Presentation Transcript

1. Improving Organizational Management and Development

   Community Tool Box Curriculum Module 15 http://ctb.ku.edu
2. Learning Objectives Developing governance and management structures Managing and enhancing human resources Creating sound business and financial operations Ensuring good communication internally and externally
3. “To govern is to choose” --Pierre Mendes-France
4. Developing Governance and Management Structures What is governance? Governance is an entity, such as a council, committee, or board that has the authority to make sure that an organization works. The governing structure can delegate tasks and give some of its authority away (e.g., to a Director). This entity gives voice to the owners of the organization (e.g., the community, stakeholders), and is accountable for the group. The central feature of governance is strategic decision-making that guides a group’s collective effort.
5. Developing Governance and Management Structures What are by-laws and operational policies? By-laws are the rules and regulations for governing an association or corporation. Operational policies are the rules that guide the way in which work is carried out within the organization. What is a stakeholder? A stakeholder is an individual or group with an interest in the success of an organization in delivering intended results and maintaining the viability of the organization’s products and services.
6. “Think of managing change as an adventure. It tests your skills and abilities. It brings forth talent that may have been dormant.” --Charles E. Rice, CEO of Barnett Bank
7. Developing Governance and Management Structures Advantages of creating a group to guide and oversee your organization: Credibility and community support More ideas come into play Opportunities to educate the community about the issue by creating a broader network of involved members Accessible source of knowledge and experience Base for membership, fundraising, and other support Personal support for the organization’s members
8. Developing Governance and Management Structures Governance may have several purposes: A working board helps with the actual functioning of the organization, usually through the efforts of its committees. A board which exists largely for credibility helps to show people in the community that the organization is legitimate and knows what it is doing. A board may also be assembled to take advantage of members’ talents or training or experience. People with specialized knowledge can make the organization much more effective. A fundraising board exists to bring money into the organization, through the members’ own contributions and their fundraising efforts in the community A board’s job may be to safeguard the mission and philosophy of the organization.
9. Developing Governance and Management Structures Forms of governance for your organization: Steering Committee Makes recommendations about particular actions or about the direction in which the organization should go, rather than setting policy. Coordinating council Often runs the organization. It takes the place of an individual Executive Director, making decisions that guide the work, recruiting board members, etc. Advisory Committee This group may do some of the same things as a Board of Directors, but is limited to advising rather than setting policy or directly overseeing the Director, finances, or other operations.
10. Developing Governance and Management Structures Forms of governance for your organization (continued): Board of Directors Usually consists of members who are selected for particular expertise or relationships with key players in the organization. Sets broad policies and work to make sure those policies are followed in the organization, by selecting and supervising the Executive Director or other key staff. Oversees financial operations by selecting a Treasurer who works with the organization’s Chief Financial Officer. Ensures the mission and philosophy of the organization are maintained. Is legally responsible for the actions of the organization.
11. Developing Governance and Management Structures Why a Board of Directors might be right for your organization: Funding, traditional structure, and non-profit status Most funders, especially local, state, or federal government bodies – want to deal with organizations that have traditional structures, and won’t give money to an organization without a Board of Directors Being a non-profit organization means several things You don’t have to pay taxes on the organization’s income There are legal restrictions on your lobbying and advocacy activity You can’t support a particular political candidate or party
12. Developing Governance and Management Structures Why a Board of Directors might be right for your organization (continued): Gain connections with the community and build credibility Attract good people to your organization and your cause Use board members’ talents and skills Maintain organizational balance Safeguard the mission A board’s rotating membership and longevity provides institutional memory and ensures that the original missions and goals of the organization are not neglected
13. Developing Governance and Management Structures In some situations, a Board of Directors may also do some (or all) of the work of the organization. This can happen when: There is no paid staff. Board members then become the (volunteer) staff of the organization The organization is a volunteer organization, where paid staff’s job is to organize, and the board and other volunteers actually carry out the mission The organization reserves some tasks specifically for the board in order to keep board members directly connected to its operations
14. Developing Governance and Management Structures How a Board of Directors works: Board procedures are delineated in a set of by-laws Board meetings are regularly scheduled Board Officers are identified. Typically there are four positions: President or Chair Vice-President or Vice-Chair Secretary or Clerk Treasurer An Executive Committee is typically made up of these four officers to plan meetings and handle matters that come up between meetings.
