2011-2012 Handbook www.alcv.net P. O. Box 4732 Thousand Oaks, CA 91359

Assistance League® of Conejo Valley
a chapter of National Assistance League®
2011-2012 Handbook
P. O. Box 4732
Thousand Oaks, CA 91359
(805) 379-5686—Messages
email: [email protected]
www.alcv.net
ASSISTANCE LEAGUE of Conejo Valley (ALCV) is an all volunteer, charitable
corporation organized to develop and administer a program of philanthropic service in
the communities of Agoura, Moorpark, Newbury Park, Oak Park, Simi Valley, Thousand Oaks & Westlake Village.
Assistance League of Conejo Valley
2011—2012 Handbook
TABLE OF CONTENTS
A. GENERAL INFORMATION
Mission, Vision Statement, Presidents
3
Basics
4
Hours Form
5
Timeline
6
Board Meeting Dates
7
Regular Meeting Dates
7
History
8
Board of Directors, Committee Chairmen
9,10,11
About Us
12
B. PHILANTHROPIC PROGRAMS, RESOURCE DEVELOPMENT
AND APPOINTIVE STANDING COMMITTEES
C.
Philanthropic Programs
13
Resource Development Activities and Events
14
Appointive Standing Committees
14
FINANCE, POLICIES AND STRATEGIC PLAN
2010-2011 Budget
D.
15
Finance Policy
16,17
Record Retention
18-20
Conflict of Interest Policy
21,22
Code of Ethics & Whistleblower Protection Policies
23
Acknowledgments
24
Strategic Plan
25-27
Gift and Investment Policies
28-31
STANDING RULES AND BYLAWS
Standing Rules
32-34
Bylaws
35-42
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Assistance League of Conejo Valley
2011—2012 Handbook
MISSION STATEMENT
Assistance League of Conejo Valley is a nonprofit organization comprised of
volunteers who identify, develop, implement and fund ongoing philanthropic
programs to improve the lives of children and adults in our community.
VISION STATEMENT
Assistance League of Conejo Valley envisions its future as a leading volunteer organization
locally recognized for providing support and opportunities to members of our community with
a focus on enhancing the educational success of children and young adults.
PAST PRESIDENTS
Judy Jenkins........1995
Steering Committee Chairman
Guild Presidents
Judy Jenkins........…...1995—1996
Georgiana Harris .…...1996—1997
Judy Bottomley ...…...1997—1998
Daria Lippeatt .....…...1998—1999
Judith Robertson .…...1999—2000
Chapter Presidents
Jojean Bartos………...2000—2002
Diann Wilson………...2002—2003
Sylvia Lodato………...2003—2004
MaryKay Doane….…..2004—2006
Shirley Eichhorn……..2006—2008
Eileen Hannemann…...2008—2009
Katherine Morrow…....2009—2011
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Assistance League of Conejo Valley
2011—2012 Handbook
BASICS
Notify Hours Chairman if you are unable to attend a regular meeting. Hours calendar starts June 1st and
ends May 31st.
Recommended hours: VOTING MEMBER - 60 hours annually.
NEW VOTING MEMBER - 40 hours by May 31st.
Hours Form may be found on page 5 of this Handbook
Completed Hours Form may be emailed or turned in to the Hours Chairman at monthly meetings.
Always RSVP a day or two before any committee meeting. You are under no obligation to hold a
meeting at your home.
Annual Meeting – Installation and Luncheon
RESPONSIBILITIES OF NEW MEMBERS
1. To attend the Orientation for New Members.
2. To attend Regular monthly meetings (see page 9) at the North Ranch Community Center and a
minimum of five New Member Education Meetings (8:30 a.m. prior to Regular meetings). The first
regular meeting will be held in September. New Member Education Meetings will begin with the
October meeting.
3. To observe specific philanthropic programs and resource development activities (dates to be
announced).
4. To fulfill the required activities on the Orientation Requirement Checklist.
5. To fulfill the recommended service to be accumulated by:
● Philanthropic programs and travel time
● Monthly regular, orientation and education meetings
● Telephone and computer work
● Resource Development activities and travel time
● Financial commitments- Fees and dues:
•
$25 one time only orientation fee
•
$85 annual dues (as a voting member)
Membership recommendations can be found in the handbook under Standing Rules. Please direct
any questions or changes to the Roster to Judy Convery, V.P. Membership.
ABBREVIATIONS
(For internal use only)
AL
ALCV
OSB
ASK
SOS
WEB SITES
Assistance League® National organization
Assistance League® of Conejo Valley
Operation School Bell®
Assault Survivor Kits®
Spotlight on Seniors
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Assistance League of Conejo Valley
www.alcv.net
National Assistance League
www.assistanceleague.org
Assistance League of Conejo Valley
2011—2012 Handbook
Name: ______________ MONTHLY ALCV SERVICE HOURS
month:___________
WHEN RECORDING YOUR HOURS, ASK YOURSELF THESE 3 QUESTIONS:
1) Was the time spent related to a specific
philanthropic program or to the Philanthropic
Programs Committee meeting?
If your answer is “Yes,”
enter it against that category below.
2) Was the time spent related to a specific resource
development activity or event or to the
Resource Development Committee meeting?
If your answer is “Yes,”
enter it against that category below.
3) Was the time related to attendance at a regular
meeting?
If your answer is “Yes”
enter it against that category below
If your answer to these 3 questions is “No,” the time counts as General Service. Enter in that category below
NOTE:
Calculate your time in 30 minute increments.
Include all time spent on ALCV related activities including but not limited to:
phone calls; computer work; travel time to meetings; preparation for meetings
(including shopping for supplies, cooking, etc); storage unit work.
Do not include strictly social activities, eg Fall Cocktail party, holiday lunch
Remember to include your name and the month hours were worked
Submit your Hours at the regular meeting, or to Hours Chair, Yana Packard
Email: [email protected]
or
fax: 805 374 9415 (call first)
CATEGORY
PHILANTHROPIC PROGRAMS
HOURS
INSTRUCTIONS
Backpacks
Clothing
Record all hours
Dictionary
which relate to
Emergency Clothing
a specific philanthropic program
Literacy
Assault Survivor Kits
or to the
Philanthropic Programs Committee.
Home Alone
Share-a-Bear
Spotlight on Seniors
Other philanthropic program events
Philanthropic Programs Committee
RESOURCE DEVELOPMENT
Kitchens & Cooks Tour
Record all hours which relate to
Direct Mail
a specific Resource Development
Grants
Program or event, or to the
Other resource development events
Resource Development Committee
Resource Development Committee
(typically 2 hours)
REGULAR MEETINGS
Submit one combined figure for all other
ALCV activities. No detail required
GENERAL SERVICE
TOTAL HOURS
Remember - your hours are very important to your chapter.
We use them to let the know public about us, and to apply for grants.
Revised July 2011
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Assistance League of Conejo Valley
2011—2012 Handbook
TIMELINE
June
•
First regular meeting of fiscal year
July/August
•
•
No regular meeting
New member informational meeting
September
•
•
•
New member orientation
Target Clothing Nights begin
Assistance League National Conference
November
•
Nominating Committee elected
December
•
No regular meeting
January
•
•
Evaluation of philanthropic programs
Recommendations from Resource Development Committee
February
•
•
Vote on recommendations from Resource Development Committee
Recommendation from Philanthropic Programs Committee is presented
March
•
Slate of new officers presented
April
•
•
•
Vote on new slate of officers
Vote on recommendations from Philanthropic Programs Committee
Budget for upcoming year is presented
May
•
•
Kitchens & Cooks Tour
ALCV Annual Meeting: Vote on budget for upcoming year and Installation of Officers.
