Foundations of Nonprofit Management PADM-GP.2125 Robert F. Wagner School of Public Service

New York University

Fall, 2014Professor: Paula GavinPaula.Gavin@nyu.edu, The Puck Building.Class: Wednesday 4:55-6:35pm Bobst Library LL 151Office Hours: On Request (Call 646.265.2104) Please use paulagavin106@gmail.comPrerequisite: P11.1020 (Managing Public Service Organizations) or Equivalent

Course DescriptionThe purpose of this course is to deepen understanding of the nature and major trends of the nonprofit sector and its organizations, using theoretical lenses to explore key current debates and their implications for practice.

Examination of the role of the nonprofit sector in contemporary society and the practical concerns of management. Historical, descriptive, and theoretical issues relevant to the sector are explored. Special attention is paid to the changing relationships between public, for-profit, and nonprofit organizations. Further, the course engages students in critical thinking about managerial practice, including strategy, governance, entrepreneurship, and accountability. Students are encouraged to bring theoretical insights from their own experiences and that of their classmates to bear on case materials and the management literature

The course reviews broad trends shaping the sector at a time when the lines between the private, public and nonprofit sectors are becoming more and more blurred. Understanding the legitimacy and capacity of the nonprofit sector to address collective problems in this context requires connecting the macro and micro dynamics of governance, leadership and management, as well as linking practices to broader policy debates and issues.

Students in this course – whether interested in policy, finance or management, in urban planning, health, public education – will identify and interpret key theories, issues, debates and challenges as experienced by practitioners in the nonprofit world, and will consider the implications for their own practice. The final paper will study a non profit organization to assess trends, functions, impact and strategic actions needed to fulfill mission and measures of success.

Classes involve a mix of brief lectures; discussion based on readings or written assignments; strategic plan case studies and guest speakers. The course readings focus predominantly on debates in the United States, but connections to international and global trends are surfaced where possible through targeted readings, guest speakers’ stories and class discussions.

As of 7/31/14

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Course objectivesBy the end of the course students will have developed an informed perspective of selected theories about the nature of nonprofit organizations and their role in governance, as well as key issues and debates affecting the nonprofit sector and their implications for practice. To do so, they will:

Identify key concepts and theories that explain the nature of the nonprofit sector, thus appreciating the distinctiveness of nonprofits as public service organizations operating in the private realm, in relationship to for-profits and public agencies.

Be able to respond to arguments and positions about selected policy and management debates associated with the present and future of the nonprofit sector and its organizations.

Link key trends in the US nonprofit sector to the broader international context where nongovernmental organizations are increasingly operating.

Apply theory to an actual non profit organization and develop an understanding of the sector, key themes associated with the sustainability of the nonprofit sector, its organizational ecosystem and impact.

Required textsAvailable at the NYU Bookstore:

Frumkin, Peter. 2005. On Being Non-Profit: A Conceptual and Policy Primer. Cambridge: Harvard University Press.

Collins, Jim. 2005. Why business thinking is not the answer. Good to great and the social sectors. A monograph to accompany Good to Great.

Available electronically via NYU’s online electronic journal service or NYU Classes and the NYU Bobst Library Course Reserves:

Additional required readings from selected sources (** in schedule of assignments) Heart and Hammer, Paula Gavin, 2014

Course requirementsStudents must complete the reading before class and engage actively in class discussion. Students must also satisfy the following requirements:

Three memos:- Memo 1 (3-5 pages): 20 points- Memo 2 (5-9 pages): 20 points- Memo 3 (5-9 pages): 20 points- Total points from Memos 60%

Participation in class 15% Final Paper (10-15 pages) 25% For deadlines see course overview below. All papers should be submitted hard

copy (double spaced).

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Policies Attendance is critical. More than 2 unexcused (illness, etc.) absences will impact

grade. Readings may not be directly discussed in class but provide necessary background. Memos and final paper due on time. Memos may be submitted within one week of

grade for reconsideration.