15. Developing Governance and Management Structures How a Board of Directors works (continued): Committees are usually formed Standing Committees are ongoing and oversee the regular operations of the organization. Some common examples include: A Finance Committee – keeps track of the money situation of the organization, and is often chaired by the Treasurer A Fundraising Committee – coordinates events, mailings, appeals, etc., aimed at raising money for the organization Public Relations, Political Action, Community Health, Public Policy, etc., – additional examples of possible standing committees Ad Hoc Committees – formed to accomplish a specific task
16. Developing Governance and Management Structures Questions to consider when forming your governance: Is a Board of Directors necessary, or is another structure sufficient? What do you expect your board’s relationship to the organization to be? Will members or the chair of the board drive the organization, or will that be left to the Director and staff? Will the board oversee the organization and set policy, be involved in the organization’s daily work, be advisory, complete a specific, assigned task, or have another function? How large do you want your board to be? How will board members be recruited and selected? How will they be oriented and trained, and who will be involved? How will board members be managed, supported, and retained? How will transitions be handled?
17. Developing Governance and Management Structures DIALOGUE – Creating a Governing Board Consider: Your organization’s need for a board or other governing structure The function of the governing body How it will work Does it help you to brainstorm possible improvements for the organization? Do these kinds of reflections regularly occur in the organization that you work with? If yes, are they helpful in keeping the organization vital and effective? If no, could they help? How can you take your ideas back to your home organization, share them, and implement them? How will you involve others in this process?
18. Developing Governance and Management Structures Recruiting new members for your governance: Match members to the jobs you want them to do Consider how members will interact with one another Make certain that board members buy into the basic principles of the organization Look hard and well to identify good potential board members
19. Developing Governance and Management Structures Recruiting new members for your governance (continued): Consider other issues: Will your board be able to handle differences of opinion? How will you handle differences in class and education? What kind of support and training will you provide for those who don’t have experience working in groups or serving on boards? Develop a mechanism for choosing board members, such as: Appoint a Nominating Committee charged with finding and interviewing candidates Elect new members from among the membership of the organization Elect new members from individuals suggested by current board members
20. Developing Governance and Management Structures Recruiting new members for your governance (continued): Develop a conflict of interest policy Conflict of interest occurs when a board member participates in decisions or engages in activities relating to the organization that can bring personal gain The organization should have a policy clearly stating what kinds of actions constitute conflict of interest, and what board members should do to avoid it.
21. Developing Governance and Management Structures Recruiting new members for your governance (continued): Consider the issue of personal liability of board members If an organization is not incorporated, board members may be held personally responsible for accidents that occur on organization property, the organization’s debts, or illegal activities carried out by organization employees Incorporation makes the organization into a “person” under the law, and in most cases, will remove personal responsibility from board members Other ways to protect against personal liability are: Writing indemnification into your organization’s bylaws. Indemnification means that the corporation takes responsibility for any actions of its board Purchasing Directors and Officers Liability (D & O) Insurance
22. Developing Governance and Management Structures Establish policies and procedures: By-laws – written rules controlling the internal affairs of the organization and its board Financial polices – outline controls in the management of organizational finances, including recording, reporting, accounting, auditing and analysis Cash controls – how the organization handles money it receives Payable controls – how, when, and by whom the bills get paid Debt loads – how and when debts are incurred and handled Check signatures – who is authorized to sign checks Reports, timelines and distributions – how and by whom bookkeeping and accounting are done Confidentiality
23. Developing Governance and Management Structures Establish policies and procedures (continued): Personnel policies Direct the organization’s compliance with current laws and regulations, and best practices for hiring, evaluations, promotions, terminations, etc. Delineate systems and procedures to be followed by all staff Designate staff members responsible for mediating conflict among staff Give copies of personnel policies to all staff members
24. Developing Governance and Management Structures Establish policies and procedures (continued): Media or public relations policies Designate a spokesperson for the organization Develop relationships with media representatives Create a communication plan for crisis situations Make sure everyone understands when it is appropriate to speak on the record and when it is not
25. Developing Governance and Management Structures Establish policies and procedures (continued): Volunteer policies Include descriptions of the mission and how volunteers may contribute, and the limits, responsibilities, liabilities for volunteer involvement Institute regular volunteer development and supervision Develop policies that cover conflicts, grievances, communications, etc.
