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Board Governance and Best Practices Checklist

Best Practices Audit – Board Governance

Client
Organization
Date
MM slash DD slash YYYY
Mission and Vision
1. Is the current mission statement appropriate and relevant?
2. Does the organization have a clearly articulated 5- or 10-year vision?
3. Has the organization developed clearly articulated values or guiding principles?
4. Does the board play a role in developing and regularly reviewing the organization's mission, vision and values?
5. Are the mission, vision and values used to drive decisions?
Bylaws and Other Governance Policies
6. Does the board have written bylaws in place which are accessible to all and to which the group adheres?
7. Does the board review the bylaws periodically and ensure adherence?
8. Has the board adopted a Conflict of Interest Policy providing for the disclosure of potential conflicts and requiring board members to abstain from voting?
9. Has the board adopted a Code of Ethics that establishes the standards of conduct for board and staff?
10. Has the board adopted policies for effective governance such as how meeting agendas are established and processes for decision-making?
11. Are the board's policies easily referenced by all?
12. Do the bylaws or governance policies provide for limited terms for board members and officers?
13. Do the bylaws or governance policies provide a process to make nominations and board appointments?
14. Do the bylaws or governance policies provide a process for removing a board member when necessary?
15. Do the bylaws or governance policies provide a clear process for handling urgent matters between meetings?
Board Roles and Responsibilities
16. Are the responsibilities of board members clearly spelled out in a board member position description?
17. Do all board members demonstrate understanding of and embrace their role as trustees of a nonprofit fiscally responsible to the public and to donors?
18. Are all board members willing to participate in governance; that is, in making policy-related decisions that guide programs and operational activities?
19. As a matter of policy, do all board members demonstrate support for the organization's mission?
20. Do all board members annually self-evaluate their own performance as board members?
Board and Committee Structure
21. Are the structure and responsibilities of each committee clearly outlined in written policies?
22. Are the board committees active and responsible for the work in their area?
23. Do all committees, including an Executive Committee, report their activities to the board?
24. Do committee assignments reflect interests and skills of board members?
25. Does the committee structure contribute to effective board governance and decision-making?
26. Are board and staff roles with respect to committee work written, clearly understood and respected by all?
Board Culture and Group Dynamics
27. Is diversity of thought specifically encouraged among board members?
28. Is adequate time given for free and full discussion of important matters?
29. When a difference of opinion emerges, is the matter resolved in a way that demonstrates respect for all?
30. Are the talents of board members used effectively? Do board members enjoy the work/find it meaningful?
31. Do board members communicate with each other in a way that builds trust and teamwork?
32. Does the board have an annual retreat? Is it well-attended?
Board Composition and Development
33. Is the board comprised of individuals with the requisite skills, characteristics, interests and experiences to perform the board's function?
34. Does the board composition represent the diversity in the community in terms of gender, race, age, geographic distribution and stakeholder interests?
35. Does the board have enough productive members to effectively govern and fulfill its responsibilities?
36. Does the board participate in identifying its board development needs and recruiting potential board members who might meet those needs?
37. Does each new board member receive a board-led orientation to the organization including its policies, board member expectations, practices and history?
38. Do board members participate in regular self-assessment of the board's governance function?
Board Culture and Group Dynamics
39. Are meeting agendas and supporting materials provided to all board members prior to each meeting?
40. Are all board members prepared for each meeting?
41. Are board meetings well-attended?
42. Is there a written attendance policy for board meetings with stated consequences for excessive absenteeism?
43. Are minutes prepared for each meeting which are approved by the board and held in a central location as the corporate record?
44. Are board meetings focused on policy, planning, evaluation, fiscal responsibility and other important long-term matters rather than day-to-day operations?
45. Does the board chair effectively facilitate to keep each meeting on track and allow for full discussion of important matters?
46. Are board meetings productive, making good use of board member time?
47. Does everyone leave board meetings with a clear understanding of what has been decided and what will happen next?
48. How can the board improve in the area of board governance?