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Assistance League of Conejo Valley
2011—2012 Handbook
MEETINGS
REGULAR MEETINGS
BOARD MEETINGS
North Ranch Community Center
1400 N. Westlake Boulevard
Westlake Village
Social: 9:30 a.m. -10:00 a.m.
Meeting: 10:00 a.m.-12:00 noon
Unless otherwise noted, Board meetings are held
on the second Monday of each month.
9:30 am Social
Meetings to begin promptly at 10:00 am
Unless otherwise noted, regular meetings are held
on the third Monday of each month.
Note: there are no regular meetings the months of
July, August and December.
DATE:
HOSTED BY:
DATE:
Jun 13,2011
P. Johnson
June 20, 2011
Jul 18, 2011
D. Huyette
July, 2011
No Meeting
Aug 8, 2011
P. Wagner
Aug, 2011
No Meeting
Sept 12, 2011
I. Brewer
Sept 26, 2011*
Oct 10, 2011
J. Horan
Oct 17, 2011
Nov 14, 2011
M. Silver
Nov21, 2011
Nominating Com Election
Dec 12, 2011
K. McMurray
December
No Meeting
Jan 9, 2012
J. Raphael
Jan 23, 2012*
Feb13, 2012
P. Marla
Feb 27, 2012*
Mar12, 2012
J. Anderson
March 19, 2012
Slate of Officers presented
Apr 16, 2012
J. Convery
April 23, 2012
Officer Election
May 14, 2012
P.Johnson -
May TBA, 2012 Annual Meeting Officer Installation
(In and Out Board)
Jun, TBD 2012 New Officers
June 18, 2012
*4th Monday
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New Officers
Assistance League of Conejo Valley
2011—2012 Handbook
HISTORY
GUILD PROGRESSION
CHAPTER PROGRESSION
Invitational Held…………………………………….…..May 5, 1995
Granted Guild Status by the National Board……..……..July 20, 1995
Operation School Bell………………………..………September 1995
Backpacks……………………………………..……..September 1995
Celebration ’96……………………………………....November 1996
“What If I’m Home Alone?.............................................January 1997
Celebration ’97…………………………………….…November l997
Share-A-Bear………………….………………….….November 1997
OSB Shoes and Socks…………………………….…November 1998
Sock-It-To-‘Em……………………………….….…..December 1998
Progressive Dinner……………………………….....…..January 1999
Kids’ Kastle................................................................... ...June 1999
OSB Nurse Kits (Emergency Clothing Kits)................... ....Fall 1999
Capital Fund………………………………………….December 1999
Lion King Tickets…………………………………….….March 1999
Wheels Through Time…………………………………..…April 1999
Transitional Living Care ............................................... ....June 2000
Screening Eyes Early .................................................... ....June 2000
Granted Chapter Status by the National Board………....July 20, 2000
Sharing our
Best Cookbook……………………...September 2000
Chartering
Ceremony................................................September
2000
OSB Clothing......................................................………Spring 2001
An Evening With The Stars ....................................…….March 2001
Assault Survivor Kits..............................................….…...Fall 2003
OSB Dictionaries......................................................September 2004
OSB Reading & Literacy ..........................................September 2004
On with the Show ........................................................February 2004
“Puttin’ on the Ritz” ........................................ ...…February 2005
Assisteens® Approved………………………...…………January 2006
Destination! Celebration…………………..……..……..February 2006
Celebration 2007 “Masquerade”……….…………..……..March 2007
Celebration 2008 “East meets West” .......................…….March 2008
Spotlight on Seniors................................................…….March 2008
ASK Hospitals’ Emergency Necessities.. .............….….....April 2008
Destination! Celebration………………………..….…..February 2006
Celebration 2007 “Masquerade”………………..….……..March 2007
Celebration 2008 “East meets West” .......................…….March 2008
Spotlight on Seniors.............................................…...….March 2008
ASK Hospitals’ Emergency Necessities ...............………..April 2008
Celebration 2009 “Swinging On a Star”….………..……..March 2009
Books & Looks Author Luncheon & Fashion Show...….October 2009
Kitchens & Cooks Tour w/ Wine Tasting Event ……….… May 2010
Books & Looks Author Luncheon & Fashion Show….. October 2010
Kitchens and Cooks Tour ………………………………… .May 2011
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Assistance League of Conejo Valley
2011—2012 Handbook
BOARD OF DIRECTORS, CHAIRMEN AND COMMITTEES
ADMINISTRATION
PRESIDENT
Pam Johnson
RECORDING SECRETARY
Jo Raphael
CORRESPONDING SECRETARY
Melissa Silver
TREASURER
Assistant Treasurer
Ingrid Brewer
Jill Pfannkuch
DIRECTOR OF EDUCATION
Jill Horan
DIRECTOR OF PUBLIC RELATIONS
Photographer
Jennifer Anderson
DIRECTOR OF STRATEGIC PLANNING
Pat Wagner
ASSISTEENS COORDINATOR
Preethi Marla
PARLIAMENTARIAN
Katso Morrow
MEMBERSHIP
VP MEMBERSHIP
Assistant
Judy Convery
Fran Harrison
Orientation Chairman
Hospitality Chairman
Hours
Social Chairman
Members At Large
Gail Warekois
Linda Bagaason
Yana Packard
Susie Cowen
Carol Karm, Jan Fase,
Kitty Newman, Judy Friedman,
Ticia Bloomfield
Preethi Marla
Assisteens
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Assistance League of Conejo Valley
2011—2012 Handbook
BOARD OF DIRECTORS, CHAIRMEN AND COMMITTEES (Cont’d)
PHILANTHROPIC PROGRAMS
VP PHILANTHROPIC PROGRAMS
Clothing
Emergency Clothing Kits
Dictionaries
Literacy
Share-A-Bear
“What If I’m Home Alone?”
Spotlight on Seniors
Assault Survivor Kits
DEBBIE HUYETTE
Jennifer Anderson, Jill Pfannkuch
Pam Loftus, Marilyn Stoll
Sandy DeGennaro
Kathy Jones, Jody Jacobs
Sandra Hobson
Gail Nathanson, Peggy Kaufman
Eileen Hannemann, Jill Horan
Linda Valentine
School Liaisons:
Conejo School District
Conejo
Glenwood
Sandy DeGennaro
Joyce Merkle
Moorpark
Kathy Jones
Kathy Jones
Carol Kobal
Eileen Gould
Arroyo West
Campus Canyon
Flory, Walnut Canyon
Peach Hill
Simi Valley
Abraham Lincoln,
Berylwood & Santa Susana
Parkview
Angie Carter
Mary Lou Franz
Angie Carter
On Call Schools
Las Virgenes Schools Weathersfield
Madrona
Aspen/Ladera
Cypress
Sycamore
Wildwood
Maple/Walnut
Banyan
Mountain Meadows
Acacia
Angie Koros
Patty Fleming
Barbara Minnehan
Sandy DeGennaro
Pam Loftus
Patty Fleming
Daria Lippeatt
Mary Ann Kearns
Linda Bagaason
Daria Lippeatt
Linda Bagaason
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Assistance League of Conejo Valley
2011—2012 Handbook
BOARD OF DIRECTORS, CHAIRMEN AND COMMITTEES (Cont’d)
RESOURCE DEVELOPMENT
VP RESOURCE DEVELOPMENT
Perpetual Funding
Direct Mail Campaign
Community Newsletter
Grants
Kitchens & Cooks Tour
Kally McMurray-Fisher
Kally McMurray-Fisher
Kally McMurray-Fisher
Jennifer Anderson
Judy Friedman, Mary Ann Kearns
TBD
APPOINTIVE STANDING COMMITTEES
Finance Committee
Eileen Hannemann
Information Technology Committee Mari Hill, Mary Ann Kearns
Website Administration
National Database
Forms & Review (Standardization)
Internal Database
External Database
Chapter Newsletter
Master Calendar
Handbook
Roster
Mari Hill, Mary Ann Kearns
Lilian Smyth
Mari Hill
Mary Ann Kearns
Sylvia Lodato
Judy Friedman
Jody Jacobs
Mari Hill
Lovita Vandenberg
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Assistance League of Conejo Valley
2011—2012 Handbook
ABOUT US
Assistance League of Conejo Valley is one of more than 120 chapters of Assistance League, a national nonprofit organization that puts caring and commitment
into action.
