How to Start a Nonprofit: Templates and Samples

Sample personnel policies

Sample whistleblower policies

Sample employee performance evaluation form

Sample executive director performance evaluation form

Sample Personnel Policies

PERSONNEL POLICIES OF ORGANIZATION

1. INTRODUCTION

The ORGANIZATION is committed to fair, clearly stated and supportive relationships between the organization and its staff. The personnel policies of the ORGANIZATION have been established in order to provide a guide to the personnel practices of the ORGANIZATION and to ensure consistency of personnel decisions. It is the intention of the ORGANIZATION to administer the personnel programs in a manner which complies with the letter and spirit of all applicable federal, state and local regulations. This document is designed to provide guidance to staff at the ORGANIZATION. It is not a part of any contract between the ORGANIZATION and its employees. It is only a set of informal guidelines for personnel practices. Notwithstanding the provisions of the personnel policies, all employees are "at will employees" which means that they may be terminated at any time with or without cause without subjecting the ORGANIZATION to a claim for breach of an employment contract.

Employee Classification

All employees are classified as either regular or temporary. Regular employees are employees hired without a specific termination date. Temporary employees are employees whose position at the time of hire is for a short-term period. Terms of employment will depend on agency needs, and in no case will a temporary position be construed as being a contract for a definite time.

Employees also are classified as either exempt or non-exempt according to provisions of the Fair Labor Standards Act.

Regular Full-time Employees are those employees who work 40 hours per week and are eligible for all fringe benefits.

Regular Part-time Employees are those employees working at least 20 hours but less than 40 hours per week. Part-time salaried employees are eligible for all fringe benefits and earn sick leave and vacation at a rate proportionate to the hours they work. Regular part-time employees that work less than 20 hours per week are not eligible for fringe benefits.

Temporary Employees are those employees who are paid hourly under Letter of Agreement for a specified period of time. Temporary employees are not eligible for benefits.

2. AFFIRMATIVE ACTION

The policy and intent of the ORGANIZATION is to provide equal employment opportunity for all persons regardless of race, color, religion, national origin, marital status, political affiliation, affectional orientation or gender identity, status with regard to public assistance, disability, sex, or age.

The ORGANIZATION intends to respond affirmatively in its employment practices. Affirmative action applies to all aspects of employment practices including, but not limited to, recruiting, hiring, placement, promotion, demotion, transfer, training, compensation, benefits, layoff, recall, and termination. The ORGANIZATION seeks to do business with organizations that encourage equal employment opportunity.

3. RECRUITMENT PROCEDURES

The ORGANIZATION intends to recruit, hire, and place applicants on the basis of the applicant's relative knowledge, skills, and abilities. The decision to employ an applicant will be based solely on the individual's qualification for the particular position along with other requisite job skills. Minimum qualifications shall be specified in the job description.

When a new position is established, the Executive Director will prepare a job announcement identifying the position's responsibilities and overall relationship to the ORGANIZATION for posting or circulation within the ORGANIZATION and for public notification. Posted positions will be open for a minimum application period of 15 days.

4. COMPENSATION

Persons employed by the ORGANIZATION in a part-time or full-time capacity except those persons in non-exempt positions will receive a salary negotiated at the time of recruitment that will not be based upon an hourly wage. At the time of hire, new employees will receive a letter of hire, a job description, salary and benefits detail and a copy of the personnel policies. The magnitude of the work assignments and the full scope of responsibility for the position will be fully discussed at time of hire. In setting compensation, the ORGANIZATION may consider, among other things, external labor market rates, equitable relationship with other jobs within the organization and the organization's ability to pay. Each employee may be eligible for a salary review at the beginning of each fiscal year. The Board of Directors will determine the Executive Director's salary.

5. WORK SCHEDULE

The ORGANIZATION will establish a 40 hour weekly work schedule, and whenever possible will accommodate each individual's personal commitments and the needs of the organization.