Best Practices Audit - Finance and Legal Matters

Client
Organization
Date
MM slash DD slash YYYY
Compliance with State and Federal Laws
49. Does the board have a legally-registered statutory agent and a current certificate of continuing existence from the Ohio Secretary of State?
50. Does the board review and certify the accuracy of the IRS 990 (tax return form) each year before it is filed?
51. Is the organization properly registered with the Ohio Attorney General's office and up to date with filings?
52. Does the board conduct a periodic review of its compliance with federal and state laws?
53. Does the board carry and review its general liability and Directors and Officers' liability insurance policies?
54. Is the board aware of and in compliance with laws governing legislative advocacy and lobbying?
55. Has the board adopted a legally-compliant Document Retention and Destruction Policy?
Budgeting and Financial Oversight
56. Does the board establish an annual budget that reflects the organization's priorities, goals and values?
57. Is the budget thoroughly discussed by the board before it is adopted?
58. Does the board regularly review financial reports (Profit & Loss Statements/Balance Sheet) that are timely, understandable, and support fiscal decision-making?
59. Is the treasurer or another board member actively involved in preparing financial reports for the board?
60. Does the board discuss discrepancies between the approved budget and actual income or spending?
61. If a board member is concerned about something in the financial reports, could he or she speak up?
Audits
62. (Organizations with annual income above $300,000) Does the board require and review an annual audit by an external accounting firm?
63. Does the board follow any recommendations in the management letter accompanying the external audit?
64. (Organizations with less annual income) Does the organization have a policy in place to provide for an internal audit performed by board members who do not ordinarily have access to financial records and accounts?
Financial Policies and Procedures
65. Does the organization have and follow written financial management policies addressing internal controls, monitoring, whistleblowing and investments?
66. Are the organization's financial policies regularly reviewed and approved by the board?
67. How can the board improve in the area of Finance and Legal Matters?

Best Practices Audit -Management and Leadership

Client
Organization
Date
MM slash DD slash YYYY
Board-CEO Relationship
68. Does the board provide clear goals, expectations and identified performance indicators for the CEO?
69. Does the board provide adequate resources and authority as needed to achieve goals and meet stated expectations?
70. Is there a climate of mutual trust and respect between the board and CEO?
71. Do board members understand that only the board as a whole or a board designee can direct the CEO?
72. Does the board provide a regular performance evaluation of the CEO?
73. Are the distinct roles and responsibilities of the board and CEO understood and respected by all?
74. Does the board allow and provide the CEO professional growth and development opportunities?
Change Management
75. Is leadership open to new ideas that emerge from board members, staff, customers or other stakeholders?
76. When a major change is underway, does the organization put a written plan in place?
77. Does the organization take time to celebrate short-term victories associated with long-term change efforts?
78. Does the organization take steps to embed changes in the organization's culture?
Leadership Development and Training
79. Is there a regular process in place for veteran board members to mentor newer board members?
80. Do board members engage in regular opportunities to participate in training and ongoing education?
81. Does the board regularly review its leadership needs and develop new board members to fill those roles?
Leadership Transitions and Succession Planning
82. Is there a written succession plan in place for the CEO?
83. Are there written succession plans in place for the board's leadership positions?
84. How can the organization improve the area of Leadership and Management?

Best Practices Audit – Planning and Evaluation

Client
Organization
Date
MM slash DD slash YYYY
Strategic Planning
85. Does the organization have written documents that clearly describe the organizations' mission, strategic vision, long-term and short-term goals, and action steps?
86. Did the board take an active role in crafting the strategic plan?
87. Does the plan outline specific objectives for the board, board officers and committees, as well as staff?
88. Does the board regularly review the progress on the stated goals, and make adjustments as needed?
89. Is the board able to use the strategic plan as a tool for assessing the performance of the CEO?
90. Is the CEO able to use the strategic plan as a tool for assessing the performance of the staff?
Program Planning and Logic Models
91. Are those responsible for program planning utilizing logic models to assess existing resources and develop desired outcomes and performance measures?
92. Is program planning based on assessment of needs for people served or the community?
Program Evaluation and Outcome Measurement
93. Are the organization's measures for successful programs, services and operations clear to everyone?
94. Does the board review outcomes data and performance measures to ensure effectiveness and efficiency of programs and make changes accordingly?
95. Does the board have information, in addition to staff reports, by which to evaluate program effectiveness?
96. How can the organization improve in the area of Planning and Evaluation?