In 2010-2011, 175 dedicated ALCV members and Assisteens auxiliary members,
volunteered over 13,000 hours and touched the lives of more than 8,000 people in
Agoura, Moorpark, Newbury Park, Oak Park, Simi Valley, Thousand Oaks and
Westlake Village through its philanthropic programs.
Caring and Commitment in Action
•
Raised $107,000 in fiscal year 2010-2011 to return to the community.
•
Provided new school clothes and shoes for 1610 elementary school
children.
•
Distributed 2370 CASEY bears to hospitals, Urgent Care Centers and
local fire and sheriff departments.
•
Supplied clothing and toiletries to hospital emergency rooms, homeless shelters and Safe Harbor East, a facility for survivors of abuse, to
offer dignity to those in need.
•
Distributed 387 backpacks and supplied emergency clothing kits to 36
local elementary schools.
•
Donated 100 dictionaries to third grade students.
•
Entertained more than 1025 seniors at local community senior facilities.
•
Tutored 60 students in reading during weekly sessions at a local elementary school.
•
Educated 721 third graders about how to deal with potentially dangerous situations through our “What if I‘m Home Alone?” program.
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Assistance League of Conejo Valley
2011—2012 Handbook
PHILANTHROPIC PROGRAMS
We currently manage the following community-based programs serving children and adults in the communities of Thousand Oaks, Newbury Park, Oak Park, Westlake Village, Agoura Hills, Moorpark and
Simi Valley.
1.
Operation School Bell is the national philanthropic program of Assistance League with nearly
every chapter providing clothing, classroom provisions or other needs to elementary school children across the country.
Clothing program allows identified students to attend a shopping event at Target with a prepaid
gift certificate. Children come with their families to choose their own new school clothing and
shoes. These shopping events are staffed by our members. This is a signature program running consistently throughout all Assistance League chapters.
Emergency Clothing Kits are stocked with school appropriate clothing, t-shirts, underwear, sweatpants/shirts, and hygiene kits. Dates are set for assembly and our liaisons distribute these kits to the
school health aide where they are kept and replenished upon request.
Literacy. Volunteers work with students in a reading lab or classroom to improve their reading
skills, comprehension and speed.
Dictionaries. Age appropriate English dictionaries are provided to third grade students and their
classrooms.
2.
Share-A-Bear provides teddy bears to local hospitals, fire departments and paramedics to be given
to children in crisis. Since its inception in 1998, more than 20,000 bears have been distributed.
3.
“What If I’m Home Alone?” is an interactive self-awareness program taught by volunteers to
educate children on home and personal safety issues. Since 1996, the program has been presented
to more than 8,000 elementary school children. It covers some very difficult personal safety issues
in a comfortable and reassuring way.
4.
Assault Survivor Kits containing essential items of clothing and grooming aids are provided to
women and children who are referred to Ventura County’s Safe Harbor East and whose clothes are
retained for evidence in a crime investigation. In addition, we provides emergency clothing and
hygiene supplies to 2 local hospital emergency rooms for patients in need of clean clothing upon
discharge.
5.
Spotlight on Seniors. Ukulele players and singers provide entertainment at local nursing homes
and special care nursing facilities for seniors.
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Assistance League of Conejo Valley
2011—2012 Handbook
RESOURCE DEVELOPMENT ACTIVITIES AND EVENTS
KITCHENS & COOKS TOUR: Planned for a Sunday in the spring, this fundraising event will feature homes with unique kitchens.
DIRECT MAIL CAMPAIGN: The 2011-2012 Direct Mail Campaign, has a two-fold purpose:
(1) To solicit funds from the community which enable us to support our many philanthropic programs and
(2) To function as a public relations tool allowing us to make our name known and keep our name
visible in the community.
GRANTS: The Grants Committee researches grant opportunities, prepares grant applications and
makes presentations on request. Training is provided.
PERPETUAL FUNDRAISING:
•
Tribute Fund: is an ongoing opportunity for members, families, friends and the community to
make a donation “in memory of,” “in honor of,” “in celebration of,” or “just because.” Donations will be highlighted in the chapter newsletter and acknowledged with a letter of thanks.
•
Escrip · Community Partners · Ralph’s Community Contributions Program · Gelsons
scrip. These programs provide ALCV with a percentage of the sales amount based on the program criteria.
APPOINTIVE STANDING COMMITTEES
FINANCE COMMITTEE Reviews and approves the insurance as requested by the Board; develops and presents the budget for the next fiscal year; prepares documents such as Conflict of Interest
Policy, Finance Policies and Investment Policies; reviews the monthly financial statements; and all
other finance business as it arises.
INFORMATION TECHNOLOGY COMMITTEE Is responsible for managing the internal and
external communications of the chapter and consists of the website, chapter newsletter, master calendar, internal and external databases, National database, roster, handbook and forms/review
(standardization).
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Assistance League of Conejo Valley
2011—2012 Handbook
BUDGET
APPROVED BUDGET 2011-2012
SUPPORT & REVENUE
Contributions - Unrestricted
Cash
Grants
Interest/Div.-SSB Operating A/c
Total Contributions/Grants/Interest Income
MANAGEMENT & GENERAL
15,000
AL Conference and Meetings
1,500
Education
50,000
Facility Rental Expense
100
66,600
Fundraising
Direct Mail Campaign
Special Event #1
Assisteens Fundraiser
Total FUNDRAISING
SUPPORT & REVENUE before Membership
Member Dues & Fees
Total SUPPORT & REVENUE
5,000
60,000
1,000
2,500
500
1,000
Office Supplies
100
Postage
100
Printing
750
Professional Services
2,000
Public Relations & Advertising
3,500
Shared Expenses *
693
66,000
Other Misc M&G
500
132,600
Total MANAGEMENT & GENERAL
11,643
13,500
146,100
MEMBERSHIP EXPENSE
Expense
AL Dues Expense
PROGRAM SERVICE EXPENSE
Assisteens dues to AL
500
Operation School Bell
Membership Recruiting
500
Clothing Program
90,000
Dictionaries/ Literacy
3,000
Emergency Kits
6,000
Total Operation School Bell
Assault Survivor Kits
Home Alone
Share-A-Bear
Spotlight on Seniors
Shared Expenses *
Assisteens Philanthropy
Philanthropic Projects Reserve
Total PROGRAM SERVICE EXPENSE
Hospitality/ Courtesy
Total Membership Expense
99,000
Total Expense
1,200
4,200
1,500
6,700
144,929
Change in Surplus (Deficit)
1,171
Return to Community
79.99%
600
9,000
500
5,231
400
-
* Shared Expenses include:
115,931
SUPPORTING SERVICE EXPENSE
Distribution Center
4,800
Insurance
2,700
Special Event #1
6,000
Other facility costs
175
Banking Fees
1,000
Bank Fees
204
Shared Expenses *
3,455
Office Supplies
500
Other Supporting Service Expense
Total SUPPORTING SERVICE EXPENSE
200
Postage & Printing
1,000
9,379
10,655
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Assistance League of Conejo Valley
FINANCE POLICIES
The Finance Committee has the responsibility for the administration of the Financial Policies and ensuring compliance with
National Assistance League policies and chapter policies. Any
changes to the Finance Policies will be proposed and approved
by the Finance Committee and approved by the Board and
membership before taking effect.