6. HOLIDAY SCHEDULE

Official holidays are as follows:

New Year's Day - January 1
Martin Luther King Holiday - January
Memorial Day - May
Independence Day - July 4
Labor Day - First Monday in September
Thanksgiving Day - Fourth Thursday in November
Day after Thanksgiving Day - Fourth Friday in November
Christmas Eve - December 24
Christmas Day - December 25

When New Year's Day, Independence Day, or Christmas Day falls on a Sunday, the following day shall be considered the official holiday. When these holidays fall on a Saturday, the preceding Friday shall be considered the official holiday.

Floating Holiday

Each employee of the ORGANIZATION also shall have two floating holidays to be used in each calendar year.

For regular part-time employees, holiday time will be compensated in proportion to the usual hours worked. Temporary employees are not compensated for holidays.

7. PARENTING LEAVE

The ORGANIZATION desires to assist new parents in balancing the demands of working and caring for children. The ORGANIZATION will provide up to 8 weeks of unpaid family leave to any employee for the birth or adoption of a child. Leave must be initiated within six weeks of the birth or adoption of the child, unless otherwise approved by the Executive Director. The use of the 8 weeks shall be at the discretion of the employee and shall be discussed with the Executive Director as to its impact on ongoing work responsibilities and other employees. Although a maximum of 8 weeks is available, an employee may utilize accumulated sick leave as well as annual leave to enable either partial payment for or extension of the basic 8 week period. Special circumstances shall be reviewed by the Executive Director. Insurance benefits will continue to be in force during this leave period but all premiums and expenses for benefits will be paid by the employee. Accrual of leave benefits and seniority cease during an approved leave. Upon completion of leave, the employee will be allowed to return to the same or a substantially similar position at the same salary as the employee earned prior to the leave.

8. ANNUAL LEAVE (Vacation Time)

The ORGANIZATION will provide to each full-time staff employee 120 hours or 15 working days paid annual leave based upon one year's full time employment with the ORGANIZATION. Accrual of annual leave will commence upon the date of employment for each employee and will be based, on an annual basis, upon each individual's anniversary date with the ORGANIZATION. Annual leave will increase with the number of years employed by the ORGANIZATION as follows:

0-3 years = 15 days
4 years = 16 days
5 years = 17 days
6 years = 18 days
7 years = 19 days
8 years = 20 days

Employees may use their annual leave as earned if absence from assignment does not unduly provide an impediment for completion of an assigned task or prevent other staff from completion of their work assignments. The Executive Director must approve scheduled absences and the employee should request such leave as soon as possible, with a minimum of two weeks in advance.

It is the policy of the ORGANIZATION to encourage each employee to utilize allotted annual leave during each individual's employment year. A maximum of five days, or 40 hours, will be allowed to be carried over from one year to the next. All other accrued annual leave will be forfeited on the employee's anniversary date. The interchange or exchange of annual leave and sick leave is not allowed.

Special Leave

Special leaves of absence without pay may be granted an employee at the discretion of the Executive Director or in the case of the Executive Director, the Board of Directors.

School Conference and Activities Leave

An employee is entitled up to sixteen hours non-paid leave during the school year to attend a child's school conferences or classroom activities, if these activities cannot be scheduled during non-working hours. This time should be scheduled in advance with the employee's supervisor. The employee must provide "reasonable" notice when possible to the supervisor to minimize any disruption resulting from the employee's absence. Vacation or floating holidays may be used for this absence.

Bone Marrow Donor Leave

An employee will be granted paid leave of up to 40 hours per year to undergo a medical procedure to donate bone marrow. All sick leave must be used first. This time will be charged to accrued sick leave except in cases where the employee has no accrued sick leave, in that case, it would simply be paid time off.

9. SICK LEAVE

The ORGANIZATION will provide up to ten working days each employment year to each staff person to be utilized for purposes of addressing health needs. Compensation will be based upon the employee's salary rate at the time sick leave is taken. Sick leave may be utilized at the discretion of the employee and is granted for sickness of the individual employee, his or her spouse/partner, children, or other immediate family members. Sick leave can also be used for health needs, e.g. dental or medical appointments.

Each staff person of the ORGANIZATION should notify the office each day they will be absent from work due to illness, if at all possible.

