Standards for private organizations

2020 Edition

Governance (GOV) 2: Strategic and Annual Planning

The organization engages in an inclusive long-term strategic planning process, and annually conducts short-term planning, in support of its mission.
NA The organization is a network management entity.
2020 Edition

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Purpose

The organization's governing body is sufficiently active, capable, and diverse to guide, plan, and support the achievement of the organization’s mission and goals.
Note: Please see the Governance Standards Tool Kit for additional guidance on this standard.
1
The organization's practices fully meet the standard, as indicated by full implementation of the practices outlined in the GOV 2 Practice standards.
2
Practices are basically sound but there is room for improvement, as noted in the ratings for the GOV 2 Practice standards.
3
Practice requires significant improvement, as noted in the ratings for the GOV 2 Practice standards.
4
Implementation of the standard is minimal or there is no evidence of implementation at all, as noted in the ratings for the GOV 2 Practice standards.
Self-Study EvidenceOn-Site EvidenceOn-Site Activities
  • Strategic and annual planning procedures
  • Long-term strategic plan
  • Review of service population demographics
  • Assessment of strengths and weaknesses
  • Annual plans
  • Governing Body and/or committee meeting minutes where mission fulfillment and strategic planning were discussed
  • Interviews may include:
    1. CEO
    2. CFO
    3. Governing body 
    4. Senior management
    5. Relevant personnel

 
Fundamental Practice

GOV 2.01

Long-term strategic planning responsibilities of the governing body include:
  1. monitoring progress toward fulfilling the mission;
  2. envisioning and setting the organization’s strategic direction; and
  3. supporting inclusive, management-directed, organization-wide, long-term planning every four years.

Interpretation

Organizations may use a policy governance model to demonstrate that the governing body has developed the organization’s broad vision and provided oversight to the operational planning activities conducted by management. The governing body need not conduct these planning activities itself.

FEC

Interpretation

For credit counseling organizations long-term planning must occur every 2-3 years.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • One of the elements is not fully addressed.
3
Practice requires significant improvement; e.g.,
  • Governing body involvement in the planning process is minimal; however, it does review and approve the long-term plan; or
  • Long-term planning has not been done in more than four years; or
  • One element is not addressed at all.
4
Implementation of the standard is minimal or there is no evidence of implementation at all; e.g.,
  • The governing body is not involved in the long-term planning process nor does it review or approve the plan; or
  • Long-term planning has not been done for more than five years.
  • The strategic plan is wholly inadequate or nonexistent.

 
Fundamental Practice

GOV 2.02

The governing body reviews and approves the long-term strategic plan to ensure that it encompasses:
  1. a review of the organization’s mission, values, mandates, and strategic direction;
  2. a review of the demographics of its defined service population;
  3. an assessment of strengths and weaknesses;
  4. measurable goals and objectives that support fulfillment of its mission and mandated responsibilities; and
  5. appropriate strategies for meeting identified goals, including the need to redirect, eliminate, or expand services to respond to changing community demographics and the needs of persons served.
EAP

Interpretation

 In an EAP the demographic profile is representative of its customer base.
Examples: To enhance its assessment, organizations can draw upon the findings of other external needs assessments, such as those conducted by the United Way, municipal planning boards, universities, or other organizations with a community-wide focus.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • The review of service population demographics did not include all populations served or geographic locations; or
  • The strategy (element (e)) for meeting one or two of the identified long-term goals needs greater specificity.
3
Practice requires significant improvement; e.g.,
  • One of the elements is not fully addressed; or
  • The mission has not been reviewed for more than four years; or
  • The organization did not review the demographics of its service population; or
  • Identified goals and objectives are vague; or
  • Most identified goals and objectives are not measurable; or
  • Strategies for meeting identified goals are cursory and do not provide a sufficient framework for success or implementation; or
  • Governing body involvement in the planning process is minimal, however it does review and approve the long-term plan; or
  • Long-term planning has not been done in more than four years.
4
Implementation of the standard is minimal or there is no evidence of implementation at all; e.g.,
  • Two of the elements are not fully addressed; or
  • The governing body is not involved in the long-term planning nor does it review or approve the plan; or
  • Long-term planning has not been done for more than five years; or
  • The strategic plan is wholly inadequate or nonexistent.

 
Fundamental Practice

GOV 2.03

The organization develops and implements an annual plan that supports its mission and integrates the priorities and objectives of each of its departments and programs, and:
  1. operationalizes the goals and objectives of the long-term strategic plan;
  2. reflects changing conditions and needs such as, resource allocation, funding, and regulatory changes; and
  3. responds to information from PQI activities.
Examples: Annual plans can also incorporate other regular planning processes, including:
  1. HR planning;
  2. evaluation of training needs;
  3. budget planning;
  4. technology and information management planning; and
  5. PQI summary reports.
1
The organization's practices reflect full implementation of the standard.
2
Practices are basically sound but there is room for improvement; e.g.,
  • Departmental priorities and objectives could be better defined; or
  • While department and program plans are not integrated into an organization-wide annual plan, all but one or two departments or programs have developed a comprehensive annual plan.
3
Practice requires significant improvement, e.g.,
  • Management objectives are not included; or
  • Several departments or programs are not included in the most recent annual plan or have not done an annual plan; or
  • One of the elements is not addressed at all.
4
Implementation of the standard is minimal or there is no evidence of implementation at all; e.g.,
  • Two of the elements are not addressed at all.