ULGH 2022 BOD Packet Preview

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

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

Break

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

Governance and Strategic Planning Committee Chair Remarks

Nicole Hughey

12:35

5 min

CEO Closing Remarks

David Hopkins

Date: To: From: SUBJ: CC:

May 28, 2019 Urban League Affiliate CEO Urban League Affiliate Board Chair Herman L. Lessard, Jr., Senior Vice President, Affiliate Services National Urban League Terms of Affiliation Michael F. Neidorff, Chair, NUL Board of Trustees Marc H. Morial, NUL President and CEO

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.

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.

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.

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.

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.

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.

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.

If you have any questions, please contact Herman L. Lessard, Jr., Senior Vice President, Affiliate Services, hlessard@nul.org, (212) 558.5383.

Yours in the Movement, Herman L. Lessard, Jr. Senior Vice President

National Urban League Terms of Affiliation

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Terms of Affiliation Mission The mission of the Urban League Movement is to enable African Americans to secure economic self-reliance, parity and power, and civil rights.

Preamble 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.

It is through the efforts of the National Urban League and the Affiliates working in concert that the goals of the Movement are achieved.

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.

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.

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Article 1 Section A:

General Provisions

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.

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.

Section B: Application for/Retention of Affiliation 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.

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.

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.

Section C:

Affiliates

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.

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Section D:

Affiliate Board Leadership

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.

Article 2

Mutual Obligations

Preamble 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 office.

Collectively, 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

The Manual, together with the Terms of Affiliation, sets forth the major expectations of the National Urban League and the Affiliates in fulfillment of the mission of the Movement.

The 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

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provide a 90-day written notice to each Affiliate about program priorities or changes in factors related to standards or factors that have compliance implications for any Affiliate.

The 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.

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.

Section B: Technical Support 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 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 by an 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.

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.

Section C:

Affiliate Performance Assessment

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 define and oversee the proper fulfillment of standards for Affiliates and shall supply Affiliates with criteria for evaluation of

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Affiliate operations, programs, board governance, and fiscal management and President/CEO performance. Material for this purpose is included in the Manual.

Section D:

Affiliate President/CEO Selection and Certification

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.

Section E:

Continuing Professional Development

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.

Section F:

Board and Volunteer Orientation and Training

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 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 H:

National Initiatives

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.

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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.

Section J:

Compliance and Due Process

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. 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 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.

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.

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 7

the compliance processes, procedures and consequences, and the appeals process.

II.

Obligations of Affiliates to the National Urban League

Section A:

Name

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 B:

Geographic Area

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.

Section C:

Corporate Status and Principles of Operation

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.

Each Affiliate shall operate its program and operations consistent with non-profit management and IRS fiscal standards for 501(c) (3) organizations.

Section D:

By-Laws

Affiliate by-laws, approved by the Affiliate Board, shall conform to the prototype bylaws found in the Manual.

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Section E:

Affiliate President/CEO Selection and Certification

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 schedule.

Notwithstanding 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.

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: 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 9

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.

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.

Section H:

Board Leadership

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.

Section J:

Affiliation Fee

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

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.

Section L:

Continuing Professional Development

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

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.

Section N:

Delegate Assembly

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In accordance with the procedures described in the National Urban League Bylaws, 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.

Section O:

Other Affiliations

Each Affiliate shall obtain prior written approval from the National Urban League in order to materially change its legal status as an independent affiliate of the National Urban League.

Section P: Compliance and Due Process 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 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.

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.

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The Affiliate Resource Manual shall describe the compliance processes, procedures and consequences, and the appeals process.

Affiliate Urban League of Greater Hartford ………………………………………………………………………………………………

(Name of Affiliate) by…………………………………………………………………………………………...

(Affiliate Board Chair) ………………………………………………………………………………………………

(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)

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2013 National Urban League Affiliate Performance Assessment

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?

• • • • • • •

A minimum requirement of at least 5 Board members?

Requirement of a quorum to transact business?

How and when notices for Board meetings are made?

How members are elected/appointed by the Board?

What the terms of office are for Board members?

