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The Audit with Questions Only in Ethical Leadership in Human Services Write one additional audit question for each of the categories (board, staff, donors and fund raisers, clients/customers, volunteers, and society) listed in the sample audit in Appendix B of your text.
Explain why each question you wrote is important to assessing an organization’s ethical performance.
Board
_ Has the board developed a clear mission statement?_ Does the board use the mission statement as a basis for decision-making? If you are a foundation, do your grants fall clearly within your mission and funding guidelines?_ Do all board members know what the mission statement says?_ Is the board clear about its responsibilities? _ Is there adequate financial oversight? _ If board members have financial interests in the organization, how is this handled? _ If there are significant family, personal or business relationships between people in the organization, are there clear policies for addressing problems that may occur? _ Does the board have clear policies for dealing with conflicts of interest of all types? _ Is there a clear values statement and/or code of ethics? Is it known to everyone in the organization? _ Does the board meet regularly? _ Do all board members take an active role? Are there clear policies in place to dismiss members who repeatedly miss meetings or who otherwise fail to carry out their responsibilities? _ Is the board the right size to carry out its responsibilities? Has its size been discussed? _ Is free expression of ideas encouraged? _ Does the board assess its own performance regularly? _ Does the board use a clearly-defined process to evaluate the executive director? _ Does the board reflect the diversity of the population served? _ Are board meetings open to other people beside the directors?
Staff _ Do hiring policies strive to reflect the diversity of the population served? _ Is there a formal anti-discrimination policy? _ Do any staff members have financial interests in the organization? _ If there are significant family, personal or business relationships between people in the organization, are there clear policies for addressing problems that may occur? _ If employees work outside the organization or receive remuneration for speaking engagements, consulting, etc., how is this handled? _ Are policies in place to ensure accountability to the CEO and board? _ Do the personnel policies ensure fairness to all staff ? _ Beyond fairness, do personnel policies provide adequate health care, sick leave, leave to care for sick relatives, etc.? _ Are there clear policies in place for evaluating staff ? _ Are there clear policies in place for developing a salary structure and awarding pay increases? _ Are employees provided with adequate training and development opportunities needed for their jobs? _ How do staff voice disagreements? Are there clear and reasonable grievance procedures? _ How are staff represented on or to the board? _ Is the work place as safe, clean and comfortable as possible?
Donors and Fund Raisers _ Are all fund raising statements true and balanced? _ Does fund raising material provide a clear picture of actual programs? _ Are people who raise funds on your behalf fully informed about the organization? _ Might any of your solicitation methods be considered as unwarranted pressure to give? _ Is full information on your organization easily available to anyone who asks? (e.g., annual report, IRS Form 990 or 990 PF, financial statements, and clear funding guidelines for prospective grantees.) _ Do you educate your donors on the availability of this information? If you are a foundation, are staff or trustees available to answer questions and provide guidance? _ If you are a foundation, do you provide equal access to groups you know as well as to those who are newcomers? Does your giving include grass roots organizations and a healthy diversity of beneficiary agencies within your funding guidelines? _ What is the ratio of fund raising/administrative costs to program costs? _ How are fund raising and administrative costs allocated? _ Are you up-front with donors about how their contribution will be used? Do budgets submitted to donors reflect true figures and realistic projections? _ If priorities/needs change, do you request donor permission to use their contribution/ grant in a different way from the original stated purpose? If you are a donor, how flexible are you when nonprofits encounter changes in needs/priorities or difficulties in meeting grant agreements? _ How are your organization’s development staff compensated? _ Are there clear policies on how donors may be recognized for their contributions? _ Is there a formal fund raising policy defining how and from whom funds are to be solicited? _ Do you honor donor requests for anonymity (including exchange of lists)?
Clients/Customers _ Are policies in place to ensure confidentiality for clients? _ When information on clients is exchanged with other agencies, are clients asked for permission? How is this handled? _ Are clients given access to their records so that they may challenge or correct information on file? _ What policies are in place regarding social/sexual relationships between clients and staff ? _ Are clients treated with dignity and respect? _ Are clients provided with adequate information to evaluate and choose appropriate services? _ Are clients fully and fairly informed of alternative services? _ Are there adequate grievance procedures for clients who may be dissatisfied with services provided? _ Are program services available without discrimination? (Obviously, certain programs are targeted to specific groups; within those target groups, are services distributed fairly?) _ Are programs accessible to clients (location, hours of operation, physical access to the building)? _ Is information available in other languages, Braille or a recording, when necessary? _ How do you balance the rights of clients with the rights of staff/volunteers?
Volunteers _ Are policies in place to ensure adequate, appropriate screening of volunteers? _ Are all volunteers screened in the same way, including board members? _ Are all volunteers provided with training and appropriate supervision? _ Are your organization’s expectations made clear to the volunteer? _ Are the volunteer’s expectations clearly understood by the organization? _ Are volunteers assigned meaningful work? _ Are volunteers treated with dignity and respect? _ Is there a clear grievance procedure for volunteers? _ How are volunteers held accountable to the organization? _ Are policies in place for warning, dismissing, or reassigning volunteers who break agency rules or do not perform assignments as agreed? _ Are clear policies in place regarding volunteer recognition and reward? _ Are policies in place regarding reimbursement for expenses incurred in volunteer duties? _ Has the organization determined the type of volunteers necessary for its operation and made plans to recruit them?
Society _ Does your organization take adequate steps to educate the public about its programs and services? _ Does your organization provide full information about itself to any member of the public, not just to organizational donors and members? _ Is your organization sensitive and responsive to the needs and concerns of the neighborhood and community? _ Within allowable guidelines, does your organization do all it can to advocate for legislation and social change consistent with its mission? _ Does your organization employ ecologically beneficial practices, such as recycling, minimal use of electricity, etc.? _ Does your organization act with respect toward other organizations in the nonprofit sector? _ Does your organization conduct itself in ways that enhance the reputation of the nonprofit sector? _ Does your organization assume some share of responsibility for the well-being of the entire nonprofit sector? _ How does your organization handle competition with other nonprofit organizations?
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