Foundations of Nonprofit Management PADM-GP.2125Assignments

Paper 1 The Evaluation of Non Profit Sector in the United StatesDue: Class 3 (9/24/2014)

Paper 2 Analyzing Theory and Functions of Non ProfitsDue: Class 7 (10/22/2014)

Paper 3 Effectiveness of the Non Profit SectorDue: Class 11 (11/19/2014)

Final Paper Non Profit Strategic Action planDue: Class 14 (12/10/2014)

Specific guidelines for assignments will be discussed in class (please see the general descriptions). Grading will be based on: Strength of positions presented; Reflection of key non profit policy considerations; Quality of written communications (please see grading criteria for specifics).

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NAME: GRADE:

Foundations of Nonprofit Management - Grading criteria for Papers– Fall 2014

Criteria Comments Points 1. Overall writing The writing is fluid; sentences/paragraphs are well structured; proper grammar; shows command of graduate level vocabulary and understanding of concepts; polished, not drafty.

(25)

2. Professional presentation Correct spelling/no typos; length limits honored; timeliness and other instructions followed.

(10)

3. Strength of Position Presented (Analytical level) Uses material from class to develop and support ideas; demonstrates effort to integrate materials; memo has a logical flow that presents and develops a clear, unified position/argument; argument is consistent (no contradictions or gaps) and based on critical thinking.

(20)

4. Positions and Recommendations - Reflect critical theories and policy considerations in non profit sectors- Applies insights to a practical discussion of management and/or policy making.

(40)

5. References - References are used and cited appropriately*; at least three readings are cited and used.

(5)

*You can use ANY reference system of your choice, as long as you are consistent.

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Foundations of Nonprofit Management PADM-GP.2125Robert F. Wagner School of Public Service

New York UniversityFall 2014

Description of requirements for the course: You will write three papers for this course. All papers are individual assignments. In addition, a final paper will be required on last day of class.

Please plan to dedicate sufficient time to draft, re-write and edit the papers. These steps are necessary for good writing, which will be assessed along with the quality of the expressed ideas.

General instructions for papers

Format: Paper #1 3-5 pages and Paper #2 and 3 5-9 pages; line space: 1.5; minimum margin, 1”; 12 point font; consider Times New Roman a standard, or other, equally legible font; well presented, thoroughly proofed, reader-friendly memos without typos, please!

Please present and write papers to Professor Gavin at class per schedule in syllabus.

Do not forget to include your name on each page and to number the pages to facilitate printing.

Requirement: Please include citations and references from the assigned readings.Avoid the use of quotes unless you believe them to be absolutely necessary. To maintain the flow of your ideas without interruption, use endnotes and attach a separate page with the full references (in addition to the 5-9 pages for the narrative). Each memo should reference a minimum of three assigned readings (Frumkin counts as one. )

Paper # 1: The evaluation of non profit sectors in United States

Instructions: Write on overview of the current non profit sector, utilizing diagrams to present size and scope of the sector and changes in at least the last decade, presenting 3-5 key trends that have driven the evaluation of the non profit sector.

Please organize your memo in the following three sections: Introduction: Introduce the non profit sector and its importance in United States.

Utilize the diagrams to present the data. Critical Analysis: Present size and the scope of the non profit sector and the 3-5

key trends in the sector that have changed the sector in at least the last decade. Insights: Present recommendations on key policy issues for the non profit sector to

continue to strengthen its impact on key issues in the United States.Paper # 2: Analyzing theory and functions of non profits

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Instructions: Write a critical review of selected theories explaining nonprofit organizations and/or the nonprofit sector and discuss their implications for practice.

Analyze the four theories and function of non profits. Choose the theories that appeal to you. The choice might be around how convincing or unconvincing the claims are, based on their relationship to evidence; how much they helped you gain new insight into non profit sector; how legitimate they feel based on your knowledge of the sector and other readings that you have done in class (or in other classes!), or any other reason of your preference.