26. Developing Governance and Management Structures Establish policies and procedures (continued): Quality Assurance policies Describe the standards of conduct that the organization will endeavor to meet or exceed Program Policies Describe how the work of the organization is to be done, how the program interacts with the community, etc. Emergency and disaster policies Address emergency and disaster preparedness and post-emergency/disaster planning
27. Developing Governance and Management Structures Guidelines for writing policies: Get examples from other like-minded organizations Write policies in draft form, then circulate among staff, board members, and volunteers for input about clarity, feasibility, etc. Distribute and implement the policies Ensure staff have access to the policies and are trained on them Enforce the policies consistently Review all policies at regular intervals and modify as needed
28. Developing Governance and Management Structures Activity – Determining the policies needed to govern and run your organization Reflect on the effectiveness of operations in your organization, and where gaps may exist: Which of the policy types are needed? Which of the policy types are already in place and effective? Which of the policy types are in place, but insufficient for guiding staff and/or operations? Which of the policy types are needed, but missing? What action steps are needed to develop these policies?
29. Developing Governance and Management Structures Outline a Management Structure: Formalize roles Write position descriptions for all members, staff, and volunteers, including their title, who they report to, primary function, and specific responsibilities Decide which positions will be volunteer and which will be paid Create a visual representation, such as an organizational chart, of the relationships among different roles within the organization
30. Developing Governance and Management Structures Outline a Management Structure: Circumvent future power struggles and conflict by outlining: The decision-making process for different actions How information will be shared among different persons or groups Rules for modifying policies and procedures How disputes will be resolved Who has authority to make final decisions in specific situations
31. Developing Governance and Management Structures Implement systems to get the work done Making sure the work gets done Implement a phone tree or e-mail list of who notifies whom for what kinds of scenarios Include redundancies in the system so that work is sure to get done Record keeping Keep timely and accurate records for tax purposes, internal evaluation, accountability to funders, and use in publicity, fundraising, or advocacy Regular staff meetings Keep staff members and administrators informed Staff development and information-sharing Provide opportunities for staff to participate in workshops Develop a listserve or workspace for discussing promising ideas Institute a staff development program
32. Developing Governance and Management Structures Implement systems to get the work done (continued): Program development Take a long-term perspective that views the organization as dynamic and subject to constant change Work on ways to improve what you do, plan new initiatives, incorporate new ideas Encourage staff to make suggestions to make the organization’s work more effective Advertising and/or Recruitment Continually work to ensure the public and the target population are aware of the organization’s work Keep in touch with local media, circulating press releases, holding press conferences, etc. Maintain a presence in the target community Enhance the organization’s image through public speaking, attendance at meetings, service on committees and boards, etc.
33. Managing and Enhancing Human Resources Maintaining a positive organizational climate: Organizational climate is the way an organization “feels,” both to those who work in it, and to those whom it serves or who have contact with it in other ways You can cultivate a positive organizational climate by: Making time everyday for informal conversation with staff members Providing opportunities for staff members to socialize Passing around praise and credit freely Setting the organizational tone by your own behavior Being intentional about establishing your long-range organizational culture by paying attention to its climate every day
34. Managing and Enhancing Human Resources Activity – Select staff and volunteers that meet your organizational needs Consider the key elements of your organization’s mission and objectives Consider your organization’s identified strategies or action steps, along with probable job functions that would coincide with accomplishing those strategies Brainstorm open-ended questions that might elicit an interview response that could be analyzed for fit to the organization’s needs Sample Selection Chart
35. Managing and Enhancing Human Resources DIALOGUE- Was it difficult to generate questions to elicit the kind of information you need to make a good selection? Could you identify your needs in terms of skills? In terms of personal characteristics and commitments? Were you able to create open-ended questions? Will your questions prompt the interviewees in ways that will be helpful in your selection? How will you use this exercise in your home organization? How could it be adapted to identify selection criteria? Training needs? Evaluation criteria?