How Board members will be removed from the Board?

How urgent matters will be handled in between board meetings?

Yes

No

_X__ _X__ _X__ _X__ _X__ _X___ _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

CRITERIA, STANDARDS AND INDICATORS/2013

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2013 National Urban League Affiliate Performance Assessment 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 Reports

Standard 2 Affiliates 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

CRITERIA, STANDARDS AND INDICATORS/2013

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2013 National Urban League Affiliate Performance Assessment 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) hired _09___/__07__/__2010__ 3.2

(1) Indicate date (year) current CEO was

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)

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)

3.5

Affiliate board roster

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) minutes, page ____

3.6

Affiliate by-laws, board minutes, page _5__

Conflict of Interest Signed Statements, board

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) on 04/19/2012 auditors were present

CRITERIA, STANDARDS AND INDICATORS/2013

Affiliate board minutes, page _Board meeting

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2013 National Urban League Affiliate Performance Assessment 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)

3.10

Current strategic plan and list of programs

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 minutes that approved the relationship

3.11

agreement

and

board

Affiliate board meeting schedule

How many board meetings did not have a quorum during the previous year? ___1______ 11/21/2013 Verification Source or Comment(s)

3.13

written

How many times each year does the Affiliate Board meet? __10___(3 executive committee)____ Verification Source or Comment(s)

3.12

of

Affiliate board minutes

Does the board approve contracts entered into by the Affiliate? _X__Yes ___No Verification Source or Comment(s)

CRITERIA, STANDARDS AND INDICATORS/2013

Affiliate board minutes, page _09/12/13___

PAGE 4

2013 National Urban League Affiliate Performance Assessment 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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 5

2013 National Urban League Affiliate Performance Assessment 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) and approval 09/2012

Affiliate personnel manual; date of board review

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)

4.6

Board minutes, President/CEO’s reports.

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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 6

2013 National Urban League Affiliate Performance Assessment 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)

5.2

Did the affiliate involve board members, staff, service recipients, volunteers, key constituents and general members of the community to participate in the strategic planning process? _X__Yes ___No Verification Source or Comment(s)

5.3

Current strategic plan (dated)

Roster of participants

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) Strategic Plan, page ___

5.6

Affiliate/community

needs

assessment,

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__

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 7

2013 National Urban League Affiliate Performance Assessment 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 accomplishment of the goals? _X__Yes ___No Verification Source or Comment(s) Strategic Plan, page ___

5.9

see work plan 5.10

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

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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 8

2013 National Urban League Affiliate Performance Assessment

Criteria, Standards and Indicators Criteria 2: Organizational Vitality An effective Urban League affiliate has sufficient resources and assumes responsibility for managing them, in order to ensure the continuation and expansion of the Urban League in the affiliate community.

Human Resources The affiliate's 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.

Personnel Policies

Standard 1 An 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.

Indicators of Effectiveness 1.1

Attach a copy of the affiliate’s personnel policies indicating the date that were last reviewed and approved by the board of directors. ___/___/___.

Verification Source or Comment(s) Board minutes. Reviewed by Jackie Lewis, Cynthia Watts audit committee reviewed 1.2

Affiliate personnel policies for employed staff are reviewed every three (3) years and are consistent with federal, state, and local statutory requirements pertaining to employment, wages and hours, health and safety, and equal employment opportunity. _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 to and training for appropriate work responsibilities, ongoing supervision and evaluation, and opportunities for advancement. _X__Yes ___No

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 9

2013 National Urban League Affiliate Performance Assessment

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.

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 10

2013 National Urban League Affiliate Performance Assessment Fundraising

Standard 2 Fundraising provides an important source of financial support for the work of the affiliate.

An 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.

Affiliates 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.

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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 11

2013 National Urban League Affiliate Performance Assessment 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 sources.