Best Practices Audit – Human Resources

Client
Organization
Date
MM slash DD slash YYYY
Position Descriptions
97. Are there written job descriptions for the CEO and other staff that clearly spell out their responsibilities?
98. Do all staff members have access to an up-to-date job description outlining their key responsibilities?
99. Is there a process in place for regularly reviewing and updating the CEO and staff position descriptions?
Employment Manual
100. Has the board adopted an Employment Manual including staff selection, training, promotion, compensation and grievance procedures?
101. Do all staff have access to up-to-date copies of the Employment Manual?
102. Are comprehensive personnel files maintained in a secure, legally-compliant manner?
103. Has the board defined its philosophy of progressive discipline and other important HR matters?
Compensation
104. Does the board regularly review and update the salary and benefits packages of the CEO and employees?
105. Does the board review contracts and performance of independent contractors employed by the organization?
Performance Evaluation
106. Does the board provide a written performance evaluation to the CEO at least annually?
107. Do all staff members receive written performance evaluations by the CEO annually?
108. Are performance evaluations based on clearly identified expectations spelled out in strategic and program plans, the Employment Manual, and positiion descriptions?
109. How can the organization improve in the area of Human Resources?

Best Practices Audit – Volunteers

Client
Organization
Date
MM slash DD slash YYYY
Policies and Planning
110. Does the organization have strategies and infrastructure for mission-driven volunteer engagement?
111. Does the organization have comprehensive policies in place governing volunteers and their activities?
112. Does the organization have a risk management policy?
113. Does the organization carry sufficient liability insurance to cover volunteers?
114. Does the organization's budget contain sufficient resources for developing and supporting volunteers?
Recruitment and Screening
115. Does the organization have a strategy for outreach and volunteer recruitment to sustain ongoing volunteer engagement?
116. Does the organization have a plan for screening, selecting and matching volunteers?
117. Does the organization conduct background checks on volunteers who handle money or who are around vulnerable people (children, elderly, disabled, etc.)?
118. Does the organization have a method to match volunteers to the most appropriate role?
Training and Retention
119. Has the organization developed a curriculum/manual for training volunteers on their respective roles?
120. Has the organization equipped volunteers to work with each other?
121. Does the organization clarify roles, re-train and support volunteers throughout their service tenure?
122. Does the organization's leadership demonstrate commitment to volunteer engagement by dedicating sufficient resources (time, money, people, tools)?
123. Does the organization invite dialogue with volunteers?
Tracking and Evaluation
124. Does the organization have a method to track the outputs and outcomes of volunteer or contributions?
125. Does the organization monitor the quality of the volunteer experience?
126. Is the organization able to articulate volunteer contributions and impact?
127. How can the organization improve in the area of Volunteers?

Best Practices Audit – Fundraising

Client
Organization
Date
MM slash DD slash YYYY
Board Involvement
128. Are all board members actively involved in securing adequate financial resources to fund the budget?
129. Does the board understand and support the organization's income strategies?
130. Is there a written agreement concerning any expection that board members contribute financially?
Fundraising Planning
131. Does the organization have a written plan for fundraising that outlines roles and responsibilities of board, staff and volunteers?
132. Does the organization have a written plan in place that outlines which fundraising methods the organization will use (and not use) in a given year, including event, mail, major donor, grantwriting, social media, etc.?
133. Does the organization have a written plan in place that provides for regular, renewable sources of unrestricted income to support operations?
134. Does the organization's budget provide sufficient resources for fundraising (printing, mail, events, etc.)?
Databases and Information Management
135. Does the organization have a secure contact management system for donors/potential donors?
136. Do all board members participate in providing updated information for donors/potential donors?
137. Does the organization know where to find donor and grantmaker information?
Campaigns and Gift Acceptance
138. Are board members aware of grants received, any stipulations, restrictions or requirements in the award contract and how the funds are tracked in the financials?
139. Do board members know how gifts can be received (cash, checks, online, stocks, property, estate plans, etc.)?
140. Does the organization use technology (website and social media) to ask for and receive donations?
141. Does the organization regularly solicit donations from board members, staff, volunteers and members?
142. How can the organization improve in the area of Fundraising?

