Urban League of Greater Hartford Board of Directors Retreat 140 Woodland Street, 4th Floor, Hartford, CT Saturday, August 27, 2022 9:00 am 1:00 pm Attire: Business Relaxed Start Time Length Activity Presenter 9:00 5 min Welcome Nicole Hughey 9:05 25 min Ice Breaker/Team Building Shornda Cadore 9:30 10 min History of the Urban League Christopher Clarke 9:40 10 min 2021-2022 ULGH Highlights/Accomplishments Laura Soll 9:50 15 min Relevance of the Affiliate National Urban League 10:05 5 min Break 10:10 10 min Governance Highlights Nicole Hughey 10:20 10 min Young Professionals Auxiliary Overview Luz Holmes 10:30 60 min Standing Committee Breakouts: ● Finance/Audit ● Marketing and Fund Development ● Nominating ● Governance Jonathan Roberts and Julia Marquis 11:30 15 min Ad Hoc Committee Group Discussion: ● CEO Performance & Compensation Committee ● Building Committee Jonathan Roberts James Michel 11:45 10 min Break 11:55 20 min Q/A and Open Discussion Shornda Cadore 12:15 10 min Board Chair Remarks Jonathan Roberts 12:25 10 min GovernanceandStrategicPlanningCommitteeChairRemarks Nicole Hughey 12:35 5 min CEO Closing Remarks David Hopkins
Herman L. Lessard, Jr. Senior Vice President
The National Urban League has always endeavored to maintain an open professional working relationship with our Affiliates. In keeping with this practice, attached are the Terms of Affiliation for your review and signature.
SUBJ:
The Terms of Affiliation requires equal responsibility between the Affiliate Board and the Affiliate CEO regarding the operation of the local Urban Affiliate to maintain compliance in keeping in keeping with the expectations of the National Urban League. This accountability allows the National Urban League Affiliate to operate in a manner based on mutual respect.
Marc H. Morial, NUL President and CEO
National Urban League Affiliates are required to reaffirm their knowledge, understanding and compliance with the Terms of Affiliation. Both the Urban League Affiliate CEO, Board Chair, and members of the Affiliate Board of Directors, along with the representatives of the National Urban League, shall review and sign the Terms of Affiliation every two (2) years and/or upon the employment of a new CEO by the Affiliate Board. Periodically, this document will be reviewed, so that all parties concerned are familiar with the guidelines for operation. This review is necessary in order to address challenges we are experiencing, especially during these changing times.
From: Herman L. Lessard, Jr., Senior Vice President, Affiliate Services National Urban League of Affiliation
The Terms of Affiliation contains an agreement to maintain and keep the Urban League brand intact and follow through with our mandates to provide direct services and advocacy, as well as activities consistent to the National Urban League’s mission, goals, objectives, and priorities. It is also imperative that each Board and CEO manage the Urban League Affiliate at a high level of professionalism, ethics and trust.
This document, along with the Affiliate Resource Manual and the National Urban League Special Instructions (NULI), act as the blueprint in operating an effective and efficient Urban League Affiliate.
Terms
Yours in the Movement,
Date: May 28 , 2019
The Terms of Affiliation must be reviewed and approved for signature by the Urban League Affiliate Board of Directors, entered into the Board of Director’s minutes and signed by the Affiliate CEO, Board Chair, and Secretary. A signed original of the Terms of Affiliation must be submitted to the National Urban League on or before Wednesday, July 31, 2019. NUL will have all responsible parties to sign on behalf of the National Urban League and return the document to each Affiliate.
CC: Michael F. Neidorff, Chair, NUL Board of Trustees
If you have any questions, please contact Herman L. Lessard, Jr., Senior Vice President, Affiliate Services, hlessard@nul.org, (212) 558.5383.
To: Urban League Affiliate CEO Urban League Affiliate Board Chair
It is important that we at the National Urban League and our Affiliates comply with all aspects of the Terms. It is the responsibility of the National Urban League, the Affiliate CEOs and the Affiliate Board to maintain an open, honest and good faith relationship, ensuring that this document is followed in such a manner that both parties are accountable for its content and requirements.
1 National Urban League Terms of Affiliation
The Movement consists of several interrelated and mutually dependent components, chief among them the National Office (referred to in this document as the National Urban League) and the Affiliates, which are independent corporations that subscribe to the policies, principles, and strategies of the Urban League Movement
Terms of Affiliation Mission
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The National Urban League is a private, nonprofit corporation with a board of trustees responsible for establishing policy and direction of the Movement. The National Urban League accomplishes its responsibilities to the Movement with the advice of Affiliate leadership. First and foremost, the role of the National Urban League is to serve, support, and develop the Affiliates.
It is through the efforts of the National Urban League and the Affiliates working in concert that the goals of the Movement are achieved.
Specifically, the National Urban League’s responsibilities to the Affiliates include, but may not be limited to, the following: Creating a structure for the governance of the Movement; Establishing terms and conditions for affiliation; Establishing for the National Office and the Affiliates’ standards and accountability, measures, and review processes sufficient to ensure fulfillment of the mission; Creating, reviewing, and revising a multi year strategic plan for NUL sufficient to achieving the mission of the Movement; Providing oversight and technical and programmatic support to Affiliates; Supporting the work of the Delegate Assembly; Establishing and maintaining the Urban League Affiliate Resource Manual, and other resources; Directing programmatic thrusts and public relations activities that reinforce the mission and image of the National Urban League Movement; Obtaining financial and other forms of support to enable the National Urban League and the Affiliates to carry out mission related work; Supporting the Affiliates in mission related activities and in developing and strengthening affiliate infrastructure and when these efforts fail; and Implementing compliance procedures to protect the brand and viability of the Movement.
The mission of the Urban League Movement is to enable African Americans to secure economic self reliance, parity and power, and civil rights.
Preamble
Section A: General Provisions
The undersigned organization in the (city, area, county or state) hereby applies for affiliation with the National Urban League and as a condition of its acceptance, agrees to the official Urban League Movement Mission Statement, the Terms of Affiliation, and Manual as established by the National Urban League and as set forth below. The applicant pledges that as a condition of becoming and/or remaining affiliated with the National Urban League and acquiring and/or maintaining its name and organizational benefits, it shall adhere, faithfully to the following requirements and standards.
Each Affiliate receiving this agreement for proper execution meets the current standards for affiliation, including compliance with the standards for the operation of affiliates as described in the Urban League Affiliate Policy, Standards and Procedures Resource Manual (the Manual) as currently revised.
3 Article 1
This agreement between the National Urban League and each local Affiliate, which application has been approved for affiliation, defines the mutual terms and conditions for affiliation. This agreement is intended to balance the interests of the National Urban League and Affiliates towards a fair and equitable provision of services to Urban League clients and constituents. Both parties will maintain standards of integrity.
Existing Urban League Affiliates shall remain in compliance with the Urban League Movement Mission Statement, the Terms of Affiliation, and Affiliate Resource Manual in order to retain their affiliation with the National Urban League, allowing for local variation in recognition of local needs and as specified in the Manual.
Section B: Application for/Retention of Affiliation
This document also defines the scope of independence for Affiliates and the limit of that independence with respect to the common goals, objectives and methods of the Urban League.
Characteristics of Urban League operation and function are the activities of professionally staffed affiliates, working in local communities in close relationship with the National Urban League. The achievement of Urban League objectives depends upon the quality of leadership available in each community and that quality is highest where self initiative is most encouraged. Autonomy must be maintained in the conduct of affiliate affairs. The effectiveness of this autonomy is enhanced by the requirement for close National local collaboration and strict adherence to the policies and standards established by the National Urban League for the Urban League Movement as a whole.
Section C: Affiliates
The sections that follow provide specific reference and detail about the role and responsibility of the National Urban League to the Affiliates and the Affiliates to the National Collectiveloffice.y,these responsibilities are intended to strengthen the ability of the Movement to empower African Americans to enter the economic and social mainstream.