36. Managing and Enhancing Human Resources Manage your staff and volunteers Designate which staff members will be responsible for regular human resources functions, such as: Reviewing goals and objectives to identify tasks and skills needed to accomplish them Devising a recruiting and hiring plan Coordinating a hiring process Planning and carrying out an organizational orientation process Coordinating ongoing training and development processes Providing opportunities for professional and career development Implementing an evaluation system supervisors can use to assess performance of staff and volunteers
37. Managing and Enhancing Human Resources Manage your staff and volunteers (continued): Ongoing, regular supervision of all staff: Developing awareness of potential problems Handling actual personnel problems and crises Utilizing the organization’s evaluation system to assess contributions, strengths, and development needs of staff Recognizing staff accomplishments
38. Managing and Enhancing Human Resources Manage your staff and volunteers (continued): Manage and support your corps of volunteers, utilizing the supervisory steps noted previously, but also recognizing the unique issues of voluntary staff Create specific job descriptions that can be filled by volunteers Designate a volunteer coordinator Train the volunteer coordinator to provide support and education to staff who will use and manage volunteers Help those who will work with volunteers understand the competing demands that may pull on volunteer time and commitments Treat volunteers with the same respect you would give to any staff member
39. “Growth is about moving from one set of problems to a better set of problems. In other words, as long as we can take satisfaction in our own learning, we never feel defeated.” --Francis Moore Lappe and Paul Martin DuBois
40. Creating Sound Business and Financial Operations What is a fiscal year? This term means “financial year,” and it is the calendar you use to figure your yearly budget, and which determines when you file tax forms, get audited, and close your books. What is a budget? The budget of an organization is the document that shows planned income and expenses, and any discrepancy between the two. A budget is prepared specifically to cover the designated fiscal year, and should be ready before the fiscal year begins. In many organizations, the Board of Directors needs to approve the budget before the beginning of the fiscal year in order for the organization to operate.
41. Creating Sound Business and Financial Operations Key functions in fiscal management of your organization: Bookkeeping Keep expense and income journals updated Update and balance the general ledger Monitor the budget Billing/receiving, paying bills, and payroll Tracking grants and contracts Track each grant or contract separately, for your own records, and for the funder’s purposes Ordering and purchasing materials and supplies Banking
42. Creating Sound Business and Financial Operations Creating an annual budget: Know what is included in a budget Projected expenses Projected income The interaction of expenses and income Adjustments to reflect reality as the year goes on Plan and gather information to create a budget Determine what you need to spend money on in the next fiscal year Decide what programs or activities you are planning in the next fiscal year
43. Creating Sound Business and Financial Operations Estimate expenses Develop a method of broadly estimating your expenses List the estimated yearly totals of the absolute necessities of the organization List the estimated expenses for things needed to conduct activities or provide services List the estimated expenses for anything else the organization is obligated to pay List estimated expenses for those things which you would like to do or have Add up all the expense items you have listed to determine your projected expense for the coming fiscal year
44. Creating Sound Business and Financial Operations Estimate income List estimates of all amounts you can expect from known funding sources Estimate the amount you’ll obtain through fundraising If you charge fees or sell services, estimate the amount you’ll obtain from these activities If your members pay yearly dues or fees, estimate what membership will yield Estimate income from any spaces you sub-lease or rent to others Estimate income from any investments, annuities, endowment income, or interest income List and estimate the amounts from any other sources that are expected to bring in income over the next fiscal year Add up all the income items listed to determine your projected income for the next fiscal year
45. Creating Sound Business and Financial Operations Create your working budget Lay out the figures in spreadsheet format, with a list of funding sources along the top, and a list of expense categories along the left Each cell should have a number representing the amount of money from that particular funding source that goes to that particular expense category Sample Budget Spreadsheet
46. Creating Sound Business and Financial Operations Create your working budget (continued) Create a user-friendly budget document The simplest budget document is one which lists projected expenses by category and projected income by source, with totals for each. Sample budget document
47. Creating Sound Business and Financial Operations Create your working budget (continued) Compare your total expenses to your total income If your projected expenses and income are approximately equal, then your budget is balanced If your projected expenses are significantly less than your projected income, you have a budget surplus If your projected expenses are significantly greater than your projected income, you have a budget deficit
48. Creating Sound Business and Financial Operations Activity – Creating a Preliminary budget document Using the sample budget as a guideline, identify all revenue sources and all expense items for your organization Break down broad items like salaries or supplies into small chunks to make sure nothing gets overlooked Reflect on the following questions: Was it easy to determine the varied categories for which your organization must be accountable? How difficult was it to identify potential amounts for each category? How close to reality do you think the budget is?