Sick leave may be accumulated up to a maximum of 90 days and may be carried over from one employment year to the next. At no time will compensation for any unused sick leave be made to an employee who is leaving employment.

Sick leave will be pro-rated for regular part-time employees. If requested by the Executive Director, the employee will provide documentation from their treating physician explaining their absence.

10. COMPASSIONATE LEAVE

Employees of the ORGANIZATION shall be granted up to three working days with pay due to a death in their immediate family (mother, father, sister, brother, spouse/partner, children, in-laws, grandparent, and grandchildren). The Executive Director will consider special cases on an individual basis.

11. JURY DUTY

The ORGANIZATION will pay an employee his or her normal pay for up to two weeks of jury duty.

12. VOTING LEAVE

The ORGANIZATION will grant to all employees one-hour during the working day to vote in governmental elections when it is not possible to vote outside the regularly scheduled work time.

13. MILITARY LEAVE

Employees absent on their annual two-week reserve or National Guard duty shall be considered on an excused leave of absence and may elect one of the following options related to their pay:

• The employee may take their vacation and retain their military pay.
• The employee may surrender their military pay to the ORGANIZATION, receive their regular salary and take their vacation at a later date.
• The employee may take unpaid leave and retain their military pay.

An employee called up to active duty is allowed an unpaid leave of absence to meet her/his military responsibilities.

Upon honorable discharge from active duty, the employee will be allowed ninety days to apply for reinstatement to her/his former job. The employee will be reinstated to the same job formerly held, with the same duties, same level of pay, benefits and seniority had s/he not been on active military duty. Employee benefits will not accumulate during the leave. The employee will be given a Consolidated Omnibus Budget Reconciliation Act notice for election to continue insurances during the leave.

14. HARASSMENT POLICY

It is the ORGANIZATION's belief that the employees of the ORGANIZATION are the primary means by which the goals and objectives of the ORGANIZATION will be met. To that end, the rights of all employees must be respected. All employees of the ORGANIZATION must understand its position on harassment. By definition, harassment is any unwanted attention or action prohibited by law by someone in the workplace that creates an intimidating, hostile, or offensive work environment, including sexual harassment. The procedure for reporting and dealing with this very sensitive issue is as follows:

• If a person's behavior makes an employee uncomfortable, the employee should feel free to immediately advise the person that, in the employee's opinion, the behavior is inappropriate and that the employee would like it stopped.
• If the employee is not comfortable discussing the issue with the person, or if the person fails to respect an employee's request, the employee should report the incident to his or her supervisor. If, for whatever reason, the employee does not feel that the supervisor is a suitable person to whom to report the incident, the employee should contact the Executive Director or, if appropriate, the Board Chair or a member of the Personnel Committee.

In all instances, a prompt, thorough and, fair investigation will take place, giving careful consideration to protect the rights and dignity of all people involved. The ORGANIZATION will take those steps it feels necessary to resolve the problem, which may include verbal or written reprimand, suspension or termination.

No retaliation or any kind will occur because an employee has in good faith reported an incident of suspected harassment. The supervisor, or other person to whom the complaint was made, will work to establish mutually agreed upon safeguards against retaliation while attempting to mediate any sexual harassment complaint.

15. SUBSTANCE ABUSE

Employees needing help with a substance abuse problem are encouraged to contact their supervisor or a treatment facility.

Early recognition and treatment are critical to any program to curb abuse and to enhance the employee's ability to perform satisfactorily. The ORGANIZATION finds that both the employee and the ORGANIZATION will benefit greatly from early substance abuse recognition and treatment.

No person will be penalized for seeking or accepting counseling or treatment for a substance abuse problem.

16. BENEFITS

The ORGANIZATION is committed to providing a flexible and cost-effective medical care, disability income, life insurance and retirement program for all its employees. The ORGANIZATION reserves the right, in its discretion, however, to change the nature of the benefits offered to employees, or to change insurance carriers, deductibles, premiums, or other features of any benefit. In addition, ORGANIZATION may decide to discontinue one or more benefits. Covered employees will be notified of such changes or discontinuations as soon as practicable.