I. Obligations of the National Urban League to Affiliates
Section A: Manual
Section D: Affiliate Board Leadership
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Article 2 Mutual Obligations
Preamble
The Manual, together with the Termsof Affiliation, sets forth the major expectations of the National Urban League and the Affiliates in fulfillment of the mission of the TheMovement.Affiliate Resource Manual consists of two major sections; the Core Manual and the Operations Manuals. The Core Manual consists of the Policy, Standards and Procedures Manual, which explicates and supports the Terms of Affiliation. Agreement to adhere to the contents of the Policy, Standards and Procedures Manual is part of the Terms of Affiliation. The Policy, Standards and Procedures Manual cannot be materially changed without the approval of the Delegate Assembly and the National Urban League Board of Trustees because to do so in effect modifies the Terms of Affiliation. The Operations Manuals consists of information that is critical to the operations of an Affiliate. Given the outline of the topics, changes will be made to keep the content current. Since the information in this section is not binding on the Affiliate or the National Urban League, the National Urban League can make changes after review by the appropriate stakeholder groups. The National Urban League shall
The predominant influence in Urban League effectiveness is found in the depth and quality of its board of directors, active committees and community support. This support must reflect a broad cross section of the community served by the Affiliate, including leaders in substantive areas of Affiliate priorities and programs, whose involvement will enable the Affiliate to fulfill its mission. Each Affiliate board should incorporate succession planning to ensure age, gender and ethnic diversity of the Board. Governance standards for boards of directors are delineated in the Manual.
The National Urban League shall review regular and special financial, governance, administrative and program reports received from affiliates as required in Article II, Section F and shall make recommendations where necessary. If organizational deficiencies are identified that place an affiliate’s stability, viability and/or reputation at substantial risk, the Affiliate shall implement a corrective action plan as directed by the National Urban League. The action plan shall be prepared in consultation with the Affiliate Services Department. Failure or refusal byan Affiliate to cooperate in the process does not relieve it of the obligation to comply with the plan put forth by the National Urban League.
5 provide a 90 daywritten notice to each Affiliate about program priorities or changes in factors related to standards or factors that have compliance implications for any TheAffiliate.National Urban League shall provide to Affiliates a copy of the Policy, Standards and Procedures Manual, which defines standards for structure, programs, and general affiliate operations. The set of standards for which Affiliates shall be held responsible for compliance are attached as addendum to the Terms of Affiliation as well as included in the Manual.
Section B: Technical Support
Section C: Affiliate Performance Assessment
The National Urban League shall provide technical assistance, consultation, and guidance to Affiliates for the purpose of helping them reach and maintain appropriate standards of board governance and oversight, fiscal management, resource development, strategic planning, program performance and other areas specified in the Manual and the affiliate training schedule. Affiliates shall be given a 10-business day advance notice of field visits. Special field visits may also be conducted without prior notice.
The National Urban League shall keep Affiliates informed as to actions taken by the National Urban League Board of Trustees that relates to the Urban League mission, policy and programs.
The National Urban League shall perform a complete on site programmatic, management, and administrative audit on each Affiliate no less than once every three years. The standards for each such audit contained in the addenda to the Terms of Affiliation shall empower the National Urban League to affect compliance disciplines if unmet by the Affiliate.
The National Urban League shall clearly define standards referenced in the Terms of Affiliation addendum in quantifiable metrics for local affiliates. The Manual is incorporated by reference in the Terms of Affiliation and is binding on affiliates.
The National Urban League shall define and oversee the proper fulfillment of standards for Affiliates and shall supply Affiliates with criteria for evaluation of
Section F: Board and Volunteer Orientation and Training
Section H: National Initiatives
Section D: Affiliate President/CEO Selection and Certification
The National Urban League shall develop and distribute to Affiliates material and research data that are pertinent to effective Urban League policy, advocacy, race relations and programming, as resources permit. The National Urban League shall provide Affiliates with guidance and assistance in their own research activities as specified in the affiliate training schedule.
Section E: Continuing Professional Development
The National Urban League shall provide training for affiliate board chairs as specified in the Affiliate training schedule, and as resources permit. In addition, the National Urban League shall assist Affiliates in planning and implementing training sessions for board members and volunteers. Training materials will be developed and made available to Affiliates.
Section G: Research/Policy and Advocacy
The National Urban League may undertake major initiatives and resource development projects in cooperation with Affiliates. In doing so, the National Urban League shall seek the active participation of Affiliates in the implementation of such projects, shall provide Affiliates with the standards for participation, and solicit resources for local and national implementation; and coordinate revenue sharing strategies and practices.
The National Urban League shall provide training for presidents and members of the professional staff of Affiliates. Training materials for staff members will be developed for general and special purposes and made available for Affiliates.
Affiliate operations, programs, board governance, and fiscal management and President/CEO performance. Material for this purpose is included in the Manual.
The caliber of individuals chosen to lead an Urban League Affiliate is critically important to the Affiliate, to the entire Urban League Movement and to the National Urban League. Each Affiliate shall appoint its President/CEO only from among candidates who have been certified as meeting standards set by the National Urban League as outlined in the Manual; sitting and former CEOs who wish to move to another Affiliate must go through the certification process. Continuing professional development is required to maintain certification for each President/CEO as outlined in the Manual and affiliate training schedule.
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The procedures, remedies and sanctions, which govern compliance by Affiliates with the Terms of Affiliation, should not be viewed in any way as Faithfulpunitive.andtimely compliance with the Terms of Affiliation and Affiliate Resource Manual are critical to the stability, viability and reputation of each Urban League affiliate and to the entire Urban League Movement. Therefore, the National Urban League shall implement compliance procedures as described in the Affiliate Resource Manual for failure of any Affiliate to conform to provisions of these governing documents which define the conditions under which Affiliates may qualify for and retain their affiliation with the National Urban League. Such failure may be grounds for probation, disaffiliation or other appropriate action by the National Urban League Board of Trustees provided that no disciplinary action shall be taken or imposed until an opportunity is granted to an Affiliate to correct in a timely fashion the deficiency upon which disciplinary action was based. In the event of disaffiliation, the former Affiliate shall promptly cease to use in any way the phrase “Urban League” or brand service logo as part of its name or in connection with its operation.
Section I: Public Relations and Communications
The National Urban League shall be responsible for providing information and advice to Affiliates to assist them in interpreting the Urban League Movement to the general public. On issues of national concern, the National Urban League shall be the national voice for the Urban League Movement. The National Urban League shall provide suggestions and assistance, to Affiliates in connection with their own public relations and communications, as resources permit.
The National Urban League must maintain the capacity, as resources permit, to fulfill the responsibilities specified in the Terms of Affiliation. The National Urban League shall make the obligations of service to Affiliates a top budget priority.
The relationship between the National Urban League and its Affiliates as governed by the Terms of Affiliation and the Affiliate Resource Manual is based upon the principles of mutual accountability and cooperation at all organizational levels. A respectful and healthy relationship between the National Urban League and its Affiliates requires mutual trust and support. The principles of compliance and due process applicable to both the National Urban League and its Affiliates are designed to insure the ability of each party to successfully fulfill its respective responsibilities.
With regard to matters of due process, the Affiliate shall first raise the issue in writing, by registered mail, with the Affiliate Services Department. If the issue is not resolved within 90, days then the Affiliate shall bring its concerns to the Board of Trustees for resolution through the Affiliate Services Committee. Any appeal from an Affiliate shall be heard by a committee comprised of members of whom fifty percent (50%) are stakeholder members. The Manual shall describe
Section J: Compliance and Due Process
Section C: Corporate Status and Principles of Operation
Each Affiliate shall operate its program and operations consistent with non profit management and IRS fiscal standards for 501(c) (3) organizations.
Each Affiliate shall obtain prior agreement from the National Urban League as described in the Affiliate Resource Manual in order to modify in any way its name or the geographical area that it serves.
II. Obligations of Affiliates to the National Urban League
Section A: Name
Each Affiliate is required to maintain tax-exempt status under section 501(c) (3) of the federal tax laws as a separate nonprofit corporation in good standing in its state of incorporation and provide evidence of such to the National Urban League. Each affiliate shall show evidence annually to its board and the National Urban League that its local, state, and federal corporate status is up to date.
Each Affiliate, in cooperation with the National Urban League, shall operate its programs in keeping with the policies, standards and objectives of the Urban League Movement as described in these Terms of Affiliation, the Affiliate Resource Manual and related documents. Each affiliate shall accept and utilize the guidance and consultation, relating to any such policies, standards, and objectives, as shall be set forth by the Board of Trustees of the National Urban League. The Affiliate will implement corrective action plans as outlined by the National Urban League.
Affiliate by laws, approved by the Affiliate Board, shall conform to the prototype by laws found in the Manual.
8 the compliance processes, procedures and consequences, and the appeals process.
Section B: Geographic Area
Each Affiliate shall be known as "The Urban League of (name of city, area, county or state)" or "The (name of city, area, county or state) Urban League." It shall be required to carry this title on its letterhead and all official documents and shall also carry the phrase, "affiliated with the National Urban League."
