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Nonprofit Strategic Planning: Leveraging Sarbanes-Oxley Best Practices

ISBN: 978-0-470-12076-7
224 pages
September 2007
Nonprofit Strategic Planning: Leveraging Sarbanes-Oxley Best Practices (0470120762) cover image


Praise for

Nonprofit Strategic Planning

Leveraging Sarbanes-Oxley Best Practices

"A robust nonprofit sector is a vital part of a civil society. Keeping the sector strong through effective strategic planning and implementation is a critical assignment. As a thought leader in the nonprofit sector, Dr. Jackson's book on the relationship of Sarbanes-Oxley best practices with strategic planning is an invaluable resource for nonprofit governing boards and employees. Her step-by-step, practical approach is easy to read and, more important, provides a specific road map to effective planning."
-Larry Brewster, Dean, College of Professional Studies University of San Francisco

"Dr. Jackson's practical and straightforward approach to creating a strategic plan is quite refreshing. I believe that more and more nonprofits understand that they need to be run just as any business needs to be run-with focus, clarity, and purpose. The ideas and methodology stress the importance of sound risk management and the rewards of having such a plan in place. I can assure you that the executive director of every nonprofit I represent will receive a copy of this book."
-Joseph L. DeLucchi, Vice President CAL Insurance & Associates, Inc.

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Examine if your nonprofit has the right people on board to achieve its strategic goals

Establish important control mechanisms

Learn how the legal and legislative environments have changed over the last five years

Discover the direction in which your nonprofit needs to go and why

Required reading for anyone leading a nonprofit organization, Nonprofit Strategic Planning: Leveraging Sarbanes-Oxley Best Practices prepares your organization to engage in meaningful strategic planning and equips you with the practical tools to navigate it through today's competitive environment.
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Table of Contents


About the Author.


CHAPTER 1 Why Nonprofits Waste Time, Money, and Energy in Strategic Planning.


Why Do Nonprofits Waste Resources Trying to Write Strategic Plans?

What Does Engaging in Strategic Planning Actually Do for Your Nonprofit?

Strategic Planning Does Not Need to Take Forever!

Next Steps.

CHAPTER 2 Sarbanes-Oxley and the New Legislative Environment.


Sarbanes-Oxley Legislationâ??A Brief History.

How has the Legislative Environment Changed For Nonprofits?

SOX Requirements for All Organizationsâ??Even Nonprofits!

Next Steps.

CHAPTER 3 Introduction to SOX Compliance and Best Practices.


What are the SOX Requirements and Best Practices?

What are SOX Best Practices?

Benefits of SOX Implementation: Save Money and Improve Efficiency.

Five Reasons Why SOX Compliance and Best Practices will Accelerate Your Nonprofitâ??s Strategic Planning.

Next Steps.

CHAPTER 4 Making SOX Requirements and Best Practices Work for Your Nonprofit.


The Two SOX Requirements.

Fraud: The Primary Reason for Whistle-Blower Protection.

SOX Best Practices.

Making Best Practices Work for Your Nonprofit.

Next Steps.

CHAPTER 5 SOX Best Practices and Your Authentic Organization.


Why Do Nonprofits have Difficulty Really Solving Organizational and Operational Problems? Why Do the Same Problems Keep Coming Back?

SOX and Problem Solving.

Is Your Nonprofit Dysfunctional?

Next Steps.

CHAPTER 6 Strategic Planning: The Process.


The Process and the Strategic Planning Team.

The Strategic Planning Process.

SOX and Strategic Planning.

Next Steps.

CHAPTER 7 Writing and Executing the Strategic Plan.


Common Pitfalls: Why Nonprofits Have Trouble Writing a Strategic Plan.

The Role of the Strategic Planning Committee.

Crafting Goals and Objectives.

What Should the Strategic Plan Look Like?

How Long Should It Take?

Outcomes of the Strategic Plan.

How To Execute an Effective Strategic Plan.

Sample Strategic Plan for the Marywood Thrift Shop & Consignment Boutique.

Next Steps.

CHAPTER 8 Leveraging Your Nonprofitâ??s SOX Compliance and Strategic Plan.


Lessons Learned from the Private Sector: Businesses and SOX.

How and Why Should the Plan Be Communicated to Important Stakeholders?

SOX Saves Time and Money.

SOX Best Practices and Strategic Planning Bonus Benefit: Risk Management and Business Continuity Plans.

Connecting the Dots: Strategic Planning, SOX Best Practices, and Risk Management.

Connecting the Dots: Strategic Planning, SOX Best Practices, and Business Continuity Planning.

Marywoodâ??s Risk Management and Business Continuity Plans.

Next Steps.

CHAPTER 9 SOX and Strategic Planning for Really Small Nonprofits.


Five Reasons Why Really Small Nonprofits Desperately Need SOX and Strategic Planning.

Scaling the Strategic Planning Process: Tips for Success.

Next Steps.

Appendices: Checklists, Worksheets, and Sample Documents.

APPENDIX 1 Whistle-Blower Policy.

APPENDIX 2 Document Retention and Storage Protocols.

APPENDIX 3 Audit Committee.

APPENDIX 4 Conflict-of-Interest Policy and Procedures Including a Disclosure Statement.

APPENDIX 5 Code of Ethics for Board and Senior Management.

APPENDIX 6 Review of Internal Controls Report.

Selected References.


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Author Information

Peggy M. Jackson, DPA, CPCU, is anauthor, consultant, and nationally recognized lecturer in risk management, business continuity planning, and Sarbanes-Oxley compliance. She is a Principal with Adjunct LLC in San Francisco, California. Dr. Jackson has written or coauthored seven books on risk management, business continuity planning, andSarbanes-Oxley compliance for nonprofit and small business audiences. Dr. Jackson earned a doctorate in public administration (DPA) from Golden Gate University in San Francisco and holds the professional designation of Chartered Property and Casualty Underwriter (CPCU). She designed the Jackson Risk Management Model as part of an award-winning doctoral dissertation on risk management techniques. She is a member of the Golden Gate Chapter of the CPCU Society.
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"This book is amazing for the breadth of material covered in such a compact package. Full of checklists and practical guidance, this volume truly represents new thinking in the nonprofit arena…. Ms. Jackson has produced a work that is both timely and compelling. Highly recommended reading." (Estate Planning, June 2008)
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