Year (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

____2011________

_____________________

____2012________

____$27,502.00___________

____2013________

____$13,403.30____________

Verification Source or Comment(s) Board personal contribution summary record

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 12

2013 National Urban League Affiliate Performance Assessment 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)

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)

3.4

Affiliate Accounting Manual

Internal Control documentation

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) 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)

3.6

Affiliate A-133 Audits

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) findings

3.7

Affiliate A-133 Audits

Copy of management response to A-133

Does the affiliate reconcile all cash accounts monthly? _X__Yes ___No Verification Source or Comment(s) reconciliations

CRITERIA, STANDARDS AND INDICATORS/2013

Last six (6) months bank account(s)

PAGE 13

2013 National Urban League Affiliate Performance Assessment 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) 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) circumstances 3.10

Contracts and copy of payment request from

Affiliate Audits, and if so, please explain the

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) 3.11

Affiliate audits, and if not please explain

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)

CRITERIA, STANDARDS AND INDICATORS/2013

Affiliate audits

PAGE 14

2013 National Urban League Affiliate Performance Assessment 3.12

For the last three (3) years, according to the affiliate’s audits, does the affiliate’s debt to asset exceed 50%? ___Yes _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)

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)

3.16

Form 990T

Contracts, service and/or grant agreements

Does the affiliate have a written policy related to investments? _X__Yes ___No Verification Source or Comment(s)

CRITERIA, STANDARDS AND INDICATORS/2013

Investment Policy

PAGE 15

2013 National Urban League Affiliate Performance Assessment 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) 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) plan

3.19

Provide a copy of the affiliate fund reserve

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) of written changes/responses

3.20

Provide a copy of the affiliate fund

Board Minutes, page _____ of approval; copy

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 comply 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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 16

2013 National Urban League Affiliate Performance Assessment 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)

4.4

Does the affiliate prepare an income and expense statement monthly? _X__Yes ___No Verification Source or Comment(s)

4.5

Copy of policy Page 48 Accounting Manual

Monthly board financial packet

Does the affiliate budget planning process include management personnel, the President/CEO and members 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) 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) cancelled checks 4.8

CFO

Policy statement and amount- Page 48

Explain the review process- Do not review

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

Criteria 2: 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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 17

2013 National Urban League Affiliate Performance Assessment 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)

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)

4.12

Affiliate policy/process, page ______

Do the affiliate’s Financial or Administrative Policy and Procedures Manual prohibit the use of bank issued debit cards? ___Yes _X__No Verification Source or Comment(s)

4.14

Copy of bonding insurance

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)

4.13

Appropriate documentation

Affiliate policy, page ____

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) budgets

CRITERIA, STANDARDS AND INDICATORS/2013

Board minutes, page ____, copy of adopted

PAGE 18

2013 National Urban League Affiliate Performance Assessment Criteria 2: Organizational Vitality 4.16

For the last three (3) years, actual operating income has equaled or exceeded actual operating expenses. ___Yes _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) 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)

4.18

Affiliate financial audit, strategic plan.

The affiliate board of directors has established written policies for the use of affiliate operating reserves. ___Yes _X__No Verification Source or Comment(s) minutes, page _____

4.19

Affiliate financial audits

Affiliate Operating Reserves Policy, board

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, committee minutes, monthly financial packets to board.

4.20

____,

finance

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) minutes, page _____

4.21

page

Affiliate audit, management letter, board

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

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 19

2013 National Urban League Affiliate Performance Assessment 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 policy. ___Yes _X__No Verification Source or Comment(s)

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) conflict-of-interest statements

5.3

Policies and procedures for property use

The affiliate owns or leases sites and facilities needed to support services. _X__Yes ___No Verification Source or Comment(s) for all affiliate sites and facilities

5.6

Risk management plan, insurance summary

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)

5.5

Board minutes, page ___, copies of signed

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)

5.4

Affiliate dues deposit and transmittal records

Deeds and leases and/or agreements

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 plan. ___Yes ___No Verification Source or Comment(s) Long-range property acquisition, maintenance and utilization plan

CRITERIA, STANDARDS AND INDICATORS/2013

PAGE 20

2013 National Urban League Affiliate Performance Assessment 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.

Endowments

Standard 6 The affiliate board has made financial provisions to provide for the perpetuation of the Urban League within its service area.