Each Affiliate shall remain compliant with the official Urban League Movement Mission Statement, Terms of Affiliation and the Affiliate Resource Manual in order to retain affiliation with the National Urban League, allowing for local variation in recognition of local needs and as specified in the Affiliate Resource Manual.
Section D: By-Laws
any assistance provided by the National Urban League to any Affiliate, all persons employed or utilized by the Affiliate in the performance of its responsibilities under these Terms of Affiliation shall be and remain employees of the Affiliate and shall not be employees, general, special or otherwise, of the National Urban League. The Affiliate alone shall be responsible for all acts or omissions of said employees.
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Section F: Reports
It shall be the obligation of each Affiliate to keep the National Urban League fully informed of its activities and issues of critical local importance. Each Affiliate shall furnish the National Urban League with reports as defined in the Affiliate Resource Manual describing its ongoing program. Each Affiliate shall supply the National Urban League with a copy of its strategic plan, board and committee minutes, annual meeting minutes, listing of subsidiary and joint venture projects, approved annual budget; annual audit and management letter (including A 133 Single Audit where applicable) and 990 return; monthly financial statements submitted through the Affiliate Data Management System (ADM); verification of monthly bank reconciliation; annual description of existing internal controls for funds and assets; quarterly verification of adequate and timely withholdings and remittance of FICA, federal, state and local payments, including the Form 941 and applicable state and local returns; required funding of pension plan; and other fiscal reports, personnel or program information as requested and specified in the Manual. The National Urban League shall notify affiliates of receipt and adequacy of reports within 60 days. The President/CEO performance appraisal should be forward directly to the SVP, Affiliate Services.
Section G: Performance Assessment Affiliate Performance Assessment:
Section E: Affiliate President/CEO Selection and Certification
The National Urban League will supply affiliates with criteria for evaluation of affiliate operations, programs, board governance, and fiscal management and President/CEO performance. Material for this purpose will be included in the Affiliate Resource Manual. In cooperation with the National Urban League, each affiliate shall participate in assessments as to its affiliate operations, programs
Each Affiliate shall appoint its President/CEO only from among nominees who have been certified as meeting standards set by the National Urban League as outlined in the Affiliate Resource Manual; and sitting and former CEOs who wish to move to another affiliate must go through the certification process. Continuing professional development is required to maintain certification for each President/CEO as outlined in the Affiliate Resource Manual and affiliate training Notwithstandingschedule.
Each Affiliate shall allocate budgetary resources to participate in the continuing professional development opportunities provided by the National Urban League in the form of periodic institutes and workshops for affiliate staff.
Each Affiliate shall utilize the orientation and training materials provided by the National Urban League. Continuing professional development is required to maintain President/CEO certification and as specified in the Manual.
Section M: National Initiatives
Section N: Delegate Assembly
Section L: Continuing Professional Development
National Urban League Performance Assessment: Through the Programs and Affiliates Committee, the National Urban League shall undertake an annual performance assessment by surveying member affiliates seeking quantitative and qualitative feedback on the extent to which the National Urban League has fulfilled its obligations to affiliates. In strict confidence, the results shall be reported to the National Urban League Board of Trustees and appropriate stakeholder groups for their exclusive use.
Each affiliate shall cooperate as resources permit in such major initiatives and projects, as may be developed by the National Urban League. Affiliates may not engage in activities and projects that jeopardize the fiscal solvency of the affiliate. Specific guidelines are included in the Manual.
Each Affiliate shall ensure that the structure and composition of its board of directors is compliant with the governance standards specified in the Terms of Affiliation and the Manual.
Each Affiliate shall be required to pay annual dues to the National Urban League, the amount to be determined by the Delegate Assembly. Dues payments shall be made monthly, quarterly, or annually.
Each new Affiliate shall be required to pay a non refundable processing fee and an affiliation fee as defined in the Affiliate Resource Manual and Guidelines for New Affiliate Development.
Section K: Annual Dues
10 board governance, and fiscal management and the President/CEO’s performance, in terms of criteria established in the Manual no less than once every three years.
Section H: Board Leadership
Section J: Affiliation Fee
With regard to matters of due process, the Affiliate shall first raise the issue in writing, by registered mail, with the Affiliate Services Department. If the issue is not resolved within 90 days, then the Affiliate shall bring its concerns to the Board of Trustees for resolution through the Affiliate Services Committee.
In the event of disaffiliation, the former Affiliate shall promptly cease to use in any way the phrase “Urban League” or brand service logo as part of its name or in connection with its operation.
Section O: Other Affiliations
Section P: Compliance and Due Process
Each Affiliate shall obtain prior written approval from the National Urban League in order to materiallychange its legal status as an independent affiliate of the National Urban League.
The relationship between the National Urban League and its Affiliates, as governed by the Terms of Affiliation and the Affiliate Resource Manual, is based upon the principles of mutual accountability and cooperation at all organizational levels. A healthy relationship between the National Urban League and its Affiliates requires mutual trust and support. The principles of compliance and due process applicable to both the National Urban League and its Affiliates are designed to insure the ability of each party to successfully fulfill its respective responsibilities. The procedures, remedies and sanctions, which govern compliance by affiliates with the Terms of Affiliation, should not be viewed in any way as punitive.
Faithful and timely compliance with the Terms of Affiliation and Affiliate Resource Manual are critical to the stability, viability and reputation of each Urban League Affiliate and to the entire Urban League Movement. Therefore, the National Urban League shall implement compliance procedures as described in the Affiliate Resource Manual for failure of any Affiliate to conform to provisions of these governing documents which define the conditions under which affiliates may qualify for and retain their affiliation with the National Urban League. Such failure may be grounds for probation, disaffiliation, or other appropriate action by the National Urban League Board of Trustees provided that no disciplinary action shall be taken or imposed until an opportunity is granted to an Affiliate to correct in a timely fashion the deficiency upon which disciplinary action was based.
In accordance with the procedures described in the National Urban League By laws, each Affiliate in good standing as defined in the Manual, shall annually select four affiliate delegate members to the Urban League Delegate Assembly and notify the National Urban League of such action. Each affiliate shall have one vote at the Delegate Assembly Meeting. It shall be the responsibility of each affiliate to keep its delegate and alternate delegate affiliate members fully informed and instructed so it can be properly represented in the deliberations of the Delegate Assembly.
