CAPLAW Online Toolkit on Governance, Grant Law and Financial Management
CAPLAW has compiled the following list of self-assessment tools to assist CAAs in evaluating and improving various aspects of their organizations. The list is organized by topic and includes a description of each tool. Many of these tools are available on www.virtualcap.org – an excellent resource for examples of innovative CAA programs and practices.
Organization Overall
Board Café’s A “360 Degree Evaluation” of the Agency
This brief article advocates gathering information from multiple sources during the self-assessment process, ranging from the board of directors, to clients, to donors and volunteers. The article also suggests methods by which information can be gathered from these different groups of people.
A “360 Degree Evaluation” of the Agency can be found at: http://www.compasspoint.org/boardcafe/details.php?id=69
CAA Management Crisis Checklist
The National Association for State Community Services Programs (NASCSP) operates the ROMA website to provide CAAs, state CAA associations, and state CSBG administrators with access to information and resources that will support implementation of results-oriented management and accountability (ROMA). The CAA Management Crisis checklist available on the ROMA website is intended to help CAAs determine whether they are thriving, safe, stable, vulnerable, or in crisis in important areas such as financial management, human resources, and board of directors.
The CAA Management Crisis Checklist can be found on the VirtualCAP website.Click here
Capacity Benchmarking Tool for Faith- and Community-Based Organizations
This tool, made available by the U.S. Department of Health and Human Services’ Administration for Children and Families provides best practices and benchmarks, as well as practical tips and strategies, for nonprofit grantees in a variety of areas including: board of directors; strategic planning and decision making; program monitoring (monitoring effectiveness); community linkages and partnerships; fundraising and grant writing; technology; managing staff and volunteers; financial management.
This tool is available on the VirtualCAP website at:
http://www.virtualcap.org/cmsContent/files/ACF_Benchmarking_Tool.pdf
Community Action Partnership Standards of Excellence
The Community Action Partnership (CAP) has identified national Standards of Excellence for Community Action Agencies. The 2008 CAA Standards of Excellence outline 34 of the very best practices of the very best CAAs in order to answer the question: What does an excellent CAA look like? CAAs can compete for the Award for Excellence in Community Action, an annual award honoring excellent levels of performance, by participating in CAP’s system of self-evaluation and peer review. CAAs can also conduct this self-assessment without entering the awards program through the Pathways to Excellence initiative.
The 2008 Standards of Excellence, application forms, informational brochures, and many other resources can be found at: http://www.communityactionpartnership.com/about/about_partnership/award_for_excellence.asp
Northeast Institute for Quality Community Action (NIQCA) Self-Assessment Materials
NIQCA has developed “best practices” standards to help CAAs conduct Quality Community Action System (QCAS) self assessments. The NIQCA system helps management plan for the future, identify areas where improvement is needed, and prepare for Peer Review site visits. While NIQCA currently serves CAAs in Massachusetts, Rhode Island, and Connecticut, these materials can be used by CAAs nationwide. NIQCA has made available for download the QCAS Agency Self-Assessment Manual and Checklist, as well as the QCAS Self Assessment Document Checklist, Agency Staffing Chart, and Board Profile.
The NIQCA Self-Assessment Materials can be found at: http://niqca.org/self_assessment/
Standards for Excellence: An Accountability Code for the Non-Profit Sector
Created by the Standards for Excellence Institute in Maryland, the Standards for Excellence were designed as guidelines to help all nonprofit organizations better serve those who benefit from their programs, their contributors, and the public. The Standards recognize that nonprofit organizations must comply with local, state, and federal laws, and go a step further. The Standards are based on fundamental values such as integrity, respect, and compassion, and describe how nonprofits should act to be ethical and accountable in their program operations, governance, human resources, financial management and fundraising. The Standards for Excellence Institute provides voluntary certification programs in which nonprofits are evaluated based on their compliance with these Standards, but nonprofits may implement the Standards without enrolling in the program.
The Standards for Excellence can be found at: http://www.standardsforexcellenceinstitute.org/public/html/explore_b.html
Warning Signs for Agency Crisis
This questionnaire was developed by Mid-Iowa Community Action to help identify potential organizational problem areas for CAAs. A series of “yes” or “no” questions are organized into a broad range of eleven categories, such as “bank accounts,” “cash flow,” and “management.”
Warning Signs for Agency in crisis can be found on the VirtualCAP website. Click here
Board of Directors/Governance
Foley Hoag Individual Director Report Card
This tool, created by the law firm Foley Hoag LLP, allows individual directors to evaluate their own performance. Directors give themselves a score of 1-10 in 18 areas of performance, which are divided into three categories: Governance Role, Volunteer Role, and Overall Character and Contributions.
Foley Hoag Board of Directors Report Card
This tool, created by the law firm Foley Hoag LLP, allows individuals to evaluate their board of directors as a whole. For each of 17 different issues, individuals assign performance ratings ranging from 1 (Unacceptable) to 4 (Excellent). There is also space to list issues the board should focus on during the following year.