Please organize your paper in the following three sections:

Introducing the theories: In this first section you will briefly describe the four theories of Frumkin’s framework and connect to the current landscape and challenge of non profit sector. Comment on benefits and shortcomings of all theories.

Critical analysis: In this second section you will further analyze the strengths and shortcomings of your preferred theory, taking into consideration what you have learned about the nature and mapping of the sector, and your own experience.

Insights: Finally, in a third concluding section you will explore how your preferred theory helps you to think differently about the nature of the nonprofit sector and the roles its organizations play in solving public problems or contributing to good governance. Based on this reflection, consider briefly one potential implication of your insights for the effective management of a nonprofit organization, or for the design and implementation of policy for the sector.

Paper # 3: Effectiveness of non profit sector

Instructions: Write a critical review of the non profit sector effectiveness, identify 3-5 measures of accountability that are critical to key issues in the United States to improve the performance and impact of the non profit sector.

Please organize your paper in the following three sections:

Introduction: Present your case for non profit sector effectiveness. Critical analysis: Present the key measure of accountability that should be the

focus of non profit sector effectiveness, and assess current performance of the sector. Identify and present 2-3 non profit examples of performance strengths.

Insights: Present recommendations to improve the performance and impact of the non profit sector in the United States.

Final Paper: Non profit Strategic Action Plan

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Select a non profit to assess for application of non profit theories and functions, effectiveness, and leadership as well as management. Present assessment of the non profit and critical issues facing the non profit in the next 2-3 years. Analyze and present the four non profit functions operating in this non profit. Develop a strategic action plan to address issues. Define theory of change, values, mission, vision, goals/strategies, measures of success. Create implementation time table to achieve non profit excellence.

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A NON PROFIT MODEL OF EXCELLENCE

STRATEGIC ACTION PLAN

Mission

Vision

Theory of Change

Values

Goals – Strategies

Financial Plan

Measures of Success

Program Services

Planning, Management, People Systems and Standards

Governance – Organization (Staff and Volunteer) Development

Nonprofits exist for the public good and operate to accomplish a stated purpose through specific program activities. A nonprofit should have a well-defined mission and its programs should effectively and efficiently work toward achieving that mission.

Nonprofits are governed by an elected, volunteer Board of directors that should consist of individuals who are committed to the mission of the organization. An effective nonprofit Board should determine the mission and plans of the organization, establish management policies and procedures, assure that adequate human resources (volunteer and/or paid staff) and financial resources (earned income, government contracts and grants, and charitable contributions) are available, and actively monitor the organization’s management, financial and programmatic performance.

Results Tracking and Action

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THEORY OF CHANGE

Some people use the terms “theory of change” and “logic model” interchangeably. Others say that it is important to maintain the distinction between the two. What do the two terms mean? And what the difference between them?

A theory of change takes a wide view of a desired change, carefully probing the assumptions behind each step in what may be a long and complex process. Articulating a theory of change often entails thinking through all the steps along a path toward a desired change, identifying the preconditions that will enable (and possibly inhibit) each step, listing the activities that will produce those conditions, and explaining why those activities are likely to work. It is often, but not always, presented as a flow chart.

A logic model takes a more narrowly practical look at the relationship between inputs and results. It is often resulted as a table listing he steps from inputs or resources though the achievement of a desired program goal. Some grant makers separate logic models to chart the implementation components of theory of change.

As one evaluator noted, between the two definitions are many “hybrid approaches that are less simplistic than traditional logic models but not as comprehensive as theories of change.” The right model will depend on many factors, including the complexity of the project, the time line, and the operating style of both grant maker and grantee.

For more on the two methods and how they can be used singly or together, see Theories of Change and Logic Models: Telling Them Apart, at www.theoryofchange.org. The website, a project of ActKnowledge and the Aspen Institute Roundtable on Community Change, includes many tools and resources for creating theories of change.

Source: Mapping Change: Using a Theory of Change to Guide Planning and Evaluation

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Foundations of Nonprofit Management - Student Information

1. Your name:

2. Your specialization at Wagner (if not a Wagner student, specify your NYU program location):

3. Your year at Wagner (or at your NYU program):

4. Your status as a student (part time or full time):

Background:

5. Present work status:

Not working?

