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Do It Yourself(DIY):Self Assessing Management & Governance of Non Profit Organisations Albert Kuruvila Lecturer & PhD Candidate University of Waikato New.

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Presentation on theme: "Do It Yourself(DIY):Self Assessing Management & Governance of Non Profit Organisations Albert Kuruvila Lecturer & PhD Candidate University of Waikato New."— Presentation transcript:

1 Do It Yourself(DIY):Self Assessing Management & Governance of Non Profit Organisations Albert Kuruvila Lecturer & PhD Candidate University of Waikato New Zealand Better Board Conference-July 28,2012

2 Significant Issues challenging the Non profit sector Financial management-funding, fundraising, balancing income & expenditure Relationship with government Retaining and motivating staff & volunteers The role of the board & governance issues Compliance with financial reporting standards Impact of IT/Internet environment-website management, social netwoking and maintenance issues

3 Significant Issues contd… Risk management & recovery plans-disasters and economic crisis Demand for the services Fraud activities Compromising organisational vision/mission with contractual obligations Legal responsibilities & awareness Quality of service delivery Transparency & accountability demands from public, government and other donors

4 Why we should assess our practices? To ensure EFFICIENCY-How are we doing things- minimum input, maximum out put?- Process To ensure EFFECTIVENESS-Are we really making changes- Results Accountability and Transparency obligations Good governance and proper management are the key for efficiency and effectiveness

5 Why-Accountability Dimensions Sl.NoWhomWhat 1SelfTo values, ethics and philosophy 2PeopleTo impact on the quality of the life of the poor/disadvantaged 3OrganizationTo the internal by-laws, structures & systems 4DonorTo the terms of mutual partnership agreements 5GovernmentTo laws, rules and regulations of the state and central governments

6 What we should assess???? Governance & Leadership- Board, CEO, Policies & procedures Strategic planning & management-Vision, Mission, Objectives, Values, Culture Service delivery & Quality assurance-Programme planning, implementation and evaluation- Project management Legal responsibilities & awareness Human resource development & management-paid staff, volunteers-recruitment, development and retention Systems, asset & office management- IT, procedures Financial management-planning,budgeting, fund raising, accounting, reporting, auditing, controlling,investments and compliance Stakeholder/relationship/partnership management

7 How to assess???-A Health Check-up? Defining standards and success for NPOs is difficult No uniform successful practices Needs, circumstances and aspirations of individual organisations are different They are not only varying from industry to industry, but also within same industry But the key aspects of good practice are the same for most organisations Self assessment tools are based on these good practices Different organisations have developed different tools and should be used differently as these may reflect regional/national circumstances( Eg; financial reporting, charity commission etc)

8 How to do a health check-up Health check-up is about measuring how well our organisations are doing and also assessing the risk level The good practices are identified as statement of best practices defined in a five –point scale or with 3-4 options for the organisations to rate their performance The statements can also be rated on its prominence as Essential, Recommended & Additional Scale Score- 0-Never, 1- Rarely, 2- Sometimes, 3- Most of the time, 4- Always (% - 0, 25,50,75,100)

9 Some available tools Checklist of Non Profit Organisational indicators edited by Carter McNamara published by Greater Twin Cities United Way, USA Self Assessment Tool for organisations edited by Fay Freeman and Sandy Thompson under SCOPE project, New Zealand,2005 Financial health checklist published by Mango,UK,2009 A Handbook of NGO Governance by Marilyn Wyatt published by the European Centre for Not-for-Profit Law,Hungary,2004 Organisational management checklists published by NGO management association,Switzerland

10 A Sample- Governance

11 Sample : Strategic Planning Ref No RatingSTATEMENT OF BEST PRACTICESCORE N/ A Unsure 43210 C1 E The strategic planning exercise of the organisation involves all staff and board members with either an internal or external facilitator. C2E The organisation forms or reviews its mission statement based on a detailed analysis of its external environment and internal competency. C3R The written vision statement reflects the desired state of the change agreed by all members of strategic planning exercise to see in the community. C4RThe mission statement provides a time frame and the strategies to achieve the mission C5E The objectives of the organisation ensure that the organization's purpose and activities meet community needs. C6R The organisation ensures that, by soliciting community input, its mission and activities provide benefit to the community in the strategic planning process. C7E The board and staff have developed and adopted a written strategic plan to achieve the mission in the form of annual plans till the next round of strategic planning process C8A The strategic plan establishes an evaluation process and performance indicators to measure the progress toward the achievement of goals and objectives. C9A Through work plans, human and financial resources are allocated to ensure the accomplishment of the goals in a timely fashion. C10RThe plan is communicated to all stakeholders of the agency -- service recipients, board, staff, volunteers and the general community.

