Policies 4 Camps and Boards so You can Sleep at Night GIJP Conference 2011: Leaders in the Field Natasha Dresner November 14 th, 2011

Let’s Say !  Name and Role  Camp/Organization  One challenge you’d like to address at this session

Woof! We just complete d our policy manual … Yeah- meow! So no more fighting like cats and dogs!

Hierarchy

Policies 1. Ethics and Accountability 2. Board and Board Members 3. Chief Executive 4. Finance and Investment 5. Communications 6. Committees 7. Personnel 8. Fundraising 9. Programs 10. Miscellaneous

Must Have Policies 1. Ethics and Accountability - Code of Ethics - Confidentiality - Conflict of Interest - Record Retention and Document Destruction Whistleblower - Mission and Values 2. Board and Board Members - Board Chair Job Description - Board member Agreement - Board Member Expense Reimbursement - Board Self-Assessment - Compensation of Board Members - Other Board Officer Job Description - Role of the Board 3. Chief Executive - Chief Executive Job Description - Chief Executive Performance Evaluation - Executive Compensation - Executive Transition 4. Finance and Investment - Budgeting - Capital Expenditures - Financial Audits - Financial Controls - Investments - IRS Form 990 (U.S.); T-3010 (Canada) - Reserves and Endowments - Risk Management 5. Communications - Crisis Communications - Electronic Media - Lobbying and Political activity - Media Relations 6. Committees - Advisory Council - Committee Chair Job Descriptions - Development Committee - Executive Committee - Financial Committee (Finance, Audit, and Investment) - Governance Committee - Other Common Committees 7. Personnel - Complaints - Equal Employment Opportunity - Nepotism - Performance Review - Responsibility for HR - Sexual Harassment - Workplace Environment 8. Fundraising - Board Member Fundraising - Donor Relations - Gift Acceptance - Sponsorships and Endorsements

Good News 1. Ethics and Accountability - Code of Ethics - Confidentiality - Conflict of Interest - Record Retention and Document Destruction Whistleblower - Mission and Values 2. Board and Board Members - Board Chair Job Description - Board member Agreement - Board Member Expense Reimbursement - Board Self-Assessment - Compensation of Board Members - Other Board Officer Job Description - Role of the Board 3. Chief Executive - Chief Executive Job Description - Chief Executive Performance Evaluation - Executive Compensation - Executive Transition 4. Finance and Investment - Budgeting - Capital Expenditures - Financial Audits - Financial Controls - Investments - IRS Form 990 (U.S.); T-3010 (Canada) - Reserves and Endowments - Risk Management 5. Communications - Crisis Communications - Electronic Media - Lobbying and Political activity - Media Relations 6. Committees - Advisory Council - Committee Chair Job Descriptions - Development Committee - Executive Committee - Financial Committee (Finance, Audit, and Investment) - Governance Committee - Other Common Committees 7. Personnel - Complaints - Equal Employment Opportunity - Nepotism - Performance Review - Responsibility for HR - Sexual Harassment - Workplace Environment 8. Fundraising - Board Member Fundraising - Donor Relations - Gift Acceptance - Sponsorships and Endorsements

Better News 1. Ethics and Accountability - Code of Ethics - Confidentiality - Conflict of Interest - Record Retention and Document Destruction - Whistleblower - Mission and Values 2. Board and Board Members - Board Chair Job Description - Board member Agreement - Board Member Expense Reimbursement - Board Self-Assessment - Compensation of Board Members - Other Board Officer Job Description - Role of the Board 3. Chief Executive - Chief Executive Job Description - Chief Executive Performance Evaluation - Executive Compensation - Executive Transition 4. Finance and Investment - Budgeting - Capital Expenditures - Financial Audits - Financial Controls - Investments - IRS Form 990 (U.S.); T-3010 (Canada) - Reserves and Endowments - Risk Management 5. Communications - Crisis Communications - Electronic Media - Lobbying and Political activity - Media Relations 6. Committees - Advisory Council - Committee Chair Job Descriptions - Development Committee - Executive Committee - Financial Committee (Finance, Audit, and Investment) - Governance Committee - Other Common Committees 7. Personnel - Complaints - Equal Employment Opportunity - Nepotism - Performance Review - Responsibility for HR - Sexual Harassment - Workplace Environment 8. Fundraising - Board Member Fundraising - Donor Relations - Gift Acceptance - Sponsorships and Endorsements