Working as an intern? Where and for how long?

Working as a paid employee? Where, for how long, doing what?

6. Previous work experience:

How many years altogether have you worked as a paid employee?

Briefly describe a relevant, recent job that illustrates your work experience (place and work assignment)

7. Briefly describe your motivation for taking Foundations of Nonprofit Management

8. Briefly describe your primary exposure to (and experience with) the nonprofit sector in general and nonprofit organizations and management in particular (as a leader in a boards, paid employee, volunteer, consumer, or stakeholder?)

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Course Overview: Structure, Contents and Requirements

PART I: The nature of the nonprofit world

1. Introduction: the state of the nonprofit sector (9/3/14)2. The purpose and distinctiveness of the nonprofit sector (9/17/14)

First paper due on Wednesday, September 24, 2014 (Class 3)

PART II: The nonprofit sector’s functions and organizations: dominant theories and their implications for policy and management

3. A Focus on Civil and Political Engagement (9/24/14)4. A Focus on Service Delivery (10/1/14) 5. A Focus on Social Entrepreneurship (10/8/14) 6. A Focus on Values and Faith; Strategic Planning to Achieve Non Profit Mission

and Functions (10/15/2014)7. Integrating Theories and Functions of Non Profit Sector and Positioning for

Success (10/22/14)

Second paper due on Wednesday, October 22, 2014 (Class 7)

PART III: Issues of sustainability and capacity of nonprofit organizations

8. Strategic Planning and Effectiveness of Non Profits (10/29/14)9. Strategic Planning, Accountability and Fiscal Responsibility (11/5/14)10. The Governance, Fundraising and Philanthropy (11/12/14) 11. Measuring, Replicating and Scaling up Results (11/19/14)

Third paper due on Wednesday, November 19, 2014 (Class 11)

12. Strategic Planning, Governance and Global Issues in Non Profit (11/26/14) Thanksgiving Eve

13. Leadership, Management and Creating Excellence in Non Profits (12/3/14)14. Strategic Plans: Presentation of Final Papers (12/_/14)

Final paper due on ___________________ (Class 14)

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Instructions to prepare for Class 1: Introduction: The state of the nonprofit sector ( 9/3/14 )

Readings:

Available on NYU Classes:** Scope and Size of the Nonprofit (overview of the sector)** Nonprofit Sector in Brief: Public Charities, Giving, and Volunteering, 2012, Urban Institute.** America's Non Profit Sector prepared by Independent Sector** Nonprofit Sector in New York prepared by Independent Sector** America's Non Profit Sector Revenue prepared by Independent Sector** The Nonprofit Sector in Brief: Facts and figures from the Nonprofit Almanac, 2012

** Nonprofit Inquiry Thrusts Fundraising Costs Into the Spotlighthttp://philanthropy.com/article/Nonprofit-Inquiry-Reignites/133693/

**501 c – Wikipedia

** Heart and Hammer, Paula L. Gavin

Instructions:

1. Please browse The Nonprofit Sector in Brief: Facts and figures from the Nonprofit Almanac, 2012, then choose one particular table or chart that calls your attention and study it more carefully. Pose a question of interest to you about the nonprofit sector based on the data presented in that table. Be prepared to discuss it and the motivation behind it in class.

2. Read “Nonprofit Inquiry Thrusts Fundraising Costs into the Spotlight” and come to class prepared to discuss your opinion of the issues at stake. What called your attention most? Why?

Please bring Student Information sheet to Class 1.