17. PERFORMANCE REVIEWS

Each performance review should be a positive and interactive process whereby both the ORGANIZATION and the individual being reviewed receive information about his or her success in meeting the responsibilities of the job, and the ORGANIZATION can learn about its strengths and weaknesses as an employer of that employee. In general, the goal of the ORGANIZATION is to conduct a performance review of each new employee during the sixth month of employment, after the first year of service and annually thereafter.

18. EMPLOYMENT REFERENCES

When the ORGANIZATION receives a request for information from another person or entity about an employee, either during employment or after the employee's employment has ended, it is the ORGANIZATION' policy to provide only the following:

a. dates of employment
b. last job title

In general, ORGANIZATION policy is not to furnish any other information about work performance or employment, unless the employee specifically directs it to do so and signs a release prepared by the ORGANIZATION which authorizes it to do so. If an employee does not authorize the ORGANIZATION to furnish any additional information, it will advise the requesting person or entity that, absent a release, ORGANIZATION's policy is to provide only the information set out in a-b above.

19. TERMINATION

Resignation

Any employee of the ORGANIZATION may resign by submitting a letter of resignation to the Executive Director or in the case of the Executive Director, the Board of Directors at least ten working days prior to the effective date of the resignation.

At the time of the effective date of the resignation, the employee shall be able to use any accrued annual leave or the employee shall be paid for all unused accrued annual leave. If the employee has used all annual leave due prior to resignation, all hours used in excess of those earned shall be deducted from the employee's final paycheck at the rate of salary paid at the time of resignation. No employee shall be compensated for any unused sick leave at the time of resignation.

Other Discharges

Discipline and/or discharge may result for many reasons including, but not limited to, inappropriate behavior and/or unsatisfactory performance.

Inappropriate behavior is defined as including, but not limited to, misbehavior on the job, refusal to do work reasonably expected, wrongful use of or taking of agency property, conviction of a felony, violation of any policies or practices of the ORGANIZATION.

Unsatisfactory performance means failure of an employee to meet performance standards, to complete tasks in a timely, competent way, or to maintain an adequate attendance record. Uncooperative behavior or negative attitudes that affect the work or morale of others may result in termination. At the discretion of the Executive Director, any staff member facing termination for unsatisfactory performance may be given the option to resign as described in the above section under "Resignation."

Layoffs

The ORGANIZATION attempts to hire highly qualified staff with broad capabilities. There may be occasions, however (due to program changes, loss of contract support, etc), when it may be necessary to initiate lay-offs. In such cases, it is the intent of the ORGANIZATION to attempt to avoid abrupt, arbitrary, and unfair actions whenever possible.

20. EMPLOYEE APPEALS (Grievance Procedures)

The purpose of the employee appeal procedure is to provide a means for employees to resolve their work place concerns with management. All regular and temporary employees of the ORGANIZATION may file a grievance under this section.

Definition of an Appeal

A grievance shall be determined as an alleged misapplication of ORGANIZATION personnel policies. This procedure represents an intent to offer a dispute resolution mechanism to the employees of the ORGANIZATION. Failure by the ORGANIZATION to exactly follow this procedure shall not subject the ORGANIZATION to a breach of contract claim.

Timing for Appeals

In order to qualify for processing under this section, an appeal must be filed no later than thirty (30) calendar days after the date on which the aggrieved condition commenced.

Step One:

Any employee who is eligible may present an appeal to his/her immediate supervisor for discussion. The supervisor shall have five (5) regular working days in which to respond to the relief requested. Should the supervisor fail to respond within this time limit or if the employee finds the response unsatisfactory, the appeal may be reduced to writing, clearly specifying the policy allegedly misapplied, and the relief requested. The appeal should be submitted to the Executive Director within five (5) regular working days from the time the first step answer was due or was given. The Executive Director should respond in writing within five (5) days of receipt and if the Executive Director fails to respond within this time, or if the employee finds the response unsatisfactory, or in cases where the Executive Director is the immediate supervisor, the employee may proceed to Step Two.