I. Dues
A. Annual dues shall be payable on April 15th and
delinquent on May 15th.
Voting Membership
$ 85
Non-voting Membership
$110
An orientation fee of twenty five dollars ($25)
shall be due upon acceptance of membership.
B. Annually, the corporation shall pay to National
Assistance League per capita dues of thirty five
dollars ($35).
C. Members joining after June 1 but before November 30 shall pay full dues. Members joining after
December 1 shall have dues prorated.
D. There shall be no refund of dues.
II. Reimbursement policies
A. General reimbursement
1. Only budgeted expenditures shall be reimbursed.
2. All expenditures of committee members shall
be made with the knowledge and approval
of the committee chairman.
3. Requests must be submitted to the Treasurer
using the payment request forms with receipts attached and appropriate signatures.
4. Requests for reimbursement shall be submitted prior to the year end of May 31st. Expenses submitted after the deadline, shall
not be reimbursed and shall be considered a
donation.
5. Checks will be delivered as soon as possible.
6. Check signing
a) All checks shall have two signatures.
b) Blank checks shall not be signed.
c) The Treasurer, President, VP Membership
and Recording Secretary shall have signature authority on checks.
d) Check signers shall review all check requests for accuracy and supporting documentation.
e) The Treasurer will secure signature cards
for the incoming Board after the April
election meeting for signatures to be obtained at the May meeting.
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2011—2012 Handbook
B. Travel, Convention and Workshop Reimbursement
Policy
1. Allowable expenses including Leadership Conference, Treasurer’s Workshop, travel expenses
and registrations to National Assistance League
Conference for the President as delegate, alternate delegate, and other representatives to Convention and other conferences shall be paid as
determined by the Board.
2. Reimbursement for chapter related travel and/
or education expenses including Board Retreat,
shall be budgeted and approved by the Board in
advance of the expenditure.
3. Members shall attend full sessions of all conferences when the chapter has paid the registration fee. Attendees shall give an informative
report from reimbursed conferences.
4. Chapter voting members who serve on National
Committees shall be reimbursed a portion of
their non reimbursed expenses per National
meeting not to exceed $100.
III. General Policies
A. The Finance Committee is responsible for creating
an annual budget of income and expenses for Board
and membership approval, reviewing requests for
changes to the budget and recommending appropriate action. The committee members shall serve a
three-year term, one-third of which shall roll over
each year to maintain continuity.
B. Annual Budget
1. The Finance Committee shall distribute budget
summaries in February to Committee chairmen
for their input prior to budget meeting in
March.
2. The Chairman of the Finance Committee shall
present the budget at the April Board meeting
for approval and to the membership at its April
regular meeting in written form as a handout, in
the newsletter or by email.
3. The members shall approve the budget at the
May annual meeting.
4. Officers of the Board, committee chairmen and
all members shall understand and operate
within current fiscal year budget constraints
5. Proposed expenditures of unbudgeted funds in
excess of five hundred dollars ($500) shall be
presented to the Board and membership for
approval.
6. Requests for budget increases shall be in writing and submitted to the Finance Committee.
Proposed amendments to the budget shall be
approved by the Finance Committee, the Board
and the membership prior to any increases in
expenditure.
Assistance League of Conejo Valley
2011—2012 Handbook
FINANCIAL POLICIES (Cont’d)
C.
D.
E.
F.
G.
H.
I.
J.
K.
L.
7. The fiscal year of this organization shall be from
June 1 through May 31.
The Finance Committee shall meet at least once a
quarter. A majority of the Finance Committee shall
constitute a quorum.
The Finance Committee shall review the monthly
financial statements of the Corporation prior to their
being presented to the Board.
The Finance Committee shall oversee risk management.
The Finance Committee shall develop record retention procedures and backup procedures for vital
computer files and financial information.
The Finance Committee shall assist auxiliaries in
creating budgets and procedures for approval as
well as ensuring compliance with National Policies
for Chapters and chapter policies.
The Finance Committee shall recommend finance
policies to the Board and membership regarding
donations, contributed services, internal controls,
self-dealing concerns for selling ventures, conflicts
of interest, investment, and member reimbursement
and cash advances.
Member Financial Obligations
1. Members, including those on leave of absence,
shall meet financial obligations for approved
fundraising events. Members residing outside
60 miles from the regular meeting location are
exempt from this obligation.
2. Members shall pay the designated cost of participating in member-only events. It is the responsibility of the member to pay for any commitment made even if they are unable to attend.
For purposes of internal control the monthly bank
statements and cancelled checks shall be opened
and reviewed by the President or a member designated to do the monthly bank reconciliation.
All deposits must be made in a timely manner. Specifically, funds received by the Treasurer or Assistant Treasurer shall be deposited in the bank no
more than 5 days after receipt and no later than the
last day of the month, whichever comes first.
Assistant Treasurers shall be appointed by the President.
1. The Assistant Treasurer shall assume the duties
of the Treasurer with the exception of signing
checks and withdrawing funds. Assistant Treasurer shall assist the Treasurer in all related
chapter duties.
2. The Treasurer may have as many Assistant
Treasurers as necessary, with Board approval.
17
M. The Board shall approve the opening or closing of
any bank accounts.
N. A safe deposit box shall be maintained at a bank
approved by the Board; contents are to be noted
in the minutes of a Board meeting during the first
quarter of the fiscal year.
O. Board Designation of net assets (reserves)
1. The Finance Committee shall make recommendations to the Board for the reserve designation for one year’s program services,
including direct and indirect costs.
2. Annually, the Board shall designate unrestricted net assets sufficient for one year’s
operating budget including direct and indirect
costs.
3. Designation for other specific needs may be
made as considered necessary.
P. The corporation shall maintain a sound financial
position and shall have a Certified Public Accountant audit or review its financial statements
annually.
Q. The corporation may raise funds to purchase or
rent property to house a program or activity; these
funds shall become part of its philanthropic program.
R. The corporation shall not act as a fundraising
agent for individuals or other organizations.
S. Professional Fees: All proposed professional
service fees and contracts shall be approved by
the Board and signed by the President.
T. Grants
1. The Finance Committee shall review, prior to
submission, all financial documents requested
as part of the grant application.
2. Copies of all grant applications must be kept
as part of the financial records.
U. Contributions and in-kind donations
1. All letters accompanying cash contributions
shall be kept as part of the financial records.
2. Acknowledgment letters shall be sent to all
donors of cash and in-kind donations. These
letters shall comply with IRS requirements.
3. Real property, stocks and bonds received as
donations shall be sold in a timely manner.
***
Assistance League of Conejo Valley
2011—2012 Handbook
Record Retention and Destruction Policy
In accordance with the Sarbanes-Oxley Act, which makes it a crime to alter, cover up, falsify or
destroy any document with the intent of impeding or obstructing any official proceeding, this
policy provides for the systematic review, retention and destruction of documents received or
created by Assistance League of Conejo Valley in connection with the transaction of corporate
business.
This policy covers all records and documents, regardless of physical form, contains guidelines
for how long certain documents should be kept and how records should be destroyed (unless
under a legal hold). The policy is designed to ensure compliance with federal and state laws and
regulations, to eliminate accidental or innocent destruction of records and to facilitate Assistance League’s operations by promoting efficiency and freeing up valuable storage space.