Indicators of Effectiveness 6.1

The affiliate board has established a 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 of directors maintains control of all restricted funds. _X__Yes ___No Verification Source or Comment(s) page ____, affiliate financial audit

Affiliate board minutes, page ___, bylaws,

Corporate Goals

Standard 7 The affiliate utilizes a planning system to maximize the effective and responsible development and use of resources.

Indicators of Effectiveness 7.1

The board has adopted corporate goals and objectives that give direction to the total work of the affiliate. _X__Yes ___No Verification Source or Comment(s)

CRITERIA, STANDARDS AND INDICATORS/2013

Strategic Plan, board minutes, page ____

PAGE 21

2013 National Urban League Affiliate Performance Assessment 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) chart 7.3

President/CEO’s reports, organizational

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

Describe how the affiliate monitors changes in legal and regulatory requirements

8.2

Provide a copy of the affiliate’s document retention policy Pg 82 Accounting Manual

8.3

Describe how the affiliate internally reviews its compliance with existing legal, regulatory, financial and National Urban League requirements.

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2013 National Urban League Affiliate Performance Assessment

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. 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. _X__Yes ___No Verification Source or Comment(s) Copy of current program Intake form(s)

1.4

Service Contracts. The affiliate program(s) requires client and provider to sign a service contract which outlines both client and program responsibilities. _X__Yes ___No

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2013 National Urban League Affiliate Performance Assessment

Criteria 3: Implementation of Mission Verification Source or 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) Employee Handbook

2.2

Copy of statement of client’s rights

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

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2013 National Urban League Affiliate Performance Assessment

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

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2013 National Urban League Affiliate Performance Assessment 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 employment. ___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 management policy

4.7

or

Comment(s)

Copy

of

affiliate

performance

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

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2013 National Urban League Affiliate Performance Assessment Verification Source or Comment(s) Copy of program schedule(s) 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. _X__Yes ___No

Criteria 3: Implementation of Mission Verification Source or Comment(s) Walk through of facilities 5.3

Equipment. The affiliate provides sufficient and up-to-date materials and equipment for program participants. __X_Yes ___No

Verification Source or Comment(s) This can be verified by a walk through of our facilities.

5.4

Staff-Client Ratios. The affiliate program(s) meets industry and regulatory staffclient ratios for program, activity and age groups. __X_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) 5.5

Safety. The affiliate has in place protective measures for protecting staff and client safety while participating and leaving program activities. _X__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.

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 CRITERIA, STANDARDS AND INDICATORS/2013

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2013 National Urban League Affiliate Performance Assessment 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.

5.6

Accommodations for Disabilities. The affiliate has accommodations for disabled clients which meet industry and regulatory standards for disabled clients. _X__Yes ___No Verification Source or Comment(s) Copy of affiliate ADA policy statement, Walk through of facilities

Please see Section1, page 4 of the Employee Handbook.

Standard 6

The affiliate program has a written program design, which includes program rationale, target population, specific program activities and key client outcomes.

Indicators of Effectiveness 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. __X_Yes ___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.

(See contracts) 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. _X__Yes ___No Verification Source or Comment(s) Copy of communication and marketing plans

Target populations are indicated in the grants, contracts and/or proposals that fund initiatives.

(See contracts)

Criteria 3: Implementation of Mission 6.3

Measurable Goals and Objectives. The affiliate program design includes measurable program goals and objectives. _X__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 contracts)

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2013 National Urban League Affiliate Performance Assessment 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)

Standard 8

The affiliate program has and implements an evaluation plan for describing client outcomes and assessing program effectiveness.

Indicators of Effectiveness 8.1

Evaluation Plan. The affiliate program(s) has a written evaluation plan for demonstrating program effectiveness. _X__Yes ___No Verification Source or Comment(s) Copy of written evaluation plan for program(s)

8.2

Performance Targets. The affiliate sets targets for program(s) performance on selected outputs, client outcomes and indicators. _X__Yes ___No Verification Source or Comment(s) Copy of key outputs, client outcomes, indicators and programmatic targets.

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2013 National Urban League Affiliate Performance Assessment 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

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