49. Ensuring Excellent Communications What is internal communication? Communication that takes place within an organization, including both “official” communications like memos, policies, and newsletters, and “unofficial” or informal communication that occurs among and between board, staff, volunteers, and participants. What is external communication? Any information that is shared outside the organization can be considered external communication. This includes planned and organized campaigns, public relations efforts, media releases, etc., but also information that flows informally through collaborators, partners, and the rumor mill.
50. Ensuring Excellent Communications Strong internal communication: Improves the effectiveness of the organization through the free flow of ideas Keeps everyone (simultaneously) informed of what’s going on in the organization Allows the organization to respond quickly and efficiently to change, emergencies, etc. Makes problem-solving easier by providing a channel for everyone’s ideas Creates a climate of openness within the organization Promotes an atmosphere of collegiality, and makes the organization a pleasant place to work - free communication minimizes stress and improves commitment Gives people a greater sense of ownership of the organization, and confidence that everyone is working together towards the same goal Promotes fairness and equity within the organization Shows respect for everyone in the organization, by assuming that everyone’s ideas and information are valuable Gets problems and potential problems out in the open Forestalls the spread of rumors by communicating accurate information to everyone
51. Ensuring Excellent Communications Promoting Strong Internal Communication Organizational climate and culture Practice what you preach Treat everyone similarly Be sensitive to your own and others’ styles of communication Be culturally sensitive Make sure information flows in all directions
52. Ensuring Excellent Communications Promoting Strong Internal Communication (continued) Clear definitions of what needs to be communicated when, and by whom Information that should always be communicated immediately includes: Information that anyone needs to do his or her job Information that directly affects the work, employment status, working conditions, or working relationships of an individual Any problem with someone’s job performance Any problems that arise among staff
53. Ensuring Excellent Communications Promoting Strong Internal Communication (continued) Systems that support effective communication Hiring systems Staff training and development Supervision Regular meetings Other avenues of communication Procedures and clear lines of communication Accessibility Occasional or institutionalized opportunities to socialize Structures to monitor and continuously improve internal communication
54. Ensuring Excellent Communications Activity – Assessing Current Internal Communications Consider the strengths and weaknesses of your organization’s current communication climates and practices Rate your organization on how well they accomplish the elements of positive communication noted in the lesson Consider ways in which internal communication may be improved, including specific recommendations for activities or processes to implement
55. Ensuring Excellent Communications DIALOGUE - In what ways do you contribute or detract from a good flow of information within the organization? In what ways does the organization either support or limit your ability to communicate effectively? Are there specific people or systems that block effective internal communication? Were you able to identify steps that could lead to improvements? Why or why not? How can you appropriately share your observations with others in the organization? What specific steps can you take to enhance internal communication? Will you take them? When?
56. Ensuring Excellent Communications Strong external communication can improve your success: Clarifies how the organization’s goals and objectives relate to the overall mission Helps you inform more people about your organization Allows you to positively influence others Gives clarity as you seek to acquire resources and raise money Allows you to partner with others, learn from others, and make adjustments as new information is acquired
57. Ensuring Excellent Communications Promoting strong external communication: External communication should be considered any time the organization has information to share. Key groups to consider: The community you serve Other organizations The media
58. Ensuring Excellent Communications Steps for effective external communication Identify the audiences that are most important to your effort Describe your main message in terms that are relevant to them Identify the best methods to use in reaching each audience Describe the materials that will be used to transmit your message Determine the financial and other resources necessary to communicate in the manner you’ve identified Decide upon a timeframe for communicating your message Set your plan in motion; understand adaptations may be necessary Assess the effectiveness of your medium and message in reaching your goals, and make adjustments where needed
59. Putting It All Together Wrap-up/Conclusion Take away lessons How this all fits together Carrying It Forward: Applying this in my home organization or community A look ahead to the next module