Retention of various business documents is mandated by law as the retention period varies depending on the document. Equal care should be given to electronic documents and voicemail.
Network and individual computer backup systems need systematic attention and should be part
of regular risk management.
Record Retention
Corporate Records
Bylaws and Articles of Incorporation
Permanent
Corporate resolutions
Permanent
Board, regular and special meeting minutes
Permanent
Conflict-of-interest disclosure forms
4 years
(A listing of these documents shall be maintained with contents reviewed and noted in the Board minutes
annually.)
All Other Corporate Records
Retention Period
Accident reports and claims (settled cases)
Accounts payable ledgers and schedules
Accounts receivable ledgers and schedules
Audit reports from CPA
Bank records
Bylaws and charter
Cash receipts, cash disbursements and general journals
Chart of accounts
Checks (canceled - see exception below)
Checks (canceled for important payments, e.g., taxes, purchase of property,
special contracts, etc.)
5 years
5 years
5 years
Permanently
5 years
Permanently
Permanently
Permanently
5 years
18
Permanently
Assistance League of Conejo Valley
2011—2012 Handbook
Record Retention and Destruction Policy (cont’d)
Contracts and leases (expired)
Contracts and leases still in effect
Corporate records (Articles of Incorporation)
Correspondence (routine) with customers or vendors
Correspondence (general)
Correspondence (legal and important matters only)
Deeds, mortgages and bills of sale
Depreciation schedules
Donor receipts (including thrift donor receipts)
Duplicate deposit slips
Employee personnel records (after termination)
Employment applications
Financial statements (end-of-year, other months optional)
General ledgers and end-of-year trial balances
Insurance policies (expired)
Insurance records, current accident reports, claims, policies, etc.
Internal reports (miscellaneous)
Inventories of products, materials and supplies
Invoices to customers
Invoices from vendors
Investments (expired)
Investments (still in effect)
Minute books of Board, regular and special meetings
Payroll records and summaries
Petty cash vouchers
Property appraisals by outside appraisers
Property records (including costs, end-of-year trial balances, depreciation
schedules, blueprints and plans)
Purchase orders
Sales records
Subsidiary ledgers
Tax returns (federal, state, local) and worksheets, revenue agents’ reports and
other documents relating to determination of income tax liability
Time cards
Trademark registrations
Voucher for payments of vendors, employees, etc. (including allowances and
reimbursement of employees, officers, etc., for travel and related expenses)
19
5 years
Indefinite
Permanently
5 years
5 years
Permanently
Permanently
Permanently
5 years
5 years
5 years
5 years
Permanently
Permanently
5 years
Permanently
5 years
5 years
5 years
5 years
5 years
Indefinite
Permanently
5 years
5 years
Permanently
Permanently
5 years
5 years
5 years
Permanently
5 years
Permanently
5 years
Assistance League of Conejo Valley
2011—2012 Handbook
Record Retention and Destruction Policy (cont’d)
Electronic Documents and Records
Electronic documents shall be retained as if they were paper documents. Therefore, any electronic files,
including records of donations made online, that fall into one of the document types on the above schedule will be maintained for the appropriate amount of time. If a user has sufficient reason to keep an email message, the message should be printed in hard copy and kept in the appropriate file or moved to
an “archive” computer file folder. Backup and recovery methods will be tested on a regular basis.
Emergency Planning
Assistance League’s records will be stored in a safe, secure and accessible manner. Documents and financial files that are essential to keeping Assistance League operating in an emergency will be duplicated or backed up at least every month and maintained off-site.
Hard Copy Storage Tips:
When storing boxes, put a “destroy after” date on the box so the records need not be reviewed each time.
Putting a date on the label of an inactive file can make purging simple. When records to be purged are
intermingled with records to be retained, the time necessary to sort through the files may outweigh the
benefit of purging the records. In this case, the entire file should be retained.
Electronic Storage Tips:
If using electronic storage, be aware of possible changes in technology. Storage methods should be reviewed annually and converted as necessary. Computer system backup is essential, with determination
being made regarding frequency and method of document file separation (i.e., financial date accessibility). When storing off-site, consideration should be given to ability in retrieving a single file, if necessary.
Document Destruction:
Assistance League’s Treasurer is responsible for the ongoing process of identifying its records, which
have met the required retention period and overseeing their destruction. Destruction of financial and personnel-related documents will be accomplished by shredding. Document destruction will be suspended
immediately upon any indication of an official investigation, or when a lawsuit is filed or appears imminent. Destruction will be reinstated upon conclusion of the investigation.
***
20
Assistance League of Conejo Valley
2011—2012 Handbook
CONFLICT OF INTEREST POLICY
Preface:
1.
2.
3.
Assistance League of Conejo Valley (ALCV), as
well as other National Assistance League (NAL)
chapters, are public benefit corporations and are
privileged with tax-exempt status under Section 501
(c) (3) of the Internal Revenue Code. To retain this
tax exemption, the IRS requires that no part of the
organization’s net earnings or assets may inure (i.e.
accrue) to the benefit of private persons.
Most charity watchdog groups are requiring a conflict of interest policy as part of a well-managed
nonprofit organization. The Better Business Bureau
and National Charities Information Bureau have
indicated that organizations with conflicts of interest dealings will not meet their standards.
Developing a written conflict of interest policy provides consistent guidelines for ethical transactions
by chapter membership without regard to changing
boards.
This conflict of interest policy is designed to help
directors, officers, employees and members of
ALCV identify situations that present potential conflicts of interest and to provide ALCV with a procedure which, if observed, will allow a transaction to
be treated as valid and binding even though a director, officer, employee or member has or may have a
conflict of interest with respect to the transaction.
The policy is intended to comply with any procedure prescribed in California statutes governing
conflicts of interest for nonprofit corporations.
Conflict of Interest Terminology:
A. A Responsible Person is any person serving as
an officer, employee or member of the Board of
Directors of ALCV or any voting or non-voting
member of ALCV.
B. A Family Member is a relationship, such as but
not limited to a spouse, parent, child or spouse
of a child, brother, sister, or spouse of a brother
or sister, of a Responsible Person.
C. A Material Financial Interest in an entity is a
financial interest of any kind, which, in view of
all circumstances, is substantial enough that it
would, or reasonably could, affect a Responsible Person’s or Family Member’s judgment
with respect to transactions to which the entity
is a party.
D. A Contract or Transaction is any agreement or
relationship involving the sale or purchase of
goods, services or rights of any kind for value,
21
the providing or receipt of a loan or grant, the
establishment of any other type of pecuniary
relationship, or review of a charitable organization by ALCV. The making of a gift to ALCV
is not a Contract or Transaction.
E. Opportunity Tickets (Raffle): A Responsible
Person who has Conflict of Interest in regard
to a Contract or Transaction with ALCV Opportunity Ticket Sale shall adhere to the Conflict of Interest guidelines established by
ALCV. See Addendum for guidelines.
1. Conflict of Interest Defined. For purposes of this
policy, the following circumstances shall be deemed to create Conflicts of Interest under circumstances where it might
be inferred that such action was intended to influence or
possibly would influence the Responsible Person in the
performance of his or her duties.
This does not preclude the acceptance of items of nominal
or insignificant value or entertainment of nominal or insignificant value which are not related to any particular transaction or activity of ALCV.