Step Two:

The employee may submit an appeal to the Personnel Committee if Step One has not resolved the issue. Upon receipt of a written appeal, the Personnel Committee will inform the Executive Committee and the Board Chair of the appeal. The Personnel Committee shall also convene a meeting wherein statements shall be taken from the appealing employee and the employee's immediate supervisor, as applicable, either separately or jointly at the discretion of the Personnel Committee Chair. The Personnel Committee may also request statements from other employees. The Committee may refuse to grant the employee's request for appeal when the issues involved are minor in nature, or involve evaluations or judgments by management unless they appear to be contrary to policy, malicious or vindictive. The Personnel Committee shall have twenty (20) regular working days in which to respond to the employee in writing concerning the relief requested. If the Personnel Committee fails to respond within this time limit, the employee may petition the Chair of the Board of Directors. Failure on the part of the employee to petition the Chair of the Board of Directors within thirty (30) days of the result of Step Two shall result in the appeal being waived.

Step Three:

The Chair of the Board shall convene a meeting with the aggrieved employee, the Personnel Committee Chair, the Executive Director and the Immediate Supervisor, as applicable, either separately or jointly at the discretion of the Chair. The Chair may convene an executive committee meeting and within ten (10) working days shall respond to the grievant in writing with the final decision. In all instances, a thorough and fair investigation will take place, giving careful consideration to the rights and dignity of the people involved. The Chair will report the grievance and the result at the next regularly scheduled Board meeting.

21. WORK PRODUCTS AND FILES

All supplies, materials, and work products of an employee if purchased by ORGANIZATION shall remain the property of the ORGANIZATION after resignation, discharge, or layoff of that employee. The employee may retain any personal files, but work files and other papers shall remain with the ORGANIZATION.

22. CONSULTANT FEES, HONORARIA, GIFTS

All employees are encouraged to participate in a variety of community and professional activities. In those instances where an employee's activities are part of their regular duties and responsibilities, any payment will be turned over to the ORGANIZATION. All fees derived from ORGANIZATION reports, activities, events, or speaking engagements while employed by the ORGANIZATION shall also be turned over to the ORGANIZATION.

In some instances, an individual may do work that is based on activities or experiences prior to or separate from their regular duties and responsibilities at the ORGANIZATION. To avoid actual or appearance of conflict of interest, any employee who engages in any remuneration activity in any field directly related to ORGANIZATION programs must have prior approval by the Executive Director. The Board of Directors will review these issues for the Executive Director. No employee may formally represent himself/herself as a spokesperson for ORGANIZATION without prior approval of his/her supervisor.

Employee Acknowledgement

I acknowledge that I have read and understood the policies outlined in this copy of ORGANIZATION'S Personnel Policy Guidelines. I understand that these policies provide only a general reference and are not a full statement of ORGANIZATION's procedure nor are they a contract. I will update these policies as I am provided with new materials, and I will return my copy of the Personnel Policies to ORGANIZATION upon termination of my employment.

Employee signature ____________________________     Date ____________

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Sample Employee Evaluation Form

WHISTLEBLOWER POLICY

In the aftermath of the Enron and Worldcomm debacles, the federal government enacted measures to protect individuals who come forward with information about financial mismanagement and corporate cover-ups through the 2002 Sarbanes-Oxley Act (SOX). While most of SOX applies only to publicly traded companies, a few provisions, including whistleblower protection, apply to nonprofit organizations filing a 990. Whistle-blower policies set out procedures for addressing complaints from employees regarding financial improprieties or misuse of organizational resources and to help foster an ethical and more transparent workplace.

Legal Authority

SOX prohibits employment related retaliation against whistleblowers that provide information on specific financial crimes under federal law by all entities, including nonprofit organizations.

In Minnesota, state law also prohibits employment related retaliation against whistleblowers that in good faith report violations of state or federal law to an employer or government body. The statute also prohibits retaliation against an employee that does not conform to an employer’s order that the employee has an objective basis to believe is illegal and the employee has so explained his refusal.

While the above legal requirements may be fulfilled without a written whistleblower policy, the IRS “encourages the board of directors to adopt an effective policy for handling employee complaints and to establish procedures for employees to report in confidence any suspected financial impropriety or misuse of the charity’s resources.”

