan? YES NO b. Please complete this diversity composition chart for your organization. Please provide # and %.
4. Human Resources a. Are there job descriptions for all positions? YES NO b. Are there annual performance reviews for all positions? YES NO c. Do you have Whistleblower and Conflict of Interest policies in place for staff? YES NO
5. Information Technology a. Is there a designated staff person responsible for updating software and hardware? YES NO b. Do you use a CRM (customer relationship management) or database management software? YES NO c. Do you have a disaster recovery plan? YES NO d. Do you have a document retention and destruction policy, including electronic files? YES NO
6. Fundraising a. Do fundraising professionals engaged by your organization adhere to the highest ethical standards, such as the
Association of Fundraising Professionals’ Code of Ethical Principles and Standards of Practice? YES NO b. Does your organization comply with all applicable local, state and federal laws and regulations concerning fundraising
practices? YES NO c. Do fundraising communications clearly convey accurate, honest information about your organization, its activities, and
intended use of funds? YES NO d. Please provide a % breakdown of sources of funding for the most recent audited year:
Funding Source % Funding Source % Government Major Donors Corporate Annual Appeal Foundation Other:_________________ Special Event(s)
7. Communications a. Do you use a web tracking tool to monitor activity on your website? YES NO b. Do you have a social media policy in place? YES NO c. Do you track social media activity on a regular basis? YES NO
Staff # %
Board # %
Volunteers # %
Other: ___________ # %
Gender: Male Female
Ethnicity: Asian Native American Black/African American Caucasian, Non-Hispanic Hispanic/Latino Other
Age: 0 – 18 18 – 40 41 – 65 65 +
8 The 2015 New York Community Trust Nonprofit Excellence Awards Produced by the Nonprofit Coordinating Committee of New York and Philanthropy New York
Line # Name of Organization: (enter name on line 2)
2 Current Year Prior Year Actuals
3 Budget PY1 PY2
4 Year End Date
5 DESCRIPTION
6 Financial Position
7 Assets
8 Cash and cash equivalents
9 Contributions receivable
10 Investments
11 Fixed assets
12 Other assets
13 Total assets ‐ ‐$ ‐$
14 Liabilities
15 Accounts payable and accrued expenses
16 Debt ‐ fixed asset related
17 Debt ‐ other
18 Other
19 Total liabilities ‐ ‐$ ‐$
20 Net assets
21 Unrestricted
22 Unrestricted ‐ net invested in fixed assets
23 Unrestricted ‐ undesignated
24 Unrestricted ‐ Board designated (provide list of purposes)
25 Total Unrestricted net assets ‐$ ‐$
26 Restricted
27 Temporarily restricted
28 Permanently restricted
29 Total Restricted net assets ‐$ ‐$
30 Total net assets ‐ ‐$ ‐$
31 Change in Net Assets
32 Revenues:
33 Contributions and grants ‐ government
34 Contributions and grants ‐ other
35 Investment income
36 Earned income
37 Other
38 Total revenues ‐$ ‐$ ‐$
39 Total Unrestricted Revenue
40 Expenses:
41 Program
42 Management and general
43 Fundraising
44 Total expenses ‐$ ‐$ ‐$
45 Other (provide list)
46 Operating Surplus/Deficit ‐$ ‐$ ‐$
47 Audit/990 Information
48 Are financial statements audited, reviewed, compiled?
49
Did auditor report any deficiencies or other management
comments? (If yes, email a copy of management letter or other
report to [email protected])
ORGANIZATIONS WITH BUDGETS LESS THAN $100,000 ARE NOT REQUIRED TO COMPLETE THIS WORKSHEET. (Please submit this form as a Microsoft Excel file. Electronic copies are available at http://npexcellence.fcny.org. If submitting by paper, also
email this form as a Microsoft Excel file to Melkis Alvarez‐Baez at [email protected].)
Do not fill out the black cells. Instructions are available under the Instructions tab.
Enter explanations/additional information on the Notes tab.
Questions? Contact Melkis Alvarez‐Baez at 212‐502‐4191 x. 225; [email protected]
Financial Information Worksheet
Line # Instructions
2 Enter the name of your organization.
4Enter the year end date for the current year and the two preceding periods (PY1 and PY2) for which you have
provided financial statements in the format dd/mm/yy.
8-12 Enter assets by these categories. These numbers should agree with your financial statements. Provide a listing
of any significant other assets under the Additional Information tab of this workbook or a separate sheet.
15-18
Enter liabilities by these categories. These numbers should agree with your financial statements. Provide a
listing of any significant other liabilities under the Additional Information tab of this workbook or a separate
sheet.
22Enter the amount of unrestricted net assets invested in fixed assets. If not separately identified in your
financial statements this is computed as: Fixed assets less fixed asset‐related‐debt.
23 Enter the balance of unrestricted net assets.
24 Enter any portion of your unrestricted net assets that has been designated by your board for a particular
purpose and provide a listing under the Additional Information tab of this workbook or a separate sheet.
27-28 Temporarily and permanently restricted net assets should agree with your financial statements.
33-37Enter all forms of revenue, support or other income. Provide a listing of any significant other income. (Line 12
on an additional sheet).
38
Total revenues should agree with your budget and financial statements. If they do not agree, please provide
an explanation that will reconcile these under the Additional Information tab of this workbook or a separate
sheet.
41-43Enter expenses by these categories. These numbers should agree with your financial statements. You may
need to prepare an allocation so that your budget can be presented on the same basis.
44
Total expenses should agree with your budget and financial statements. If they do not agree, please provide
an explanation that will reconcile these under the Additional Information tab of this workbook or a separate
sheet.
45
Any item that is a change in net assets and is not included in revenue or expenses should be entered on this
line. Provide a listing of any significant other items under the Additional Information tab of this workbook or
a separate sheet.
46
Operating surplus/deficit should agree with your budget and financial statements. If they do not agree, please
provide an explanation that will reconcile these under the Additional Information tab of this workbook or a
separate sheet.
48Select from the drop down menu to indicate whether your financial statements are audited, reviewed or
compiled. If there is no involvement of an independent accountant, indicate other.
49Select 'yes' or 'no' from the drop down menu. If yes, email a copy of the management letter or other report to
The 2015 New York Community Trust Nonprofit Excellence Awards Financial Information Worksheet
Instructions
The Financial Information input sheet provides summarized financial information on the same basis for all entrants.
Most of the information will come directly from your financial statements or current period budget. If you need to
explain any information, please provide the explanation with your application. You can use additional sheets, in
addition to the application, or enter the information on the third worksheet (the "Notes" tab) in this Excel
Workbook.
Explain any significant discrepancies between the information in the supporting financial documents
(audit, financial review, budget, and/or IRS Form 990), the information on the "Input" tab of this
Excel file, and your answers to Question 4.
(Press "Alt enter" if trying to space down to the next line.)
The 2015 New York Community Trust Nonprofit Excellence Awards Application
Executive Compensation Determination
Describe the process for determining compensation of the following persons:
The organization’s Executive Director, Chief Executive Officer (CEO), or top
management official
Other officers or key employees of the organization
Applicant Organization:
Board Member
Last Name
Board Member
First NameBoard Member Affiliation
Length of Board Membership (years)
The 2015 New York Community Trust Nonprofit Excellence Awards Application
Board of Directors List
Enter your Board of Directors and their affiliations.
(Affiliation refers to the organzation where the Board Member is currently employed or was most recently employed.)
This document must be submitted as a Microsoft Excel file. If submitting by paper, also email this form as a Microsoft
Excel file to Melkis Alvarez‐Baez at [email protected].
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