A. Outside Interests
(1) Contract or Transaction between ALCV
and a Responsible Person or Family
Member
(2) A Contract or Transaction between ALCV
and an entity in which a Responsible Person or Family Member has a Material
Financial Interest or of which such person
is a director, officer, agent, partner, associate, trustee, personal representative,
receiver, guardian, custodian, conservator
or other legal representative
B. Outside Activities
(1) A Responsible Person competing with
ALCV in the rendering of services or in
any other Contract or Transaction with a
third party
(2) A Responsible Person’s having a Material
Financial Interest in, or serving as a director, officer, employee, agent, partner, associate, trustee, personal representative of,
or consultant to, an entity or individual
that competes with ALCV in the provision
of services or in any other Contract or
Transaction with a third party
Assistance League of Conejo Valley
2011-2012 Handbook
CONFLICT OF INTEREST POLICY (cont’d)
C. Gifts, Gratuities and Entertainment – A Responsible Person accepting gifts, entertainment or other
favors from any individual or entity that:
(1) does or is seeking to do business with, or is a
competitor of ALCV; or
(2) has received, is receiving, or is seeking to
receive a loan or grant or to secure other
financial commitments from ALCV; or
(3) is a charitable organization;
2. Procedures
A. Prior to Board or committee action on a Contract
or Transaction involving a Conflict of Interest, a
director or committee member having a Conflict
of Interest and who is in attendance at the meeting shall disclose all facts material to the Conflict
of Interest.
Such disclosure shall be reflected in the minutes
of the meeting.
E. Responsible Persons who are not members of the
Board of Directors of ALCV, or who have a Conflict or Interest with respect to a potential Contract or Transaction that is not the subject of
Board or committee action, shall disclose to the
chairman or supervisor or their designee any Conflict of Interest that such Responsible Person has
with respect to such Contract or Transaction.
Such disclosure shall be made as soon as the Conflict of Interest is known to the Responsible Person. The Responsible Person shall refrain from
any action that may affect ALCV participation in
such Contract or Transaction.
In the event it is not entirely clear that a Conflict
of Interest exists, the Responsible Person with the
potential conflict shall disclose the circumstances
to the Board, chairman or her designee, who shall
determine whether there exists a Conflict of Interest that is subject to this policy.
B. A director or committee member who plans not to 3. Confidentiality Each Responsible Person shall exerattend a meeting at which he or she has reason to cise care not to disclose confidential information acbelieve that the Board or committee will act on a quired in connection with such status or information
matter in which the person has a Conflict of Inter- which might be adverse to the interests of ALCV. Each
est shall disclose to the chairman of the meeting Responsible Person shall not disclose or use ALCV’s
all facts material to the Conflict of Interest.
roster, mailing lists or donor names in any form for the
The chairman shall report the disclosure at the personal profit or advantage of the Responsible Person
meeting, and the disclosure shall be reflected in or a Family Member.
the minutes of the meeting.
C. A Responsible Person who has a Conflict of In- 4. Review of Policy
terest shall not participate in or be permitted to
hear the Board or committee’s discussion of the
A. This policy shall be reviewed annually by the
matter except to disclose material facts and to
Board of Directors. Any changes to the policy
respond to questions. Such person shall not atshall be communicated immediately to all Retempt to exert his or her personal influence with
sponsible Persons
respect to the matter, either at or outside the meetB. All Responsible Persons shall acknowledge
ing.
receipt of this policy.
D. A Responsible Person who has a Conflict of Interest with respect to a Contract or Transaction Addendum
that will be voted on at a meeting shall not be
counted in determining the presence of a quorum Full disclosure of eligible persons for ticket purchase, includfor purposes of the vote.
ing Responsible Persons, shall be stated on each ticket. All
The person having a Conflict of Interest may not practices related to Opportunity (Raffle) Tickets will comply
vote on the Contract or Transaction and shall not with CA Penal Code Section 320.5 and Chapter 4.6 of the
be present in the meeting room when the vote is Penal Code.
taken, unless the vote is by secret ballot.
Such person’s ineligibility to vote shall be reflected in the minutes of the meeting.
22
Assistance League of Conejo Valley
WHISTLEBLOWER
PROTECTION POLICY
CODE OF ETHICS POLICY
General
Assistance League of Conejo Valley requires directors,
officers and members to observe high standards of business and personal ethics in the conduct of their duties and
responsibilities. As members and representatives of Assistance League of Conejo Valley, we must practice honesty and integrity in fulfilling our responsibilities and
comply with all applicable laws and regulations.
The Assistance League’s mission can only be realized
through a common code of ethics upheld by its members and volunteers.
•
•
Members will treat each other with integrity, honesty and trustworthiness in their work; courage in
their decisions; and dedication to Assistance
League’s values and beliefs.
Reporting Responsibility
It is the responsibility of all directors, officers and members to report ethics violations or suspected violations in
accordance with this Whistleblower Policy.
Members will act responsibly on behalf of the organization and will be accountable and transparent
to our constituents and to one another. They will
share information when appropriate, without sacrificing confidentiality.
•
Members will be treated and will treat others with
respect. All members will respect the opinions of,
and the differences among, individuals.
•
Members will be equitable in their decisions and
mindful of the impact on other groups and people.
•
Members’ actions will demonstrate their care for
others, the community as a whole and the Assistance League of Conejo Valley.
2011—2012 Handbook
No Retaliation
No director, officer or member who in good faith reports
an ethics violation shall suffer harassment, retaliation or
adverse consequence. A member who retaliates against
someone who has reported a violation in good faith is
subject to discipline up to and including termination of
membership. This Whistleblower Policy is intended to
encourage and enable members and others to raise serious
concerns within Assistance League of Conejo Valley
prior to seeking resolution outside this organization.
Reporting Violations
Assistance League of Conejo Valley has an open door
policy and suggests that members share their questions,
concerns, suggestions or complaints with someone who
can address them properly. In most cases, a Committee
Chairman or a member of the Board of Directors is in the
best position to address an area of concern. All suspected
ethics violations will be handled in confidence by the
President and/or Board of Directors. For suspected fraud,
or when you are not satisfied or uncomfortable with following Assistance League of Conejo Valley’s open door
policy, individuals should contact the President directly.
Acting in Good Faith
Anyone filing a complaint concerning a violation or suspected violation must be acting in good faith and have
reasonable grounds for believing the information disclosed indicates a violation. Any allegations that prove
not to be substantiated and which prove to have been
made maliciously or knowingly to be false will be viewed
as a serious disciplinary offense.
Confidentiality
Violations or suspected violations may be submitted on a
confidential basis by the complainant or may be submitted anonymously. Reports of violations or suspected violations will be kept confidential to the extent possible,
consistent with the need to conduct an adequate investigation.
23
Assistance League of Conejo Valley
2011-2012 Handbook
ACKNOWLEDGMENTS
Each year, every member of ALCV is required to sign a copy of the
self-explanatory forms provided below, and submit them to
the Vice President, Membership.
FORM I
FORM III
Acknowledgment
Acknowledgment
I acknowledge that I have received a copy of the
Conflict of Interest Policy and have read and understand its contents.
I acknowledge that I have received a copy of
the Code of Ethics Policy and have read
and understand its contents.
Member _______________________________________________
(please print)
Member__________________________________
(please print)
Signature ______________________________________________
Signature _________________________________
Date __________________________________________________
Date _____________________________________
FORM II
FORM IV
Acknowledgment
Acknowledgment
All volunteers who may drive on behalf of Assistance
League of Conejo Valley do carry personal auto liability insurance.
I acknowledge that I have received a copy of
the Whistleblower Protection Policy and
have read and understand its contents.
