Running head: BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON- PROFIT Paper Format: APA 6 th ed. Organizational Change Project: Board Creation and Program Development in a New Non-Profit Heather Mahardy Ph.D. in Leadership and Change Program – Antioch University July 2013
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Running head: BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-
PROFIT
Paper Format: APA 6th ed.
Organizational Change Project: Board Creation and Program Development in a New Non-Profit
Heather Mahardy
Ph.D. in Leadership and Change Program – Antioch University
July 2013
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 2
Background
Shikita Trahan, founder of Alliance for Community Empowerment, the non-profit agency
currently in its inception, sees a critical gap in services and resource access for at-risk youth in
historically marginalized communities in the Seattle area. After 12 years of volunteering and
working in schools and non-profit organizations, observing the successes and shortcomings of
various agencies’ programs and administrations, Ms. Trahan decided to pursue her commitment
to social justice in a new way: founding her own organization in order to provide direct services
and address community needs previously neglected or underserved by existing organizations.
In the founder’s experience, existing government and private agencies struggle to serve
the needs of at-risk youth and their communities due to a number of factors: limited resources,
limited cultural competency among agency leadership, failure to hire qualified people from the
neighborhood, continued academic achievement gaps among historically marginalized
populations, lack of effective and consistent leadership development opportunities for youth, no
clear network of services or standardized intake processes, and inconsistent financial resources.
Faced with these challenges, some agencies attempt to serve the majority population of a
neighborhood, choosing one marginalized population over another. This fractured approach
compounds existing threats to the success of at-risk youth and young adults: risk factors for high
school dropout, social pressure to join gangs, lack of high quality and appealing after-school
programs and sports, and limited access to high quality education and support services.
Rather than competing against existing agencies for funding, Alliance for Community
Empowerment seeks to establish a collaborative, community integrated support program by
actively engaging community members, middle and high school counselors, and other agencies
as active partners in order to assess needs, generate solution steps, and provide referrals and
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 3
direct services that are responsive to the High Point, West Seattle, White Center, Burien, South
Park, Kent, SeaTac, Des Moines, Federal Way, Rainier Beach, and Tukwila communities.
Proposed programs and services to be provided by Alliance for Community
Empowerment include: case management, resource referrals, academic advising, tutoring,
admissions support, service learning, leadership training, and sports camps. All programs will be
grant funded, providing services at no cost to at-risk youth and community members, so as to
mitigate financially prohibitive barriers to access.
My current position at Alliance for Community Empowerment is Vice President of the
board and Program Director, collaborating with the founder on a number of startup activities:
drafting a business plan, incorporating the organization, creating a board of directors, cultivating
strategic partnerships, securing grants, and program development. At this point in time, the
founder and I are the only employees and two additional board members have been recruited.
Criterion 1: Social Systems at Work in the Proposed Change
As referenced in the background section, existing government and private agencies and
organizations are encumbered by a number of challenges to effectively serving at-risk youth and
their communities. Financial scarcity impedes programs serving vulnerable populations,
including low-income families and at-risk youth, and state and private agencies face the
challenge of cutting back services and programs, potentially causing further marginalization of
the very populations the agencies were established to serve.
Another consequence of financial scarcity is an insular dynamic between agencies,
viewing other non-profits as threats to revenue streams, thereby discouraging interagency
communication, collaboration, or founding a coalition of agencies. In addition to forfeiting
opportunities to pool resources, the lack of interagency communication can result in redundant
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 4
programs and further complicates constituents’ resource access: an absence of coordinated
services and intake processes, the burden of navigating the bureaucracy of various agencies rests
on historically marginalized populations, still confronted with educational disparities.
Additionally, these marginalized populations often comprise only a minority of staff
positions within organizations serving high need communities, with the majority of program
management and senior leadership positions belonging to people from outside the community
and culture. Consequently, cultivating lasting relationships of trust and confidence with
marginalized communities continues to be a challenge for existing agencies intending to serve
these at-risk populations.
Establishing a collaborative, community-integrated agency that actively involves at-risk
populations in leadership decisions is in direct conflict with the dominant organizational culture
of existing agencies working in the High Point, West Seattle, White Center, Burien, South Park,
Kent, SeaTac, Des Moines, Federal Way, Rainier Beach, and Tukwila neighborhoods. Alliance
for Community Empowerment aims to invert the community engagement paradigm of existing
agencies, shifting the leadership, solution steps, and direction of social change back to the
communities when the agency will operate, as represented in Figure 1.