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12 The Affiliate Resource Manual shall describe the compliance processes, procedures and consequences, and the appeals process. Affiliate (Name of Affiliate) by…………………………………………………………………………………………... (Affiliate Board Secretary) ……………………………………………………………………………………………… (Affiliate President and CEO) National Urban League Recommended by………………………………………………………………………... (National Urban League Senior Vice President, Affiliate Services) Approved by………………………………………………………………………………. (National Urban League President and CEO) For the Board……………………………………………………………………………... (National Urban League Board of Trustees Chair) ………….………………………………………………………………………………….. (National Urban League Board of Trustees Secretary) (1/2020) Urban League of Greater Hartford
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 1 Criteria, Standards and Indicators Criteria I: Organizational Soundness Affiliates are governed by an elected volunteer board of directors that should consist of individuals who are committed to the mission of the organization. An effective affiliate board determines the mission of the organization, establishes management practices, policies and procedures, assures that adequate human resources (volunteer and paid staff) and financial resources are available, and actively monitors the organizations financial and programmatic performance. Administration and Governance Standard 1 The affiliate board ensures that the affiliate’s policies, standards, practices, and procedures are in compliance with the policies and standards of the National Urban League Indicators of Effectiveness 1.1 Does the Affiliate’s Bylaws include all of the following items? Yes No • A minimum requirement of at least 5 Board members? X • Requirement of a quorum to transact business? X • How and when notices for Board meetings are made? X • How members are elected/appointed by the Board? X • What the terms of office are for Board members? X • How Board members will be removed from the Board? X • How urgent matters will be handled in between board meetings? X Verification Source or Comment(s) Attach a copy of the affiliate’s bylaws. indicate page numbers for the following: • Term limits for board members page, _6 • Attendance for board members page, _5 • Participation for board members page, _4 5 • Consequences for noncompliance with board policies page, _4 1.2 Does the board review the affiliate’s bylaws at least every three years, revise as necessary and file with the National Urban League? X__Yes ___No 1.3 The affiliate's bylaws are adhered to in the conduct of the affiliate’s corporate business, and is consistent with the articles of incorporation, National Urban League policies, standards, and guidelines, as well as federal, state, and local laws. X_Yes ___No 1.4 The bylaws reflect board rotation and term limits policies, board orientation/development, Job descriptions and committee structure. X__Yes ___No
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 2 Criteria I: Organizational Soundness 1.5 The articles of incorporation are consistent with current state, federal, and local laws, and are reviewed at the same time as the affiliate bylaws are updated. X__Yes ___No Verification Source or Comment(s) Current Affiliate Articles of Incorporation Bylaws were revised 04/21/2011 1.6 The corporate minutes, reports, and other legal records are filed and maintained as required by federal, state, and local statutes/regulations, by National Urban League guidelines, and by parliamentary authority. X__Yes ___No Verification Source or Comment(s) Affiliate Current Bylaws and Articles of Incorporation; Urban League guidelines; federal, state, and local guidelines; date(s) on which articles of incorporation have been reviewed by legal counsel, board minutes, and annual meeting minutes 1.7 The affiliate uses an evaluation tool to evaluate the work of the board, individually and collectively.___Yes ___No Verification Source or Comment(s) Describe the process the board uses to evaluate its own performance. Please provide any questionnaires, forms, surveys, which may illustrate your board evaluation procedure. When did the board last evaluate its own performance? _____/_____/_____ In process Annual StandardReports2Affiliates should prepare, and make available annually to the public, information about the affiliate’s mission, program activities, and basic audited financial data. The report should also identify the names of the affiliate’s board of directors and management staff. Indicators of Effectiveness 2.1 Attach a copy of the most recent annual report made available to the public. 2.2 Describe in writing, the procedure the affiliate has in place for allowing members of the general public to provide input to the affiliate. The affiliate holds an annual meeting in April
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 3 Board of Directors Standard 3 The affiliate’s nominating committee annually assesses the affiliate’s leadership needs, recruits qualified individuals within the affiliate’s community for election by the membership body Indicators of Effectiveness 3.1 Does the affiliate’s board of directors recruit, select and employ the president/ceo and provide clearly written expectations and qualifications for the position? _X__Yes ___No See CEO for letter of hire Criteria I: Organizational Soundness Verification Source or Comment(s) (1) Indicate date (year) current CEO was hired 09___/__07__/__2010 3.2 Does the membership of the Board include expertise that would promote the proper operation of the affiliate and further the goals of the program? X__Yes ___No Verification Source or Comment(s) Attach a list of current board members with the following information for each member: name, principal employer, occupation, special skills, and the date each board member’s term expires. Clearly mark the board officers and any employees who serve on the board 3.3 Does the board have a mandatory attendance policy? X__Yes ___No Verification Source or Comment(s) Affiliate by-laws, board minutes, page _5 3.4 Is the Board of Director’s representative of the ethnic and cultural diversity of the community? X__Yes ___No Verification Source or Comment(s) Affiliate board roster 3.5 If the affiliate has any related party transactions with board members, or between board members and members of their family, are these disclosed to the Board of Directors, and to the affiliate’s independent auditor? X__Yes ___No Verification Source or Comment(s) Conflict of Interest Signed Statements, board minutes, page ____ 3.6 Does the organization acknowledge and disclose to the board and auditor any materials pending or threatened lawsuits, claims, or assessments which may have an impact on the organization’s finances and/or operating effectiveness? X_Yes ___No Verification Source or Comment(s) Affiliate board minutes, page _Board meeting on 04/19/2012 auditors were present
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 4 3.7 Has the Board of Directors adopted a clear, meaningful written mission statement which reflects the affiliate’s purpose, values and people served? X__Yes ___No Verification Source or Comment(s) Affiliate mission statement, by-laws, page 1 and articles of incorporation, page _625B 3.8 Do the affiliate’s board and staff review the mission statement at least once every three years? X__Yes ___No Verification Source or Comment(s) Affiliate board minutes, page ____, date of last review, _04/21/2011 Bylaws were revised ______ Criteria I: Organizational Soundness 3.9 Are the affiliate’s programs and services congruent with the affiliate’s mission and strategic plan? X__Yes ___No Verification Source or Comment(s) Current strategic plan and list of programs 3.10 If the affiliate entered into a “fiscal agent” or “host organization” relationship with another organization, does the affiliate have a written agreement on file which defines the terms of the relationship with the other organization? ___Yes X__No Verification Source or Comment(s) Copy of written agreement and board minutes that approved the relationship 3.11 How many times each year does the Affiliate Board meet? 10 (3 executive committee) Verification Source or Comment(s) Affiliate board meeting schedule 3.12 How m any board meetings did not have a quorum during the previous year? 1 11/21/2013 Verification Source or Comment(s) Affiliate board minutes 3.13 Does the board approve contracts entered into by the Affiliate? X__Yes ___No Verification Source or Comment(s) Affiliate board minutes, page _09/12/13___
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 5 3.14 Does the Affiliate provide written agendas, as well as materials relating to significant decisions, in advance of board meetings? ___Yes ___No Verification Source or Comment(s) Affiliate board agendas, and indicate date and page of board minutes reflecting the following: • Board’s resolution indicating that the affiliate will perform Performance Assessment_____/_____/_____, page_____ • Board’s approval of the affiliate’s most recent budget _09____/__19___/___2013__, page _____ • Board’s most recent annual review of the percent of expenditures spent on program, administration, and fundraising _____/_____/_____, Page _____ • Board’s approval of the affiliate’s most recent audit _01____/__17___/_13___, Page • Board’s most recent evaluation of the President/CEO ____/_____/_____, Page ____ • Board’s most recent approval of the President/CEO’s salary _____/_____/_____, Page _____ • Who is responsible for the board minutes? __ the secretary • Where are the board minutes kept? ___binder/electronically Criteria I: Organizational Soundness 3.15 Do family members serve on the Board? ___Yes X__No Verification Source or Comment(s) If Yes, please explain 3.16 What is the affiliate’s policy to prevent conflict of interest? X_Yes ___No Verification Source or Comment(s) Attach a copy of the affiliate’s conflict of interest policy which covers board, staff and volunteers that identifies conduct or transactions that raise concerns, outline procedures for disclosure of actual and potential conflicts and provides for transaction review by uninvolved members of the board. Affiliate Policies and Procedures Standard 4 The affiliate fulfills its corporate obligations as required by local, state, and federal governments and the National Urban League. Indicators of Effectiveness 4.1 Does the affiliate have policies and procedures manuals in place? ___Yes X__No Verification Source or Comment(s) Affiliate Policies and Procedures manual; accounting manual; affiliate resource manual; volunteer manual