Member _______________________________________________
(please print)
Member _____________________________________________
(please print)
Signature ______________________________________________
Signature ____________________________________________
Date __________________________________________________
Date ________________________________________________
24
Assistance League of Conejo Valley
2011—2012 Handbook
Assistance League® of Conejo Valley
Strategic Plan 2011-2016
Goals:
•
•
•
•
•
Identify and operate philanthropic programs to meet community needs
Seek and maintain an informed, committed membership to
ensure the success of the mission
Ensure a viable financial future for the organization
Achieve community name recognition as a leading volunteer organization
Successfully transition into a facility that will meet the
growing needs of Assistance League of Conejo Valley
Goal: Identify and operate philanthropic programs to meet community needs:
Objectives
1
Review current community needs
Action Steps
• Contact current recipients and/or other community organizations to determine community
needs
Budget
$0
• Present findings to VP Philanthropic Programs
• Committee chairmen complete and submit
the annual committee and recipient evaluation
forms to the VP Philanthropic Programs
2
Evaluate
each philanthropic program annually based
on established criteria
• VP Philanthropic Programs reviews evaluation forms based on community needs with
committee chairmen and prepares motions to
continue, terminate, or amend programs.
February
Measures of Success
Community Needs & Outreach Chair, VP Philanthropic Programs
• Community needs identified
Philanthropic Programs
Chairmen/ VP Philanthropic Programs, Community Needs & Outreach
Chair
• Evaluations completed
• Motions made and approved
by Philanthropic Programs
Committee
$0
• VP Philanthropic Programs presents and
defends motions to the Board
• Membership votes on philanthropic program
motions
3
Committee/Person Responsible
January
• VP Philanthropic Programs presents and
defends motions to the membership
Determine
staffing
needs for
approved
programs for
the upcoming year
Target
Date
• Plan, organize, staff and control each program
Feb
Board
Meeting
VP Philanthropic Programs/ Board
• Motions, facts and rationale
are presented to Board
February
Regular
Meeting
VP Philanthropic Programs
• Motions, facts and rationale
are presented to all members
April
All members
• Vote by members
Ongoing
$0
25
Philanthropic Programs
Chairmen/ VP Philanthropic Programs
• All programs are implemented
and within budget
Assistance League of Conejo Valley
2011—2012 Handbook
Goal: Seek and maintain an informed and committed membership to ensure the success of the mission.
Objectives
1
2
Develop and
maintain an
informed,
active membership
Develop an
informed
and knowledgeable
Board
Action Steps
Budget
• Double current membership
3
Committee/Person Responsible
2013
All members/
VP Membership
Measures of Success
• Membership doubled
$0
• Continue member training
Ongoing
Committee Chairmen/
Director of Education
• Hold member training sessions.
• Promote member satisfaction by encouraging
participation
TBD
VP Membership / Board
• Continue in-depth Board and chairmen training
$0
Director of Education/
Board
• All Board members attend 1
Board training session
Director of Education
• Increased number of participants at AL Conference
All Members/ Nominating
Committee
• Board positions filled with
qualified members
• Promote AL National Conference participation
TBD
Ongoing
• Identify potential leaders for recruitment
$0
• Explore in-line successor for President
Achieve
active participation of
every member on philanthropic
and
resource
development
programs
Target
Date
• Members should participate in a minimum of
60 hours of service each fiscal year and are
encouraged to participate in both Philanthropic
Programs & Resource Development.
TBD
$0
All members/Board
• Strategy for succession will
be established
VP Membership
• Increase in service hours
by individual members
Ongoing
• Committee chairmen actively recruit committee members and cultivate future chairmen
• Member retention
$0
Committee Chairmen
Goal: Ensure a viable financial future for the organization
Objectives
1
Create and
monitor
monthly an
annual
budget
Action Steps
Budget
• Create the budget
• Present financial statements to the Board
and membership
Target
Date
Committee/Person Responsible
March
Finance Committee/
Committee Chairmen
$0
Monthly
Measures of Success
• Adherence to budget as
revised & public reporting
schedule
Treasurer
• Hold special fund raising events & activities
2
3
Determine
funding
sources to
support
budget
Determine
staffing
needs for
fundraising
activities
• Grant Writing
• Corporate Support
TBD
Ongoing
VP Resource Development/ All members
• Research other opportunities
• Plan, organize, staff and control each activity
$0
26
Ongo- VP Resource Development/
Events Chairmen
ing
2009 Books & Looks event
increased "public" attendance. Kitchens & Cooks Tour
May 2010.
Budget
requirement met
• All activities are implemented and within budget
Assistance League of Conejo Valley
2011—2012 Handbook
Goal: Achieve community name recognitions as a leading volunteer organization
Objectives
Action Steps
Budget
Committee/Person Responsible
Measures of Success
Director of Public Relations
· Published articles.
Advertise fundraising
events.
Community Needs & Outreach Chair/Director of
Public Relations/ All members
· Establishment of alliances
Yearly
Director of Public Relations/
All members
· Presentation of candidate to the Board
Ongoing
Director of Public Relations/
Board
· Advisory Board created
Yearly
Director of Public Relations
· New strategy developed
Target Date
· Pursue contacts with the media
Ongoing
1
Increase
community
awareness
of ALCV
· Develop and maintain strategic alliances with
community organizations and corporations
$0
· Evaluate the potential recipient of the OSB
award and establish criteria
· Develop plan for blue ribbon advisory Board
· Examine mailings and fundraising pieces to
create overall strategy and maintain community
newsletter
TBD
· Search for opportunities to apply for community-based reward and recognition programs
Ongoing
Director of Public Relations
Recognition and higher
community visibility
$0
Goal: Successfully transition into a facility that will meet the growing needs of ALCV
Objectives
1
2
Develop a
Business
Plan
Obtain a
facility
Action Steps
• Write the plan
Budget
Target Date
$0
TBD
$0
TBD
Committee/Person Responsible
• Completed Business
Plan
• Assess physical and monetary requirements
for acquisition
Special Committee
appointed by the
President/Board
• Work with local realtors and other local
groups to secure an appropriate site
Measures of Success
• Purchase and/or
rental of facility
• Identify and pursue known sources of funding
3
4
Build the
capital
fund
Support
chapter
facilities
• Create a community awareness campaign to
promote support
$0
• Growth in capital account funds
TBD
• Identify foundations that will support capital
expenditures with grants
Grant Committee
• Identify ongoing sustainable funding sources
VP Resource Development and/or Capital
Campaign Committee,
All members
$0
27
TBD
• Sustained capital fund
Assistance League of Conejo Valley
2011—2012 Handbook
GIFTS AND INVESTMENT POLICIES
Gift Acceptance Policy
Assistance League of Conejo Valley relies on charitable contributions to fulfill its mission. While Assistance League of Conejo Valley prefers unrestricted gifts, it recognizes and encourages appropriate collaborations with a variety of stakeholders, including donors that ensure careful control of the content and integrity of its programs and fiscal responsibility.
Assistance League of Conejo Valley will encourage donors to seek their own legal or tax counsel before
making a gift.
Assistance League of Conejo Valley accepts gifts of cash and marketable securities and, at the discretion
of the Board of Directors, remainder and lead interests in trusts, real estate, closely held securities, tangible
items, retirement plans through bequests or beneficiary designation and life insurance. Tangible items offered to Assistance League of Conejo Valley may be accepted if they can be readily sold or if they are of
“related use.” Assistance League of Conejo Valley will clarify with the donor under what circumstances, if
any, it will pay for legal or professional fees with respect to completing a gift.
Assistance League of Conejo Valley reserves the right to refuse any gift that it believes is too restrictive in
purpose or not in its best interest. The acceptance of a questionable gift or the decision to fulfill a questionable request from a donor will be brought to the Board of Directors. The Board’s discussion will be guided
by consistency with our mission and preservation of our goodwill in the community.
Investment Policy
Introduction
The Board of Assistance League of Conejo Valley holds all funds of Assistance League of Conejo Valley
as a fiduciary and is therefore responsible for sound financial management. The following investment policy is to be considered in light of an overall sense of stewardship.