990 Disclosure

The 990 inquires in Part VI, Section B, Question 13
“Does the organization have a written whistleblower policy?”

Unlike the Conflict of Interest inquiry, question 13 on the adoption of a whistleblower policy does not suggest content or procedures to follow for the policy. Nonetheless the intent of this question is to encourage compliance with law and to protect employees who in good faith report a violation of state or federal law and to provide some internal procedures to the organization to address concerns, in an attempt to prevent fiscal impropriety or misuse of organizational resources.

Thinking through tailoring a policy for your Organization

In drafting a whistleblower policy, tailor the policy to fit your organization’s needs, structures and culture. Keep in mind decision points included below. The following highlight the substance of generally included sections that comply with SOX and Minnesota Statutes.

• Section 1: Purpose
  • This section generally outlines the standard of conduct expected of people subject to the policy in business and personal ethics. It requires compliance with applicable laws and regulatory standards.
  • People covered include employees, board members, committee members and officers.

• Section 2: Reporting Responsibility
  • Most sample policies include an “open door policy” clause. An open door policy generally sets out the organization’s internal procedure to encourage an employee or board member to express concerns about the organization’s operations with someone who can properly address those concerns. These procedures are not overly rigid, but rather allow a board member or employee multiple options to state concerns.
• Sample reporting patterns:
  • Employee with concern could take it to the Executive Director. If the employee is not comfortable with the Executive Director or is unsatisfied with the response, then the employee may take the concern to the Board Chair. If not comfortable with the Board Chair, then the employee may seek answers from any other member of the Board of Directors.
• Decision point for organizations:
  • Think about your organizational structure, which roles would be better able to address concerns? Does the organization desire greater flexibility in reporting responsibility or desire a “chain of command” type reporting?

• Section 3: No Retaliation
  • This section generally has three parts.
    • First, it states that an employee or board member that in good faith reports a violation of law or regulation shall not suffer harassment, retaliation or adverse employment consequence.
    • Second, it states that an employee that does retaliate will be subject to discipline.
    • Third, it reiterates the intent of the policy is to encourage and allow people to raise concerns within the organization prior to seeking resolution outside of it.
• Section 4: Compliance Officer or Investigation
  • This section generally outlines the procedure for investigating and resolving employee complaints through a Compliance Officer, usually the Executive Director, but can also be the board chair, another board member, or outside counsel.
  • Some sample policies require complaint reporting to the full board or audit committee of the board.

• Section 5: Accounting and Auditing Matters
• This section requires the Compliance Officer to work with the Finance Committee of the Board to address the complaints raised regarding:
  • Corporate accounting practices
  • Internal controls
  • Auditing

• Section 6: Acting in Good Faith
• This section generally requires that concerns or complaints are brought forward in good faith with good cause for belief that there has been a legal or regulatory infraction.
• This section also sets out that concerns or complaints raised in bad faith or unreasonably substantiated allegations made maliciously may lead to disciplinary action.

• Section 7: Confidentiality
  • This section allows for complaints or concerns to be submitted on a confidential basis or anonymously.
  • Confidentiality is generally maintained, consistent with the need to conduct an adequate investigation.

• Section 8: Handling of Reported Violations
  • This section provides a timeline for acknowledgement of the complaint or concern to the complainant in writing and requires prompt attention and investigation of the complaint by the Compliance officer.

Other Considerations

Some policies also indicate that an “employee is protected from retaliation only if the employee brings the alleged unlawful activity, policy, or practice to the attention of the organization and provides the organization with a reasonable opportunity to investigate and correct the alleged unlawful activity.” Employee Protection (Whistleblower) Policy, Nonprofit Risk Management Center.