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 6 4.2 Is the personnel manual regularly reviewed and updated to (1) describe recruitment, hiring, termination and standard work rules for all staff and (2) maintain compliance with changing government regulations including FLSA, EEOC, ADA, OSHA, FMLA and Affirmative Action Plan? X__Yes ___No Verification Source or Comment(s) Affiliate personnel manual; date of board review and approval 09/2012 4.3 Are copies of the manual available for all board members, volunteers and staff? X__Yes ___No 4.4 The affiliate has uploaded compliance documents into the affiliate date management system as required by National Urban League guidelines, and by the Terms of Affiliation. X__Yes ___No Verification Source or Comment(s) Copy of ADM Printout Criteria I: Organizational Soundness 4.5 The affiliate monitors legislative and regulatory actions that affect its corporate rights and responsibilities and takes appropriate action. ___Yes ___No Verification Source or Comment(s) Board minutes, President/CEO’s reports. 4.6 The board of directors retains (either pro bono or fee based) the services of independent legal counsel, who is available on an ongoing basis and who does not hold elective or appointed office in the affiliate. X_Yes ___No Verification Source or Comment(s): Letter or written agreement for legal services, board minutes, page __01/26/2012 UCONN Bill Breetz__ 4.7 Negotiating and entering into contracts in the name of or on behalf of the Urban League are conducted by individuals identified in the policies and procedures established by the affiliate board of directors or bylaws X__Yes ___No Verification Source or Comment(s) Bylaws, Page _13 board minutes, page 09/11/2012 lease with St. Francis Hospital Men’s Health Department
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 7 Strategic Planning Standard 5 The affiliate must have a grounded starting point to effectively accomplish the mission. A strategic plan is a vital tool and an important process that helps the affiliate attain its goals and objectives. Indicators of Effectiveness 5.1 Does the affiliate have a clearly defined Strategic Plan with timelines for achieving affiliate goals and objectives? X__Yes ___No Verification Source or Comment(s) Current strategic plan (dated) 5.2 Did the affiliate involve board members, staff, service recipients, volunteers, key constituents and general mem bers of the community to participate in the strategic planning process? X__Yes ___No Verification Source or Comment(s) Roster of participants 5.3 Does the affiliate’s strategic plan identify changing community needs as well as the affiliate’s strengths, weaknesses, opportunities and threats? X_Yes ___No Verification Source or Comment(s) Strategic Plan, page ___11 Criteria I: Organizational Soundness 5.4 Does the strategic plan identify the critical issues facing the Affiliate? X__Yes ___No Verification Source or Comment(s) Strategic Plan, page __5, 11, 12 5.5 Was the plan developed by researching the internal and external environment? X__Yes ___No Verification Source or Comment(s) Affiliate/community needs assessment, Strategic Plan, page ___ 5.6 Does the strategic plan set goals and measurable objectives that address the critical issues facing the affiliate? X__Yes ___No Verification Source or Comment(s) Strategic Plan, page _11
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 8 5.7 Does the strategic plan integrate all of the affiliate’s programs and services around a focused mission? X__Yes ___No Verification Source or Comment(s) Strategic Plan, page _3 5.8 Does the Strategic plan prioritize affiliate goals and include timelines for the accomplishm ent of the goals? X__Yes ___No Verification Source or Comment(s) Strategic Plan, page ___ 5.9 Is the affiliate’s strategic plan communicated to all of the affiliate’s stakeholders, including board members, staff, volunteers, service recipients and the general community? X__Yes ___No Verification Source or Comment(s) Describe how this is accomplished- Please see work plan 5.10 Does the affiliate’s strategic plan establish an evaluation process with performance indicators to measure the Affiliate’s progress toward achievement of goals and objectives.X__Yes ___No Verification Source or Comment(s) Strategic Plan, Evaluation/performance indicators, page ____ - Contracted with consultant 5.11 Has the affiliate’s management staff developed internal work plans that indicate how the affiliate’s staff and financial resources will be allocated to insure that the affiliate’s strategic goals are accomplished in a timely manner? In process ___Yes ___No Verification Source or Comment(s) Work plans and current budget Criteria I: Organizational Soundness Public Affairs and Public Policy Standard 6 Affiliates promote an important vehicle through which individuals organize and work together to improve their communities. Affiliates should represent the interests of the people they service through public education and public policy advocacy, as well as by encouraging board members, staff, volunteers and constituents to participate in the public affairs of the community. Indicator of Effectiveness 6.1 Does the affiliate have a written policy on advocacy defining the process by which the affiliate determines positions on specific issues? Verification Source or Comment(s) Attach the board approved advocacy policy which define the process by which the affiliate determines positions on specific issues In process
hours, health and safety, and equal
work responsibilities, ongoing supervision and evaluation, and opportunities for advancement. X__Yes ___No
Personnel Policies Standard 1 An
pertaining
affiliate's
local statutory
affiliate’s
An effective Urban League affiliate has sufficient resources and assumes responsibility for managing in order to ensure the continuation and expansion of the League in the community.
years and are consistent
___/___/___. Verification Source or Comment(s) Board minutes. Reviewed
Urban
Indicators of Effectiveness 1.1 Attach
and training for
audit committee reviewed 1.2 Affiliate personnel policies for employed staff are reviewed every
affiliate
Human Resources
The relationship to its employees and volunteers is fundamental to its ability to achieve its mission. Volunteers occupy a special place in the organization, serving in governance, administrative and programmatic capacities. An organization’s human resource policies should address both paid employees and volunteers, and should be fair, establish clear expectations, and provide for meaningful and effective performance evaluation. affiliate should have written personnel policies and procedures, approved by the board of directors, governing the work and actions of all employees and volunteers of the organization. In addition to covering basic elements of the employment relationship (working conditions, employee benefits, vacation and sick leave), the policies should address employee evaluation, supervision, hiring and firing, grievance procedures, employee growth and development, confidentiality of employees, and client and organization records information. a copy of the personnel policies indicating the date that were last reviewed and approved by the board of directors. by Jackie Lewis, Cynthia Watts three (3) with and requirements to employment, and employment opportunity. to appropriate
them,
federal, state,
wages
X__Yes ___No Verification Source or Comment(s) Indicate pages in personnel policies that address the following: working conditions,( S5___); employee benefits, (S3 pg1__); vacation (S3 pg3 ___); sick leave (S3pg6___); employee evaluation ( S2 pg4___); grievance procedures ( S3 pg12___); confidentiality of employee, client and affiliate records and information ( S4 pg1___), and growth and development ( S2 pg5 ). S=Section 1.3 With respect to volunteers, the affiliate’s policies and procedures should also address initial assessment or screening, assignment
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 PAGE 9 Criteria, Standards and Indicators Criteria 2: Organizational Vitality
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 10 Criteria 2: Organizational Vitality Verification Source or Comment(s) Attach a copy of the volunteer manual; indicate pages in volunteer manual that address the following: initial assessment and screening (page _3__); assignment to and training for appropriate work responsibility (page _5__); ongoing supervision and evaluation (page _6__); opportunities for advancement (page ___) 1.4 Does the affiliate have a written job description for each employee that clearly identifies roles and responsibilities, and is there a system in place for annual written evaluations of employees by their respective supervisors? X__Yes ___No Verification Source or Comment(s) Current job descriptions and attach sample evaluation form 45/90 evaluation and annual evaluation forms 1.5 Employed staff positions have been evaluated under a comparable pay for performance compensation system, and appropriate salary structures have been adopted and implemented, to ensure internal equity and external competitiveness. ___Yes ___No Verification Source or Comment(s) Affiliate salary structure and compensation system used compensation annual paycheck 1.6 The affiliate's performance management system incorporates career development for all employees, including employee orientation, supervisory coaching, and systematic access to information about local and National Urban League training opportunities. X _Yes ___No Verification Source or Comment(s) Policies and procedures related to staff development, records of staff participation in local and national learning opportunities, internal training curriculum. – Staff files 1.7 The affiliate participates in medical, dental, life insurance, tax deferred annuity, disability income, and retirement plans, or has an equivalent benefit program. X_Yes ___No Verification Source or Comment(s) Summary description of affiliate benefit program.
Fundraising an important source of financial support for the work of the affiliate’s fundraising program should be maintained on a foundation of truthfulness and responsible stewardship. Its fundraising policies should be consistent with its mission, compatible with its organizational capacity, and respectful of the interests of donors and prospective donors. Fundraising costs should be reasonable over time. Over a three (3) year period, an affiliate should realize revenue from fundraising and other development activities that are at least three times the amount spent on conducting them. whose ratio is less that 3:1 should demonstrate that they are making steady progress toward achieving this goal, or should be able to justify why a 3:1 ratio is not appropriate for this affiliate.