12 Sample: Service delivery & Quality assurance Ref NoRatingSTATEMENT OF BEST PRACTICESCOREN/AUnsure 43210 D1EThe annual planning exercise is conducted by the staff under the guidance of the executive director. D2E The annual planning exercise begins with the review of the last year’s performance and finishes with the plan for the next year. D3R The organisation uses national and international research to keep up-to-date with the latest developments in the sector for the particular community needs the organisation is addressing in its annual planning. D4A The annual planning document clearly identifies the services, projects, budget and human and financial resources to meet the programme objectives. D5AClients and potential clients have the opportunity to participate in program development. D6R Output, outcome, impact, efficiency and quality of each programme are predicted and performance measures are developed to verify them well in advance. D7R The planning gives adequate attention in matching the work to be done and the competency to do the work in terms of staff training and capacity building D8R The organisation develops a service delivery plan with time frame for each of its programmes to track its progress D9RThe organisation provides necessary training for the staff to implement new programmes. D10E The organisation conducts periodic monitoring of each programme to ensure its effectiveness and efficiency D11EThe organisation evaluates each programme to establish its outcome and impact and complies with all internal and external reporting requirements

13 Sample: Human Resource Management Ref No RatingSTATEMENT OF BEST PRACTICESCORE N/ A Unsure 43210 E1EThe organization follows non-discriminatory hiring practices. E2R The organisation recruits staff through a competitive recruitment process developed and guided by HR professional. E3E The organization has job descriptions, including qualifications, duties, reporting relationships, key indicators of performance and review. E4R The organization provides a copy of or access to the written personnel policy to all members of the board, the Executive Director and all staff members. All staff members acknowledge in writing that they have read and have access to the personnel handbook/policies. E5R The organisation provides an induction programme to its entire new staff in terms of vision, mission, policies and procedures. E6E The organization requires employee performance appraisals to be conducted and documented at least annually. E7R The organization has a compensation plan, and a periodic review of salary ranges and benefits is conducted. E8A The organisation has a systematic method for the assignment of new or existing staff members to specific jobs. E9R The organization has a timely process for filling vacant positions to prevent an interruption of program services or disruption to organization operations. E10AThe organization has a process for reviewing and responding to ideas, suggestions, comments and perceptions from all staff members.

14 Sample: Office Management Ref No RatingSTATEMENT OF BEST PRACTICESCORE N/ A unsure 43210 F1R Information systems are in place, providing secure, timely, accurate and relevant information to all relevant staff F2R The website of the organisation is managed by an appropriate qualified or experienced person /firm. F3E Computer systems (including email) are adequate and effective and there are regular backup systems in place. F4R All staff members are aware of the organisation’s information systems, are knowledgeable in their use, and make use of them as needed. F5AThe manager holds regular staff meetings in groups or as individuals F6AEach staff meeting has agenda and minutes for the same F7EThe organisation has a policy on keeping private information according to Privacy Act (1993) and is explained to the clients

15 Sample: Financial Management Ref No RatingSTATEMENT OF BEST PRACTICESCORE N/ A Unsure 43210 G1EThe organisation follows accounting practices which conform to accepted standards G2RBoth finance and programme staff are involved in setting budgets G3E The annual budget includes programme costs, administrative costs, personnel costs and overheads.This budget is reviewed and approved by board of directors. G4EThe organisation prepares cash flow projections G6R The organisation periodically forecasts year-end revenues and expenses to assist in making sound management decisions during the year G7A Funds are raised in an ethical manner for activities consistent with the organization's mission and plan. G8R The Board of Directors and organization staff are knowledgeable about the fundraising process and the roles in the organization. G9AThe organization's Board of Directors has established a committee charged with developing, evaluating and reviewing fundraising policies, practices and goals.

16 Sample: Relationship Management Ref No RatingSTATEMENT OF BEST PRACTICESCORE N/ A unsure 43210 H1E The organisation provides background information on the NGO including vision,mission,values,legal status, operational areas and contact information to beneficiaries and other stakeholders on a regular basis H2R The organisation informs all the concerned stakeholders any significant changes to its programmes,governance,management and key contacts H3A The organisation identifies representatives of the specific groups of people which aim to help in the beneficiary community through appropriate process H4R The beneficiaries and other stakeholders have substantial influence on NGO decisions in programme planning,implementation,monitoring and evaluation H5AThe organisation documents and publicises its success stories for other NGOs for reference and adaptation

17 RESOURCES pdf – Good Governance checklist pdf Management checklists /index.htm /index.htm report-2011-2012.pdf report-2011-2012.pdf NGO training centre Research on NGO sector-

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