Great News: Policies 4 Camps and Boards 1. Conflict of Interest

Great News: Policies 4 Camps and Boards 2. Whistleblower

Great News: Policies 4 Camps and Boards 3. Record Retention & Document Destruction

Great News: Policies 4 Camps and Boards 4. Executive Compensation

A Great Start 1.Conflict of Interest 2.Whistleblower 3. Record Retention & Document Destruction 4. Executive Compensation

What’s Its Purpose? 1.Conflict of Interest - what is conflict of interest? when person can gain (be perceived to gain) a financial benefit through “insider” connections - conflict between whom and whom or what? - is it financial or non-financial in nature? - is conflict of interest good or bad? - if we have no conflict of interest, no need to have a policy! So what’s its purpose? To deal openly and fairly!

1.Conflict of Interest (cont.) 1.Signed Annual Disclosure 2.Exclusion from discussion and vote 3.Clear Process 4.Remedy

What’s Its Purpose? 2.Whistleblower - who is a “whistleblower”? person who reports alleged unacceptable or illegal activity to organization’s leadership - is it financial or non-financial in nature? - if we have a whistleblower policy, do we need a sexual harassment policy too? So what’s its purpose? To encourage reporting of violations by protecting a “whistleblower” from retaliation and to comply with Federal Law.

2.Whistleblower (cont.) 1.Signed Policy 2.Confidential Reporting Mechanism 3.Well Organized Investigation Process 4.Remedy

What’s Its Purpose? 3. Record Retention & Document Destruction - what records and documents are we talking about? - document management vs. retention and destruction - should you just hold on to everything “forever”? - history and continuity vs. law - what is “legal hold”? So what’s its purpose? To effectively manage, properly dispose and retain documents, and to comply with state charitable and federal laws.

File Category ItemRetention Period Corporate Records Bylaws and Articles of IncorporationPermanent Corporate resolutionsPermanent Board and committee meeting agendas and minutes Permanent Conflict-of-interest disclosure forms4 years Finance and Administra tion Financial statements (audited)Permanent Auditor management lettersPermanent Payroll recordsPermanent Journal entriesPermanent Bank deposits and statements7 years Investment manager correspondence7 years Equipment files and maintenance records7 after end of benefits Contracts and agreements 7 after end of benefits Investment manager contracts7 after end of benefits Correspondence — general3 years Insurance Records Policies — occurrence typePermanent Policies — claims-made typePermanent Accident reports7 years Fire inspection reports7 years Safety (OSHA) reports7 years Claims (after settlement)7 years Group disability records7 after end of benefits

What’s Its Purpose? 4. Executive Compensation - who and what is this policy about? “reasonable compensation” of E.D. - an amount as would ordinarily be paid for like services by like enterprises under like circumstances - is the E.D.’s salary private or public info? - salary comparison: is the issue “too much” or “too little”? - how does it affect other employees? - when do you use this policy? So what’s its purpose? To prevent excess and ensure fair compensation

4. Executive Compensation (cont.) 1. Clear Process 2. Safe Harbor Requirements 3. Appropriate Expertise 4. Good Source of Information

15 minutes to Work in Small Groups  4 small groups (each takes on one policy)  each group assigns:  a secretary (record the key ideas on a flip chart)  a presenter (3 min. presentation to the whole group)  a time keeper

1. Has the issue covered by this policy ever presented itself at our organization? Give examples. – 3 min 2. What are the key elements this policy should have? – 8 min 3.Who should be involved in the creation and implementation of the policy and in what roles? – 4 min Questions

Make Sure Policies are Followed 1.Policies, too, are about MISSION, VISION, VALUES 2.Legal Expertise on the Board 3.Competent Executive 4.Annual Policy Revision 5.Sharing the Work Appropriately: - Staff Policies vs. Board Policies - Task Force or a Committee 6.Form 990/ T Policy Manual - make it part of the Board Manual - and Board orientation

Materials/2011-Workshops.aspx

Policies 4 Camps and Boards so You can Sleep at Night GIJP Conference 2011: Leaders in the Field Natasha Dresner November 14 th, 2011