provides
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 11 StandardFundraising2
affiliate. An
Affiliates
Criteria 2: Organizational Vitality Indicators of Effectiveness 2.1 The affiliate board of directors has taken action to develop and implement fund development strategies to meet long range operating and capital income needs. X_Yes ___No Verification Source or Comment(s) Board minutes, written fund development strategies with timetable, long range financial projections, and President/CEO’s management reports 2.2 For the last three (3) years, provide the total amount of revenues from fundraising and other development activities and the total amount of funds spent on conducting them. Year (Period) Total Raised Total Spent Difference 06/30/2011 494,132 240,343 253,789 06/30/2012 341,231 152,973 188,258 06/30/2013 456,478 170,012 286,466 Verification Source or Comment(s) Affiliate financial audits, written fund development strategies, board minutes. 2.3 For the last three (3) years, provide revenue from all sources. Year (Period) Total Revenue 06/30/2011 2,663,569 06/30/2012 2,340,136 06/30/2013 2,599,244 Verification Source or Comment(s) Affiliate financial audits
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 12 2.4 For the last three (3) years, provide the affiliate's total income for direct and indirect contributions generated by individuals, foundations, corporations, and federated funding Yearsources.(Period) Total Contributions 06/30/2011 2,116,453 06/30/2012 1,854,664 06/30/2013 2,137,917 Verification Source or Comment(s) Affiliate financial audits Criteria 2: Organizational Vitality 2.5 Members of the board of directors take active leadership in obtaining funds for the work of the affiliate through activities that include solicitation and identification of prospects. ___Yes ___No Verification Source or Comment(s) Board minutes,page _____, board corporate contribution summary record. 2.6 Each board member demonstrates leadership and commitment by making an annual personal financial contribution X__Yes ___No Year (Period) Board Member Personal Contribution 20122011 $27,502.00 2013 $13,403.30 Verification Source or Comment(s) Board personal contribution summary record
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 13 Fiscal/Financial Management Standard 3 The affiliate operates in the context of a well managed and effectively administered organization and are supported by a solid fiscal management system Indicators of Effectiveness 3.1 What accounting software package does the affiliate use, if any? Abila MIP Accounting Software 3.2 Does the affiliate have systems in place to provide the appropriate information needed by staff and board to make sound financial decisions and to fulfill Internal Revenue Service requirements? X__Yes ___No Verification Source or Comment(s) Affiliate Accounting M anual 3.3 Does the mail policy forbid opening the mail by the same person who deposits checks? X__Yes No Verification Source or Comment(s) Internal Control documentation 3.4 For the last three (3) years, did the affiliate expend more than $500,000 in federal funds? (This includes Federal funds received from a “pass through” entity as well) If so, did the affiliate obtain an OMB A 133 audit? ____Yes X No, only 1 year Criteria 2: Organizational Vitality Verification Source or Comment(s) Affiliate A 133 Audits 3.5 For the last three (3) years, did the affiliate’s A 133 audits contain “notes or areas of concern noted by the auditors? If yes, has the affiliate taken steps to address these concerns? X__Yes ___No Verification Source or Comment(s) Affiliate A-133 Audits 3.6 For the last three (3) years, did the affiliate receive a management letter from the auditors? If so, did the affiliate respond, in writing, to any concerns raised in the management letter? X__Yes ___No Verification Source or Comment(s) Copy of management response to A-133 findings 3.7 Does the affiliate reconcile all cash accounts monthly? X__Yes ___No Verification Source or Comment(s) Last six (6) months bank account(s) reconciliations
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 14 3.8 If the affiliate has billable contracts or other service income, are procedures established for the periodic billing, follow up, and collection of all accounts, and does it have the documentation that substantiates all billings. X__Yes ___No Verification Source or Comment(s) Contracts and copy of payment request from funder 3.9 For the last three (3) years, according to the affiliate’s most recent audits, did the affiliate have a decrease in Total Net Assets greater than 33%. ___Yes X__No Year (Period) Total Net Assets % Change 06/30/2011 2,598,961 <5.9%> 06/30/2012 2,459,873 <5.4%> 06/30/2013 2,747,089 11.7% Verification Source or Comment(s) Affiliate Audits, and if so, please explain the circumstances 3.10 For the last three (3) years, did the affiliate have a positive fund balance? X__Yes ___No Criteria 2: Organizational Vitality Verification Source or Comment(s) Affiliate audits, and if not please explain 3.11 For the last three (3) years, according to the affiliate’s audits, do the affiliate’s Management and General Cost exceed 30%? ___Yes X__No Year (Period) Mgmt. & Gen. Total Expenses Percent/Ratio 06/30/2011 343,567 2,791,020 12.3% 06/30/2012 546,203 2,404,984 22.7% 06/30/2013 370,673 2,237,921 16.6% Verification Source or Comment(s) Affiliate audits
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 15 3.12 For the last three (3) years, according to the affiliate’s audits, does the affiliate’s debt to asset exceed___Yes50%? X__No Year (Period) Total Debt Total Assets Percent/Ratio 06/30/2011 874,519 4,271,089 20.7% ____06/30/2012 _898,490____ __3,924,957__ __22.9%____ ____06/30/2013 _969,374____ __4,551,461__ __21.3%____ Verification Source or Comment(s) Affiliate audits 3.13 For the last three (3) years, according to the affiliate’s audits, do the affiliate’s current accounts receivables exceed 50% of the affiliate’s current assets? X Yes ___No Year (Period) Accts Rec Current Assets Percent/Ratio 06/30/2011 205,521 332,892 61.7% 06/30/2012 89,423 162,680 54.9% 06/30/2013 73,059 129,708 56.3% Verification Source or Comment(s) Affiliate audits 3.14 If required, IRS Form 990T (unrelated business income) has been filed and a copy is available to the public. X__Yes ___No Verification Source or Comment(s) Form 990T Criteria 2: Organizational Vitality 3.15 Are the affiliate’s government contracts, purchase of service agreements and grant agreements in writing and are reviewed by a staff member to monitor compliance with all stated conditions? X_Yes ___No Verification Source or Comment(s) Contracts, service and/or grant agreements 3.16 Does the affiliate have a written policy related to investments? X__Yes ___No Verification Source or Comment(s) Investment Policy
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 16 3.17 Has the affiliate established a plan identifying actions to take in the event of a reduction or loss in funding? X__Yes ___No Verification Source or Comment(s) Provide a copy of the affiliate fund diversification strategy 3.18 Has the affiliate developed a plan to establish a reserve of funds to cover at least three months of operating expense? ___Yes X_No Verification Source or Comment(s) Provide a copy of the affiliate fund reserve plan 3.19 Does the Board of Directors, or an appropriate committee, review and approve the affiliate audit report and management letter, and with staff input and support institutes any necessary changes X_Yes ___No Verification Source or Comment(s) Board Minutes, page _____ of approval; copy of written changes/responses 3.20 Does the affiliate make training available for board and appropriate staff on relevant accounting and financial management topics? X__Yes ___No Verification Source or Comment(s) Board and staff training roster/curriculum Internal Controls Standard 4 Internal controls is the process established by the affiliate’s board of directors, management and other personnel that is designed to provide reasonable assurance that the affiliate will efficiently and effectively achieve its objectives, reliably report finances, and com ply with applicable laws and regulations. Indicators of Effectiveness Criteria 2: Organizational Vitality 4.1 The affiliate has established written procedures that are followed and reviewed annually, for internal financial controls, to include signatures on affiliate bank accounts and bonding insurance for staff and board members. X__Yes ___No Verification Source or Comment(s) Written procedure for financial controls, board approval on the minutes, page _______, President/CEO’s management reports
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 17 4.2 The affiliate has established written procedures for the identification, review, tracking, and handling of all assets of the Urban League affiliate and its entities. X__Yes ___No Verification Source or Comment(s) Written procedures for asset management, fixed-asset register (inventory of land, building, and equipment), and investment policies. 4.3 Does the affiliate allow checks to be pre signed? ___Yes X__No Verification Source or Comment(s) Copy of policy Page 48 Accounting Manual 4.4 Does the affiliate prepare an income and expense statement monthly? X__Yes ___No Verification Source or Comment(s) Monthly board financial packet 4.5 Does the affiliate budget planning process include management personnel, the President/CEO and m embers of the Board? X__Yes ___No Verification Source or Comment(s) Copy of the board approved current budget, and an outline of the budgeting process 4.6 Does the affiliate require payments above a certain amount to be approved by authorized staff/management, board? X___Yes ___No Verification Source or Comment(s) Policy statement and amount- Page 48 Accounting Manual 4.7 Are cancelled checks reviewed in a timely manner, not later than days following receipt? ___Yes X No Verification Source or Comment(s) Explain the review process Do not review cancelled checks 4.8 Is the payroll approved by a manager who is not responsible for its preparation? X__Yes ___No Verification Source or Comment(s) Payroll register email to CEO approved by CriteriaCFO2: Organizational Vitality 4.9 Are withholding and FICA taxes deposited on a timely basis and in accordance with payroll register data? X__Yes Payroll Processing Company ___No Verification Source or Comment(s) Form 941 for the last four (4) quarters and appropriate backup where necessary