The purpose of this investment policy shall be to define investment objectives, set forth investment guidelines and assign responsibility for their implementation. This investment policy shall serve as the cornerstone by which all investment purchases and sales shall be monitored for suitability and performance.
Delegation of Authority
The Board delegates supervisory authority over its investments to the Investment Committee. The Investment Committee is responsible for regularly reporting on investments to the Board. In carrying out its responsibilities, the Investment Committee and its agents shall act in accordance with this investment policy
and all applicable laws and regulations. Any changes to this investment policy shall be approved by the
Board.
The Board and the Investment Committee are authorized to retain one or more investment professionals to
advise the chapter in the investment management of funds and assets owned or administered. The investment professional shall be qualified in the securities industry and a registered broker/dealer. With the approval of the Board, the Investment Committee is authorized to receive reports from, pay compensation to
and enter into agreements with such professionals.
28
Assistance League of Conejo Valley
2011—2012 Handbook
GIFTS AND INVESTMENT POLICIES
Investment Objectives
The primary investment objective is to preserve and protect the chapter’s assets by earning a total return
appropriate to the time horizon, liquidity needs and risk tolerance.
To achieve these differing objectives, investments should be classified into categories or “tiers” such as: a
tier for current operating funds; a tier for operating budget reserve funds; and tiers for other funds that
have differing time horizons for the use of funds such as endowments, building reserves, capital funds and
any other funds that the chapter may have available.
Tier 1
Current Operating Funds: The purpose of this tier is to assure adequate liquidity and
safety for current operations. To achieve this goal, the Investment Committee shall match
maturities of Tier 1 investments to the chapter’s cash flow draw-down requirements for the
current year. The Tier 1 investments shall be “risk free” in nature and maturities shall not
exceed 180 days.
Tier 2
Operating Budget Reserve Funds: The purpose of this tier is to insure adequate resources
for a one-year operating budget reserve. When investing these reserve funds emphasis will
be placed on safety, liquidity and yield in that order.
Tier 3
Capital Funds: The purpose of this tier is to assure adequate liquidity and safety for contributions received for a new building project until funds are needed.
After consultation with the Budget and Finance Committees, the Board shall, at least annually, specify to
the Investment Committee the dollar amounts to be maintained in each tier.
Investment Asset Allocation
Acceptable Ranges of Investment
Tier 1
Tier 2
Tier 3
Operating Funds
Operating Budget Reserve
Capital Funds
Equities
0%
0%
0%
29
Fixed Income
0%
0-100%
0-100%
Cash & Cash
Equivalents
100%
0-100%
0-100%
Assistance League of Conejo Valley
2011—2012 Handbook
GIFTS AND INVESTMENT POLICIES (cont’d)
Investment Guidelines
A. Allowable Assets:
To accomplish the chapter’s investment objectives, the following types of investments shall be allowed:
Equity securities – common stock, preferred stock and convertible preferred stock.
Fixed income securities – Government and agency securities, corporate notes and bonds, mortgage
backed bonds, convertible notes and bonds.
Mutual funds which invest in securities allowed in this investment policy.
Cash and cash equivalents – Treasury Bills, money market funds, commercial paper, repurchase agreements and certificates of deposit.
B. Asset Quality and Diversification:
All investments shall be diversified in accordance with this investment policy and shall be purchased for
cash. There shall be no margin transactions, short selling, commodity transactions, index futures, option
trades or use of derivatives.
1. Cash and cash equivalents – Cash and cash equivalents should be “risk-free” assets and may include:
a) U.S. Treasury bills; b) commercial paper rated A-1 or better by Standard & Poor’s or P-1 or better by
Moody’s; c) certificates of deposits from institutions insured by FDIC, d) money market funds which invest primarily in instruments described in a) through c) above.
2. Fixed income securities – The quality rating of bonds must be A or better, as rated by Standard &
Poor’s or other equivalent rating services. The portfolio may consist only of traditional principal and interest obligations (no derivatives) with maturities of 5 years or less. No single issue of fixed income securities shall exceed 10% of the total portfolio at the time of purchase. No derivative based, leveraged or
high yield (junk) bonds, closed-end trusts, or unit investment trusts are allowed.
3. Common stock – Common stock shall be unrestricted, publicly traded common stock that is listed on
a major exchange or a national over-the-counter market and is appropriate for the objectives of the tier
that is to hold such shares. The quality rating of common stocks shall be B+ or better, as rated by Standards & Poor’s or other equivalent rating services. Investments in equity mutual funds shall meet the requirements of this category. No single stock or company security shall exceed 5% of the total portfolio at
the time of purchase.
4. Mutual Funds – Styles of mutual funds shall be limited to: domestic growth, index, growth/income,
equity income, asset allocation and balanced. No equity fund that has a Morningstar rating of less than
four stars shall be allowed. No single sector or single industry funds shall be allowed. Attention shall be
paid to the fee structure of any mutual fund purchased.
5. Sector Diversification – In addition to the percentage limitations for individual stocks and bonds, no
more than 10% of the total portfolio shall be invested in securities of any single economic sector or industry group.
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Assistance League of Conejo Valley
2011—2012 Handbook
GIFTS AND INVESTMENT POLICIES (cont’d)
Assignment of Responsibility
This section spells out the specific duties and areas of responsibility of the Board, the Investment Committee
and any investment professionals who might be retained.
The Investment Committee of a chapter with a small amount of funds to invest may feel comfort-able determining and executing its own investment strategy. Chapters with larger amounts of funds to invest may decide
that an investment professional is needed to advise the chapter on its investments, or perhaps to manage the
portfolio entirely. If an investment professional is used, one critical decision that must be made is how much
discretionary authority the professional will be given over making and executing investment decisions.
A. Responsibilities of the Board of Assistance League of Conejo Valley
Specific responsibilities of the Board include, but are not limited to:
Projecting the chapter’s financial needs
Approving and periodically reviewing this investment policy
Reviewing the Investment Committee’s quarterly reports
B. Responsibilities of the Investment Committee
The Investment Committee shall have full discretion to make all investment decisions for the assets
placed under its jurisdiction, while adhering to the specific limitations and guidelines set forth in this investment policy. Specific responsibilities of the Investment Committee include, but are not limited to:
Discretionary investment management including decisions to buy, sell or hold individual securities and to
alter asset allocation within the guidelines established in this investment policy.
Monitoring and evaluating performance results to insure that policy guidelines are being adhered to
and that objectives are being met.
Reporting investment performance results to the Board on a quarterly basis.
Meeting at least annually with the investment adviser to review past account performance, observe
current market conditions and adjust as necessary the coming year’s allocation mix.Reviewing and
evaluating investment advisers every two years.
C. Responsibilities of Investment Broker
The investment broker is required to adhere to the specific limitations and guidelines set forth in this investment policy. Specific responsibilities of the investment broker include, but are not limited to:
Placing buy and sell orders at the direction of the Investment Committee. The investment broker shall not
have discretionary power to initiate buy/sell orders at any time without the approval of the Investment
Committee.
Providing quarterly statements and year-end performance evaluations in writing to the Investment Committee.
Communicating any change in market conditions or specific investments to the Investment Committee and
making specific recommendations for consideration.
Disclosing to the Investment Committee all sales charges and fees prior to any transaction and in the
year-end performance evaluation.
Meeting at least annually with the Investment Committee to review past account performance, observing
current market conditions and adjusting as necessary the coming year’s allocation mix.
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Amended Standing Rules and By Laws
will be voted on at the
September 26 2011 regular meeting.
Until then, the existing
Standing Rules and By Laws
as found in your hard copy
Handbook 2011-2011
are still in force
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