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 5
Figure 1. Proposed Community Engagement Culture at Alliance for Community
Empowerment
Since this agency is in its inception, there is a limited organizational structure in place,
consisting solely of the Board of Directors, with the founder and myself also serving as the only
two staff members. It is Ms. Trahan’s intention to create a Youth Advisory Board Member
position in order to develop a stronger relationship with youth and young adults in the
communities in which Alliance for Community Empowerment will operate. Figure 2
demonstrates the proposed organizational structure for the non-profit. Ms. Trahan has also
expressed an interest in embedding organizational health best practices throughout each phase of
the founding process.
historically marginalized and at-risk populations involved in leadership process and eventual
employment opportunities
directly engage community in
planning, implementation,
evaluation of programs/ services
community-dictated needs/
strengths assessment
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 6
Figure 2. Proposed Organizational Structure at Alliance for Community Empowerment
Criterion 2: Understanding of the Complexity of Planned Change
A number of risk factors impact at-risk youth at the individual, peer, family, school,
community, and societal levels. As such, a systems-based inquiry approach is essential to
understand the interconnected sociological factors impeding the success and empowerment of
this diverse and vulnerable population. By retaining the complexity of the risk factors and
sociological context – as opposed to trying to generalize or over-simplify the myriad challenges
facing at-risk youth – interventions can be specifically geared to addressing the needs of at-risk
youth and their communities.
In February 2013, the Building a Grad Nation Campaign reported that approximately 13
percent of Washington State high school students do not graduate. Additionally, Sitwell and
Sable (2013) cited Washington State as one of seven states with improving graduation rates, but
needing to accelerate intervention efforts. The demographic data is sobering, with historically
Board of Directors
Administrative Staff
Program Director
Instructors
Executive Director
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 7
marginalized populations comprising the majority of the students who drop out of school, as
Balfanz, Bridgeland, Bruce, and Fox (2013) explain:
A deeper look at the data, now possible as states and districts disaggregate information
consistently (a very beneficial legacy of No Child Left Behind), however reveals large
“graduation gaps” among subgroups in many states. The graduation rate for African
Americans, Hispanics, economically disadvantaged students, students with disabilities, or
with limited English proficiency lags far behind that of other students. These gaps
threaten individual prosperity, a strong economy, and a society that promotes opportunity
for all. … As the nation becomes more diverse, these students collectively will represent
the majority of students attending public high schools in many states. (p. 15-17)
Figure 3 demonstrates graduation data, as reported by Balfanz et al. (2013), for students in
Washington State. Subsequently, most of these populations are highly represented in the High
Point, West Seattle, White Center, Burien, South Park, Kent, SeaTac, Des Moines, Federal Way,
Rainier Beach, and Tukwila neighborhoods, the very communities where Alliance for
Community Empowerment intends to provide services.
2011 Adjusted Cohort Graduation Rate (ACGR) by
Subgroup
Percentage in
WA State Students with Disabilities 56
Students with Limited English Proficiency 51
African American Students 65
Hispanic Students 63
White Students 79
Figure 3. Washington State Graduation Rates (Balfanz et al., 2013, p. 28-29)
BoostUp (2011), a national organization addressing high school dropout, compiled the
ten most significant factors contributing to a student’s decision to quit school:
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 8
They don’t feel challenged in school.
They don’t feel high educational expectations from either their family or school.
They believe their parents are too controlling and they want to rebel.
They have trouble with schoolwork or feel like they are not as smart as other students.
They have drug, alcohol or mental health problems.
They miss school or are frequently tardy.
They struggle with problems at home, including physical or verbal abuse.
They feel like they don’t fit in or have friends at school.
Their peers or siblings have dropped out of school.
They have poor learning conditions at school – such as overcrowding, high levels of
violence and excessive absenteeism.
The Civic Marshall Plan, an educational reform campaign initiated by Building a Grad Nation,
purports four principles necessary to effectively address the myriad sociological factors – such as
those cited by BoostUp – affecting at-risk youth in the United States. Figure 4 demonstrates the
Civic Marshall Plan theory of change and key principles.
PRINCIPLES
Philosophy of the Civic Marshall Plan to Build a Grad Nation
PLANKS
Ten research-based strategies to the cohort approach
GOAL
90% high school graduation rate for Class of 2020 and all students college and career ready
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 9
Figure 4. Civic Marshall Plan Theory of Change and Principles (Balfanz et al., 2013, p. 44)
The current mission of Alliance for Community Empowerment is to empower at-risk
youth and young adults to create positive change in their communities by connecting them with
the resources and guidance needed to achieve their life goals. These necessary interventions will
be centered around direct services, assisting youth that seek educational options, are on the verge
of dropping out of school, have dropped out of school, or who may be part of the juvenile justice
system. Alliance for Community Empowerment intends to provide case management, resource
referrals, educational transition programs, athletic camps, and leadership development.