Sample Policies

• NCN sample
• Nonprofit Risk Management Center sample
• State Bar sample
• Charities Review Council sample

Additional Resources

• Minnesota Statutes Annotated § 181.932 (2009).
• Nonprofit Risk Management Center

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SAMPLE EMPLOYEE PERFORMANCE EVALUATION FORM

Employee name:_________________________________

Employee title: __________________________________

Period covered: __________________________________

Date of evaluation: ________________________________ 

General comments on employee's performance:

Employee's goals for the coming year:

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Sample Executive Director Evaluation Form

SAMPLE EXECUTIVE DIRECTOR PERFORMANCE EVALUATION FORM

PERFORMANCE DEFINITIONS

OUTSTANDING - Performance at this level is clearly unique and far in excess of established expectations. The employee consistently exceeds expectations in the outcomes achieved in work quality, quantity and timeliness. The employee exhibits leadership among peers in all dimensions of the field of work performed.

SIGNIFICANTLY EXCEEDS EXPECTATIONS - Performance at this level often exceeds established expectations and standards for work quality, quantity and timeliness. The employee exhibits mastery of most dimensions of the field of work performed.

FULLY CAPABLE - Performance at this level is satisfactory on the established expectations and standards for work quality, quantity and timeliness. The employee competently achieves the requirements of the position.

NEEDS IMPROVEMENT - Performance at this level is minimally capable and below the level expected employee. Improvement is required in significant dimensions of the job in order to meet the expectations and standards for work quality, quantity and timeliness. The employee performing at this level may be denied merit increases until fully capable performance is demonstrated.

UNSATISFACTORY - Performance at this level is unacceptable. The employee often fails to achieve basic requirements of the position and has exhibited little or no improvement in job performance. The employee performing at this level should not be continued in this position; or where extenuating circumstances exist, should be retained only upon significant improvements within a fixed period of time to be defined by the Employer.

PERFORMANCE FACTORS

1.  ADMINISTRATION

1a.  PLANNING: Develops short and long range plans and goals to meet department objectives consistent with established priorities; sets appropriate priorities of needs and resulting services to be provided; anticipates and prepares for future requirements and devises contingencies; devises realistic plans

1b.  BUDGETING AND ECONOMIC MANAGEMENT: Prepares an appropriate budget and subsequently adheres to it; utilizes finances, budgets, facilities, equipment, materials and products to minimize costs; actively practices cost containment.

1c.  ORGANIZATION OF WORK: Structures work in order to avoid crisis, promotes productivity, attains cost effectiveness, and delivers work on time. Involved in this process are the tasks of allocating work, delineating responsibilities, scheduling activities, and adequately preparing for meetings and presentations.

1d.  COMPLIANCE: Complies with established policies, procedures and directives; conducts department functions in accordance with applicable laws, statutes, and regulations.

1e.  PROBLEM SOLVING AND DECISION-MAKING: Identifies problem and acts to rectify them by employing analytical thinking and sound judgment.

1f.  EVALUATION AND CONTROL: Practices regular and systematic review of department operations to evaluate progress towards established goals; evaluates strategies employed in seeking those goals; implements remedial measures when necessary.

1g.  RISK (LIABILITY) MANAGEMENT: Ensures that liability risk exposures are identified and treated when proposing new programs and services; evaluates and monitors established programs and services to identify areas which need revision due to changes in operation, legislation, policies and procedures; implements changes where needed to facilitate favorable loss experience; manages employee safety program, including appropriate training and corrective action when necessary.

2.  INTERPERSONAL

2a.  ORAL COMMUNICATION: Effectively communicates orally with individuals and groups, including public presentations; presents ideas in an organized, clear and concise manner, employs tact and discretion; listens well; offers appropriate feedback.

2b.  WRITTEN COMMUNICATION: Prepares organized, clear, concise, accurate and informative letters, memos, reports and other documents which effectively fulfill content and timeliness requirements.

2c.  COORDINATION/COLLABORATION: Works well with others at various levels; keeps information flowing to the appropriate parties vertically (down as well as up) and horizontally; facilitates communication and problems solving among parties when necessary.

2d.  SUPERVISORY CONTROL: Effectively hires, assigns, directs, controls, evaluates performance, counsels and disciplines all other functions necessary or incidental to supervision; practices compliance with employment law guidelines and mandates.

2e.  LEADERSHIP: Promotes cooperation and team work among employees; establishes high standards of conduct and job performance for subordinates; maintains open communication channels; delegates work; leads by example.