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 18 4.10 Were all tax payments (includes FICA, and unemployment) made on time (by due date)? X__Yes Payroll Processing Company ___No If not, were interest and penalties assessed against the Affiliate? Penalty $____N/A Interest $____N/A If interest and penalties were assessed, were these costs allocated to any public funding source? N/A Verification Source or Comment(s) Appropriate documentation 4.11 Are employees, board members and volunteers who handle affiliate funds and investments bonded to assure the safeguarding of assets? X_Yes ___No Verification Source or Comment(s) Copy of bonding insurance 4.12 Does the affiliate have a process to recover funds for personal use of the corporate credit card? ___Yes X__No ULGH does not have a credit card Verification Source or Comment(s) Affiliate policy/process, page ______ 4.13 Do the affiliate’s Financial or Adm inistrative Policy and Procedures Manual prohibit the use of bank issued debit cards? ___Yes X__No Verification Source or Comment(s) Affiliate policy, page ____ 4.14 A written strategy for diversifying sources of income has been implemented. X__Yes ___No Verification Source or Comment(s) Long-range financial strategies, CEO management reports, board minutes, page _____, current strategic plan 4.15 The affiliate board annually adopts an annual operating and capital budget. X__Yes ___No Verification Source or Comment(s) Board minutes, page ____, copy of adopted budgets
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 19 Criteria 2: Organizational Vitality 4.16 For the last three (3) years, actual operating income has equaled or exceeded actual operating___Yesexpenses. X _No Year (Period) Income Expenses Net 06/30/2011 2,663,569 2,791,020 <127,451> 06/30/2012 2,340,137__ 2,404,984 < 64,847> 06/30/2013 2,058,567 2,237,921 <179,354> Verification Source or Comment(s) Affiliate financial audits 4.17 The affiliate has or is in the active process of creating unrestricted cash reserves equal to at least a minimum of three months. X__Yes ___No Reserves on hand: $___0 Verification Source or Comment(s) Affiliate financial audit, strategic plan. 4.18 The affiliate board of directors has established written policies for the use of affiliate operating___Yesreserves. X__No Verification Source or Comment(s) Affiliate Operating Reserves Policy, board minutes, page _____ 4.19 The board of directors receives and reviews on a regular basis (at least quarterly) the following financial statements: balance sheet; statement of support; revenue and expense; fund balances; and statement of functional expenses for all funds. X__Yes ___No Verification Source or Comment(s) Board minutes, page ____, finance committee minutes, monthly financial packets to board. 4.20 An independent CPA or auditing firm is engaged annually by the affiliate to perform an audit of the affiliate's financial statements and the board reviews the audit and any management letter accompanying the audit. X__Yes __No Verification Source or Comment(s) Affiliate audit, management letter, board minutes, page _____ 4.21 All findings and recommendations provided by the auditor have been considered and there is a record of corrective actions taken. X__Yes ___No Verification Source or Comment(s) Board minutes, page ______, President/CEO’s management reports, copy of the corrective action record
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 20 Criteria 2: Organizational Vitality Fiscal Policies and Procedures Standard 5 Financial policies and financial planning should be closely integrated into the affiliate’s daily activities to be able to assess the financial feasibility of the programs and services provided Indicators of Effectiveness 5.1 Affiliate dues are forwarded to the National Urban League in accordance with National Urban League___Yespolicy. X__No Verification Source or Comment(s) Affiliate dues deposit and transmittal records 5.2 All members of the board of directors, employed staff, and operational volunteers, have signed a conflict of interest statement. X__Yes ___No Verification Source or Comment(s) Board minutes, page ___, copies of signed conflict-of-interest statements 5.3 The affiliate has written risk management plan, reviewed annually, which includes a plan to protect and utilize affiliate assets. (E.g crisis communication plan, D&O Insurance, property insurance, fiscal controls) X__Yes ___No Verification Source or Comment(s) Risk management plan, insurance summary 5.4 The affiliate board has written policies for use of Urban League property by outside groups that minimize potential liability for the affiliate. ___Yes ___No Verification Source or Comment(s) Policies and procedures for property use 5.5 The affiliate owns or leases sites and facilities needed to support services. X__Yes ___No Verification Source or Comment(s) Deeds and leases and/or agreements for all affiliate sites and facilities 5.6 The affiliate repairs, replaces, and maintains affiliate land, buildings, and equipment as needed and in accordance with a long-range property acquisition, maintenance and utilization___Yplan.es ___No Verification Source or Comment(s) Long-range property acquisition, maintenance and utilization plan
affiliate board has
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 21 Criteria 2: Organizational Vitality 5.7 The affiliate has a capital budget funded to meet its long range property needs. ___Yes X__No Verification Source or Comment(s) Copy of capital budget, long range strategies for property and fund development (capital campaign) strategies 5.8 Duplicates of all vital documents (i.e., property documents, insurance papers, charter, state articles of incorporation, minutes, etc.), are complete, up to date and are kept in a location away from affiliate premises. ___Yes X__No Verification Source or Comment(s) Copy of procedures related to appropriate location and retrieval of documents. StandardEndowments6
directors maintains control of all restricted funds. X__Yes ___No Verification Source or Comment(s) Affiliate board minutes, page ___, bylaws, page ____, affiliate financial audit Corporate Goals Standard 7 The affiliate utilizes
restricted cash reserve to be held in perpetuity. X__Yes ___No Verification Source or Comment(s) Board minutes, page ___, copy of trust agreement or other documents, affiliate audits 6.2 The affiliate board
corporate
The made established a of a planning system adopted goals
to maximize the effective and responsible development and use of resources. Indicators of Effectiveness 7.1 The board has
financial provisions to provide for the perpetuation of the Urban League within its service area. Indicators of Effectiveness 6.1 The affiliate board has
and objectives that give direction to the total work of the affiliate. X__Yes ___No Verification Source or Comment(s) Strategic Plan, board minutes, page ____
Pg 82
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 22 7.2 The staffing structure, as determined by the President/CEO, supports the corporate goals and a reporting system is in place that includes regular written management reports to the board of directors based on the achievement of integrated objectives. X__Yes ___No Criteria 2: Organizational Vitality Verification Source or Comment(s) President/CEO’s reports, organizational chart 7.3 The board adopts the affiliate budget, inclusive of the operating and capital budgets, based on the integrated operating objectives and long range strategies for property, fund development, membership, program, and finance management. X__Yes ___No Verification Source or Comment(s) Board minutes, page ____, budget(s), finance committee minutes 7.4 The board has delegated the responsibility for operational management to the President/CEO. X_Yes ___No Verification Source or Comment(s) Board minutes, page ___, bylaws, page ___ President/CEO’s position description. Legal, Compliance and Accountability Standard 8 Affiliates must be aware of and comply with all applicable federal, state and local laws. This may include, but is not limited to, the following activities: complying with laws and regulations related to fundraising, licensing, financial accountability, document retention and destruction, human resources, lobbying and political advocacy, and taxation. 8.1
8.3 Describe
8.2
Describe how the affiliate monitors changes in legal and regulatory requirements Provide a copy of the affiliate’s document retention policy Accounting Manual how the affiliate internally reviews its compliance with existing legal, regulatory, financial and National Urban League requirements.
The affiliate program (s) develops and monitors client action plans as appropriate. The action plan includes measurable goals and benchmarks and is developed in partnership with the client. Source or Comment(s) Copy of current program Intake form(s) Contracts. The affiliate program (s) requires client and provider to sign a service contract which outlines both client and program responsibilities.