Criterion 3: Rationale for the Proposed Change Based on Identified and Substantiated
Need
Alliance for Community Empowerment seeks to fund its activities through grants and, as
such, must meet grant compliance criteria. Since the organization is in the early development
stages, grant compliance criteria and organizational health principles will be used to direct
foundational activities. La Piana Associates Inc. (2003) created a tool for grantmakers to assess
candidate startup organizations, including six indicators of organizational health (p. 17):
1. A Healthy Governance Function – The organization has a board of directors that
works collaboratively with the executive director, defines the mission and then
HIGH EXPECTATIONS
All students deserve a world-class education and all children can succeed, if provided appropriate
supports.
STRATEGIC FOCUS
Direct human, financial and technical capacities and resources to low-graduation rate communities,
school systems, schools, and disadvantaged students.
ACCOUNTABILITY AND SUPPORT
We must measure our work so that we know what’s working— and what is not. We must build state, school system, and school capacity to improve
graduation and college readiness rates.
THOUGHTFUL COLLABORATION
Ending the dropout crisis requires an all-hands-on-deck approach. To achieve collective impact,
collaborations must be deliberately planned, guided by shared metrics, and thoughtfully integrated to
maximize efficiency and outcomes.
Principles of the Civic Marshall Plan
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 10
develops strategies and policies that advance it. It also provides an independent check
on management’s actions and a connection to the community served.
Alliance for Community Empowerment is a non-profit organization, filing under tax-exempt
status. As a small startup, the current staff is limited, comprised of the Executive Director and a
Program Director, under the governance of the Board of Directors. At this point in time, the two
staff members are also executive board members, collaborating with other board members to
develop programs, clarify the organization’s mission and vision, identify strategic goals, and
seek potential partnerships with existing agencies and foundations. A draft description of board
roles exists, but will need to be formally adopted as part of the foundational process.
2. A Competent Executive Director – The staff leader of a staffed startup non-profit in
particular must be a jack-of-all-trades. The leader must work collaboratively with the
board and staff; provide a bridge to the community, funders and clients; chart a future
course; raise funds and model a high ethical standard. The executive director sets the
tone for internal communications and the staff’s working relationships with one
another.
The founder is currently completing a non-profit leadership certificate program through South
Seattle Community College and will need additional institutional leadership resources, as this is
her first time leading at an executive level. Clarification and formalization of the Executive
Director position will need to be addressed by the board.
3. A Sound Financial Management System – Nonprofits need a system that controls
expenditures and offers accurate, timely reporting to management on income and
expenses. Management also needs data for accountability and decision making,
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 11
including an annual budget. There should be regular external review, both by the
finance committee and, periodically, by independent auditors.
Currently, finances are supervised by the President and Vice President, as recruitment for a
Treasurer is ongoing. Financial accountability policies and procedures, along with the creation
of a finance committee, are critical tasks to be addressed during the next few months of the
foundational period. Additionally, a formal accountant position will need to be established and a
hiring process conducted for the position.
4. Workable, Legal, Human Resource Policy and Practices – Nonprofits typically
spend upwards of 80 percent of their income on people: salaries and benefits as well
as training and supervision. They must manage this function wisely, complying with
complex government laws and regulations, compensating people adequately within
limited resources and motivating them to perform their best. Internal communications
must be structured to provide staff with appropriate input into decision making and
current knowledge of the activities of other units within the organization.
Research on current human resource laws and regulations will need to be conducted, as well as
drafting formal organizational policies. All of these activities will occur under the supervision of
the Alliance for Community Empowerment board. Additionally, the organization may explore
the creation of a personnel committee, as the board grows and develops with the agency.
5. A Successful Fund Development Strategy – One way or another, a nonprofit must
obtain funds: from grants, contracts, fees or individual gifts. It is a matter of life or
death, and a nonprofit that cannot attract resources is in desperate trouble indeed. Few
startups will have a development director, so the board and executive director must
work together to raise the necessary funds.
BOARD CREATION AND PROGRAM DEVELOPMENT IN A NEW NON-PROFIT 12
One of the pressing tasks facing board members is securing grants to fund the startup process.
The founder has identified preliminary needs to inform grant selection activities: business
startups, charitable use real estate, computer systems/equipment, emergency funds, equipment,