2f.  STAFF APPRAISAL AND DEVELOPMENT: Provides good record of subordinate performance; reviews appraisal information with subordinates; aides subordinates in improving performance on current job; helps subordinates in setting up and implementing development plans and objectives; cross-trains employees; encourages subordinates to participate in training.

3.  INDIVIDUAL

3a.  EFFORT AND INITIATIVE: Requires little work direction; exhibits persistence an initiative; puts forth a consistent, energetic effort; assumes full and complete responsibility for accomplishment of department functions.

3b.  PROFESSIONAL/TECHNICAL COMPETENCE: Realistic knowledge and competence of the field and applies up-to-date technical/professional principles, practices, and standards appropriate to the functions of the department; acts as a resource person upon whom others can draw; professional demeanor maintained on a consistent basis.

3c.  INNOVATION: Displays original and novel thought in creative efforts to improve on the status quo.

3d.  OBJECTIVITY: Assesses issues, problems and decision situations based on the merits of the case presented; personal loyalties, biases, etc., does not influence department decisions; personnel decisions made on the basis of equal opportunity and objective job-related criteria.

3e.  CREDIBILITY: Through successful performance, instills the feeling of trust and dependability.

3f.  FLEXIBILITY: Adapts well to change, both internally and externally.

4.  LEADERSHIP

4a.  COACHING: Communicates a positive attitude; serves as a catalyst for action and encourages employees to try new things and to take calculated risks; provides honest feedback; minimizes tension and defensiveness; creates an environment for success; teaches and guides employees rather than controls.

4b.  EMPOWERING: Creates an awareness in others of their powers and self worth; involves others and shares powers in planning and decision-making; fosters leadership in others; challenges others to assume leadership roles and provides support by allowing them to risk, fail and learn; creates an environment in which others feel ownership for results and feel comfortable to take action to achieve desired results.

4c.  MODELING: Believes in public service; treats all with respect and dignity and creates an atmosphere of mutual respect and trust. Serves as a catalyst for action and is a team player, believes in oneself and looks at problem as opportunities; uses powers in a positive way; keeps one's work: accepts responsibility for mistakes; insists on excellence (not perfection); communicates and reinforces by what they do - not what they say; adapts to changes as conditions and situations warrant.

4d.  TEAM BUILDING: Builds group cohesiveness and pride; encourages cooperation; fosters and practices good communication, recognizes and rewards individuals and team accomplishments and contributions; shares success and rewards; manages conflict, which is inevitable.

4e.  VISIONING: Establishes and articulates a vision of what could be; looks to and plans for the future; accepts new challenges, keeps an open mind.

4f.  SELF-DEVELOPMENT: Is not static; prepares for the future; has the courage to identify and address shortcomings; is committed to self-improvement manages personal stress in positive ways.

Rank the executive director on the performance factors using the performance definitions (5=outstanding, 4=significantly exceeds expectations, 3=fully capable, 2=needs improvement, 1=unsatisfactory)

1.  ADMINISTRATION

 2.  INTERPERSONAL

3.  INDIVIDUAL

4.  LEADERSHIP

OVERALL EVALUATION  (Please check one.)

_____ Outstanding

_____ Significantly exceeds expectations

_____ Fully capable

_____ Needs improvement

_____ Unsatisfactory

What were the executive director's performance highlights in the past year?

_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________ 

What could have been most improved regarding the executive director's performance in the past year?

_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________ 

What should be the executive director's performance goals for the next year?
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________

Evaluator's Signature ____________________________     Date _______________

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Caveat: These samples were prepared to provide accurate information regarding the topics covered. Legal requirements and non-legal administrative practice standards discussed in the document are capable of change due to new legislation, regulatory and judicial pronouncements, and updated and evolving guidelines. The Minnesota Council of Nonprofits is providing this information for your reference, and this service does not constitute an engagement to provide legal, tax, or other professional services on either the part of the Minnesota Council of Nonprofits or the professionals who authored and/or reviewed it. If you require professional assistance on these or other nonprofit tax or administrative law issues, please contact an attorney, accountant or other professional advisor, or the relevant government agency.