Click here for both the Individual Director and Board of Directors Report Cards.
OCS Information Memorandum No. 82
This OCS memorandum provides information about the roles and responsibilities of tripartite boards as required by statute. It also suggests strategies by which state CSBG authorities, state CAAS, and local agencies can be sure that the boards function efficiently.
OCS Information Memorandum No. 82 can be found at: http://www.acf.hhs.gov/programs/ocs/csbg/documents/im82.pdf
Strengthening CAA Board Governance
The Kentucky Association for Community Action (KACA) developed this board training manual and survey to help CAA board members learn about and effectively fulfill their roles and responsibilities. The manual covers a range of topics important to CAA board members including what a CAA is, the responsibilities of a CAA board, strategic planning, and branding.
Strengthening CAA Board Governance is available for download here
Training Book for CAA Boards
The Minnesota Department of Children, Families, and Learning’s Office of Economic Opportunity published this book to help improve CAA governance. While some portions of the book are specific to Minnesota state law, the book contains a great deal of information that can be used by CAAs across the country.
The Training Book for CAA Boards is available as a PDF download here
Executive Director
Board Café’s Annual Evaluation of the Executive Director
These materials contain a brief discussion of the evaluation process. The author cautions against using surveys and questionnaires as the sole means of evaluation, but advocates their use as a starting point. The author also urges organizations to achieve a continuous flow of feedback within the agency, as well as among funders, collaborating agencies, volunteers, and clients. A sample assessment questionnaire is included, which the author describes as a “first draft” to be customized by organizations for their own use during the evaluation process.
Annual Evaluation of the Executive Director can be found at: http://www.compasspoint.org/boardcafe/details.php?id=74
Financial Management
HHS Administration for Children & Families’ Financial Management for Federally Funded Organizations
This resource is a component of the Head Start Fiscal Assistant, but is also useful and largely applicable to the management of any federal grant. It provides examples of requirements that grantees must fulfill when administering federal programs. It helps federal grantees understand and comply with the requirement to have financial management systems that provide for timely, accurate, current, and complete disclosure of financial information, while providing oversight for and protection of federal funds.
This resource can be found here
Fundraising
Better Business Bureau (BBB) Wise Giving Alliance Standards for Charity Accountability
The BBB Wise Giving Alliance (the Alliance) helps donors make informed giving decisions and advances high standards of conduct among organizations that solicit contributions from the public. Among other things, the Alliance produces in-depth evaluative reports on national charities based on comprehensive Standards for Charity Accountability. Organizations voluntarily comply with these standards, which impose stricter requirements than local, state, and federal laws and regulations. The standards cover: governing the organization, spending money, making truthful representations, and disclosing information to the public. National charities that meet the standards can apply to participate in the Alliance’s National Charity Seal program. The Alliance does not rank charities but rather seeks to assist donors in making informed judgments about charities soliciting their support.
CAAs may find the Standards for Charity Accountability useful in establishing their own best practices, particularly related to fundraising and use of funds.
The BBB Wise Giving Alliance standards can be found at: http://www.give.org/standards/index.asp
Head Start
Head Start Self-Assessment Materials
Head Start Performance Standards require grantee and delegate agencies to conduct a Self-Assessment of their effectiveness and progress in meeting program goals and objectives and in implementing Federal regulations at least once per program year. These materials, prepared by the Department of Health and Human Services, provide Head Start grant recipients with a clear and detailed walkthrough of the self-assessment process. The Head Start Self-Assessment Guide provides useful information about topics such as the importance of self-assessment, preparation, collection and interpretation of information, and ways to strengthen a program. The Guide also includes numerous self-assessment booklets to walk Head Start programs through the various stages of the self-assessment process.
The Head Start Self-Assessment Materials are available at: http://www.headstartinfo.org/self_assessment/table_of_contents.htm
Legal Compliance
CAPLAW Legal Liability Audit for Community Action Agencies
The CAPLAW Legal Liability Audit is designed to help CAAs identify and reduce potential legal risks. It provides summaries of the law and helpful checklists on nonprofit corporate requirements, employment and personnel law, including retirement and health plan requirements, as well as Head Start and Community Services Block Grant requirements. CAPLAW often works with state CSBG offices, CAA associations and local attorneys to train CAAs on use of the audit and to help them implement the audit.
For more information on the audit, visit http://www.caplaw.org/publications.html.
State-Specific Resources
Oklahoma Association of CAAs Self-Assessment Assistance Model Systems (SAAMS)
OKACAA sponsors self-assessment teams for each agency scheduled for Head Start federal reviews for the upcoming year. The Association brings together teams of experts that include retired federal officials and CAA Head Start program managers. Using the PRISM review process, the program covers financial management, health care, mental health, disabilities, education and curriculum, program design, and management.
Information about SAAMS can be found at: http://www.virtualcap.org/cmsContent/files///OKACAA%20SAAMS.ppt