Best Practices Audit – Technology

Client
Organization
Date
MM slash DD slash YYYY
Computers and Equipment
143. Does the organization have the ability to use functioning computers that are basically up to date?
144. Does the organization have a regular and reliable process for backing up computer records?
145. Does the organization have reliable access to the internet?
146. Does the organization use computer software (Excel, QuickBooks) to keep financial records?
147. Does the organization have software to record the types of services provided to individuals/families?
148. Does the organization have software to record individual or families enrolled/served through programs as well as client outcomes?
149. Does the organization have software capable of keeping track of donors, members and volunteers?
150. Is the organization's electronic records, including email, addressed in a Document Retention and Destruction Policy?
Specific Tools
151. Does the organization make use of Web 2.0 tools such as Google Drive and Trello for sharing documents internally?
152. How can the organization improve in the area of Technology?

Best Practices Audit – Marketing and Pulic Relations

Client
Organization
Date
MM slash DD slash YYYY
Public Relations
153. Do board members positively represent the organization in the community?
154. Does the organization publish an annual report?
155. Does the board regularly review the organization's marketing and PR position and strategy and make adjustments as needed?
Branding and Storytelling
156. Has the organization discussed branding and ways to implement your brand across media platforms?
157. Is the organization adept at telling its story?
158. Does the organization make use of a unique logo and other visual elements on all printed and online materials?
159. Does the organization have clear text (consistent message) that is used on all printed and online materials?
160. Does the organization have a simple tagline that tells all who see or hear it exactly what your group does?
161. Does the organization have pictures or simple informational graphics that tell the story of what you do?
Website and Social Media
162. Is there an easy-to-use "Donate" button clearly visible on every page of your website?
163. Is the organization using multiple forms of social media?
164. Is the organization using social media consistently according to a set editorial calendar for posting?
165. Does the organization have a policy on use of social media that outlines who may post on behalf of the organization?
166. How can the organization improve in the area of Branding and Media?

Technical Assistance Requests

MEL Cohort Applicants

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Volunteer Entries

Volunteer Activity

A internal form to track volunteer activity at The Center for Nonprofit Resources

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First Last
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Date
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Forms

Best Practices Audit – Board Governance

Mission and Vision

Bylaws and Other Governance Policies

Board Roles and Responsibilities

Board and Committee Structure

Board Culture and Group Dynamics

Board Composition and Development

Board Culture and Group Dynamics

Best Practices Audit - Finance and Legal Matters

Compliance with State and Federal Laws

Budgeting and Financial Oversight

Audits

Financial Policies and Procedures

Best Practices Audit -Management and Leadership

Board-CEO Relationship

Change Management

Leadership Development and Training

Leadership Transitions and Succession Planning

Best Practices Audit – Planning and Evaluation

Strategic Planning

Program Planning and Logic Models

Program Evaluation and Outcome Measurement

Best Practices Audit – Human Resources

Position Descriptions

Employment Manual

Compensation

Performance Evaluation

Best Practices Audit – Volunteers

Policies and Planning

Recruitment and Screening

Training and Retention

Tracking and Evaluation

Best Practices Audit – Fundraising

Board Involvement

Fundraising Planning

Databases and Information Management

Campaigns and Gift Acceptance

Best Practices Audit – Technology

Computers and Equipment

Specific Tools

Best Practices Audit – Marketing and Pulic Relations

Public Relations

Branding and Storytelling

Website and Social Media

Volunteer Activity