X__Yes ___No
1.4 Service
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 23 Criteria, Standards and Indicators Criteria 3: Implementation of Mission An effective affiliate provides high quality client-focused direct service programs which demonstrate improved client outcomes in key areas. Program Quality Standard 1 The affiliate has and uses procedures for ensuring clients receive professional services that address their individual needs. Indicators of Effectiveness 1.1 Professional Quality Overview The affiliate has a professional quality overview of programs. The overview includes at a minimum; the needs addressed through the program (s), description of the services, and length of program, participation requirements and expected client outcomes. Content, delivery and format should be culturally relevant and where appropriate materials should be available in languages that reflect the population served. X__Yes ___No Verification Source or Comment(s) Copy of current program overview(s) to include contract dates, contract number and contract amount This information is contained in the Service Contract Binder 1.2 Comprehensive Client Intake. The affiliate has a system for conducting a comprehensive client intake as appropriate. At a minimum, the Intake should include background information; identify client needs; and program interest. Specific intake information required by programmatic area should be included. All clients are assigned a unique identification number at Intake which is used to track and monitor participation and outcomes over the service and follow up period. The use of an electronic client management system is preferred. X__Yes ___No Verification Source or Comment(s) Copy of current program intake form(s) 1.3 Client Action Plans
X__Yes ___No Verification
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 24 Criteria 3: Implementation of VerificationMissionSourceor Comment(s) Copy of current service contract(s) 1.5 Skills and Aptitude Assessments The affiliate uses validated assessments to assess client skills and aptitude, where appropriate. X_Yes ___No Verification Source or Comment(s) Copy of assessments where appropriate 1.6 Written Referral Network The affiliate has a written referral network for individuals and families seeking services not provided by the affiliate X__Yes ___No Verification Source or Comment(s) Copy of referral network(s) service contract 1.7 Client Evaluation Form The affiliate provides clients with a user friendly survey to evaluate services received. X__Yes ___No Verification Source or Comment(s) Copy of survey instrument(s) Standard 2 The affiliate has procedures to protect the rights, dignity and privacy of clients participating in programs. Indicators of Effectiveness 2.1 Statement of Clients Rights. The affiliate provides clients a written statement of their rights when seeking social services, including their right to grieve the service provided. X__Yes ___No Verification Source or Comment(s) Copy of statement of client’s rights Employee Handbook 2.2 Grievance Procedures. A grievance process is in place and written procedures for filing a grievance are available to clients. X__Yes ___No Verification Source or Comment(s) Copy of grievance procedure. 2.3 Protect Client Confidentiality. The affiliate has in place procedures for collecting and sharing confidential and personal information. The affiliate provides private areas for collecting confidential information. X__Yes ___No Verification Source or Comment(s) Copy of Client Confidentiality Statement
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 25 Criteria 3: Implementation of Mission Standard 3 The affiliate has in place a record keeping system that supports client services, program evaluation and protects client confidentiality and privacy. Indicators of Effectiveness 3.1 Client Management System. The affiliate has in place a client management system to collect and maintain client records. An electronic system is preferred. Paper and electronic files are maintained in either secure file cabinets or electronically in a secure data system. X__Yes ___No Verification Source or Comment(s) Description of client management system 3.2 Maintaining Client Records. The affiliate has in place procedures for maintaining client records in an easily retrieval format for at least 3 years or in accordance with programmatic requirements. X__Yes ___No Verification Source or Comment(s) Copy of affiliate retention policy 3.3 Destroying Records. The affiliate has written guidelines for destroying client records and when appropriate shreds client records to protect sensitive client information. X__Yes ___No Verification Source or Comment(s) Copy of affiliate retention policy Personnel Standards Standard 4 The affiliate recruits, hires and trains qualified program staff for quality direct services. Indicators of Effectiveness 4.1 Core Competencies. The affiliate has written core competences for program staff which are used in recruiting, interviewing and hiring. Core competencies should include strong knowledge in the service area as demonstrated by experience, educational level, and certification. Specific core competencies for programmatic areas should be incorporated in hiring procedures as appropriate ___Yes ___No Verification Source or Comment(s) Copy of staff core competencies
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 26 4.2 Educational Requirements. The affiliate has required educational levels for program staff. Bachelors’ degrees in appropriate areas are encouraged for staff working directly with clients. ___Yes ___No Verification Source or Comment(s) Copy of job descriptions and summary of educational experience Criteria 3: Implementation of Mission 4.3 Continuing Education. The affiliate encourages staff to receive additional continuing education and provides relevant information and referrals. X_Yes ___No Verification Source or Comment(s) Copy of affiliate continuing education policy and log of continuing education for staff 4.4 Recruitment. The affiliate posts available jobs externally and internally X__Yes ___No Verification Source or Comment(s) Copy of job announcements, internal and external 4.5 Orientation and Training. The affiliate provides new staff a programmatic orientation and training during the first 3 months of employm ent. ___Yes ___No Verification Source or Comment(s) Orientation and training agendas 4.6 Staff Evaluation The affiliate has in place a staff evaluation system which includes an initial follow up for beginning staff and subsequent yearly evaluations. X__Yes ___No Verification Source or Comment(s) Copy of affiliate performance management policy 4.7 Code of Ethics. The affiliate has a written code of ethics for staff. The code of ethics should include guidelines for professional behavior, conflict of interest, privacy and confidentiality, quality assurance and integrity. X__Yes ___No Verification Source or Comment(s) Copy of code of ethics policy Operational Standards Standard 5 Program facilities are safe, appropriate for activities, clean and conducive to reaching service goals. Indicators of Effectiveness 5.1 Access. The affiliate provides convenient, realistic, and broad accessibility to program services for target populations. X__Yes ___No
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 27
X
ULGH has a safety prevention and evacuation plan that includes policies and procedures agency wide to ensure the safety of staff, visitors and program participants in the event of an emergency. The participant handbook includes a grievance procedure, which participants may use to address concerns they may have. The procedure includes the right of each participant to address concerns with ULGH administration. Internally our CEO and COO discuss security measures at bi weekly staff meetings and
5.5 Safety. The affiliate has in place protective measures for protecting staff and client safety while participating and leaving program activities. __Yes ___No Verification Source or Comment(s) Copy of affiliate policy and procedures for client and staff safety Programs at Urban League of Greater Hartford take place at headquarters, a secure building located at 140 Woodland Street in Hartford. ULGH has a security guard stationed in the lobby. He patrols the perimeter and interior of the building in regularly scheduled intervals throughout the day. Security personnel is present during program hours. Classrooms are monitored by program staff. Hallways and rest rooms are monitored by program staff and by utilizing strategically placed cameras. The director and program manager monitor all program staff and maintain an open door policy to discuss any concerns. Non-program participants are not given access to the building unless escorted by a staff member. Program participants must sign in at the security desk before being given access to the building and again in the classroom. Though the lobby is freely accessible to foot traffic, everyone must be “buzzed” into the main building from the lobby.
Verification Source or Comment(s) Copy of program schedule(s)
X
5.3 Equipment. The affiliate provides sufficient and up to date materials and equipment for program participants. _Yes ___No Verification Source or Comment(s) This can be verified by a walk through of our facilities.
5.2 Appropriate Space. The affiliate provides an attractive and age appropriate space for program activities. The affiliate programs meet all industry and regulatory standards for operating programs. __Yes ___No Criteria 3: Implementation of Mission Verification Source or Comment(s) Walk through of facilities
X
5.4 Staff-Client Ratios. The affiliate program (s) meets industry and regulatory staff client ratios for program, activity and age groups. _Yes ___No Verification Source or Comment(s) Copy of affiliate policy statement(s), contracts Staff client ratios are indicated in the grants, contracts and /or proposals that fund initiatives. (See contracts)
X
X__Yes
X
(See contracts)
contracts)
6.1 Program Design. The affiliate program has a written program design which outlines a research based program rationale which describes program’s potential influence on key client outcomes. ___No Verification Source or Comment(s) Copy of program design(s) Program designs are indicated in the grants, contracts and /or proposals that fund initiatives.
6.3 Measurable Goals and Objectives. The affiliate program design includes measurable program goals and objectives. __Yes ___No Verification Source or Comment(s) Copy of program design(s) Measureable goals and objectives are indicated in the grants, contracts and/or proposals that fund initiatives. (See
5.6 Accommodations for Disabilities. The affiliate has accommodations for disabled clients which meet industry and regulatory standards for disabled clients. Source or Comment(s) Copy of affiliate ADA policy statement
Indicators of Effectiveness
(See Criteriacontracts)3:Implementation of
Standard 6 The affiliate program has a written program design, which includes program rationale, target population, specific program activities and key client outcomes.
6.2 Target Population. The affiliate program has identified a target population in their community and has developed a communication and marketing plan to reach this target group. ___No Verification Source or Comment(s) Copy of communication and marketing plans
, Walk through of facilities Please see Section1, page 4 of the Employee Handbook
X_Yes
X__Yes ___No Verification
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 28 the process and policies outlined above are discussed as a part of the orientation for all new employees, volunteers and program participants. All employees and volunteers must complete an application and are required to submit to a background check.
Target populations are indicated in the grants, contracts and/or proposals that fund initiatives. Mission
8.2
Indicators
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 29 6.4 Program Curriculum. Program (s) has and uses a detailed program curriculum which includes defined program activities. X Yes ___No Verification Source or Comment(s) Copy of program curriculum(s) Standard 7 Program implementation is assessed on an ongoing manner and an action plan for continuous improvement is developed. Indicators of Effectiveness 7.1 Program Implementation Plan. Program (s) has a written implementation plan which includes activities, staffing, facilities, management plan and timeline for program implementation. X_Yes ___No Verification Source or Comment(s) Copy of program implementation plan(s) 7.2 Process Evaluation Plan. Program (s) has an evaluation plan for monitoring program implementation. X_Yes ___No Verification Source or Comment(s) Copy of process evaluation plan(s)
X Yes ___No Verification
Standard 8 The affiliate program has and implements an evaluation plan for describing client outcomes and assessing program effectiveness. of Effectiveness Evaluation Plan. The affiliate program (s) has a written evaluation plan for demonstrating program effectiveness. Verification Source or Comment(s) Copy of written evaluation plan for program(s) Performance Targets. The affiliate sets targets for program (s) performance on selected outputs, client outcomes and indicators. Source or Comment(s) Copy of key outputs, client outcomes, indicators and programmatic targets.
8.1
X__Yes ___No
2013 National Urban League Affiliate Performance Assessment CRITERIA, STANDARDS AND INDICATORS/2013 P AGE 30 Criteria 3: Implementation of Mission 8.3 Performance Measures. The affiliate compares program (s) results on key performance measures to targets, as a minimum evaluation model for measuring program effectiveness and impact. X Yes ___No Verification Source or Comment(s) Targets for program(s) outputs and key client outcomes are met