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Schedule of Classes and Assignments

PART I: The nature of the nonprofit world

1. Introduction: The state of the nonprofit sector ( 9/3/14 )

Available on NYU Classes:**Scope and Size of the Nonprofit (overview of the sector)**Nonprofit Sector in Brief: Public Charities, Giving, and Volunteering, 2012, Urban Institute.**America's Non Profit Sector prepared by Independent Sector**Nonprofit Sector in New York prepared by Independent Sector**America's Non Profit Sector Revenue prepared by Independent Sector**The Nonprofit Sector in Brief: Facts and figures from the Nonprofit Almanac, 2012

** Nonprofit Inquiry Thrusts Fundraising Costs Into the Spotlighthttp://philanthropy.com/article/Nonprofit-Inquiry-Reignites/133693/

** 501 c – Wikipedia

** Heart and Hammer, Paula L. Gavin

2. The Distinctiveness and Purpose of the Nonprofit Sector ( 9/17/14 )

Frumkin, Peter. 2002. “The Idea of a Nonprofit and Voluntary Sector”. In On Being Nonprofit: A Conceptual and Policy Primer. Cambridge: Harvard University Press: (p. 1-28)

Collins, Jim. 2005. Why business thinking is not the answer. Good to Great and the Social Sectors. A monograph to Accompany Good to Great. ONLY Pages 1-4, AND 28-33.

**Bruce Sievers. What Civil Society Needs. Stanford Social Innovation Review: Fall 2010: 8, 4 p. 49-53

** Lester M. Salamon and Stephanie L. Geller and S. Wojciech Sokolowski, 2011, Taxing the Tax-Exempt Sector: A growing danger for nonprofit organizations. Johns Hopkins University, COMMUNIQUÉ NO. 21

PART II: The nonprofit sector’s functions: dominant theories and their implications for policy and management

3. A Focus on Civil and Political Engagement (9/24/14)

Frumkin, Peter. Chapter 2: Civic and Political Engagement (pp 29-63)

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** Bass, Gary. “Advocacy in the Public Interest”, Center for Public and Nonprofit Leadership, Georgetown University, 2009, pp. 2-17

** Salamon, Lester and Stephanie Lessans Geller. 2008: Communique No. 9. Nonprofit America: A Force for Democracy? Johns Hopkins University; Communique No. 13. Roundtable on Nonprofit Advocacy and Lobbying. Johns Hopkins University

Paper 1 – Due Class 3, Wednesday, September 24, 2014

4. A Focus on Service Delivery (10/1/14)

Frumkin, Peter. Chapter 3: Service Delivery (pp. 69-95).

** Jossart-Marcelli, Pascale. 2012. “For Whom and For What? Investigating the role of nonprofits as providers to the neediest” In Lester Salamon (Ed) The State of Nonprofit America. 2nd Edition. Washington DC: Brookings Institution Press, pp. 657-681.

5. A Focus on Social Entrepreneurship (10/8/14)

Frumkin, Peter. Chapter 5: Social Entrepreneurship (pp. 129-162).

** Phills, James et al. 2008. Rediscovering Social Innovation. Stanford Social Innovation Review, Fall 2008

** Nicholls, Alex. 2011. Social Enterprise and Social Entrepreneurs. In Michael Edwards (Ed), The Oxford Handbook of Civil Society. Oxford: Oxford University Press (pp. 80-92)

6. A Focus on Values and Faith; Strategic planning to Achieve Non Profit Mission and Functions (10/15/2014)

Frumkin, Peter. Chapter 4: Values and Faith (pp. 96-128).

** Rangan, V. Kasturi. Lofty Missions, Down to Earth Plans. 2004. Harvard Business Review.

** Smergut, Peter. Strategic Planning on a Budget. 2005. Nonprofit World.

7. Integrating Theory and Functions of Non Profit Sector and Positioning for Success (10/22/14)

Frumkin, Peter. Chapter 6: Balancing the functions of nonprofit and voluntary action (pp. 163-181).Collins, Jim. 2005. Why business thinking is not the answer. Good to Great and the Social Sectors. A monograph to Accompany Good to Great. Pages 1-31 [Now the whole thing!]

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** Heather McLeod Grant; Leslie R Crutchfield, Creating High-impact Nonprofits. Stanford Social Innovation Review; Fall 2007; 5, 4

** Lester M. Salamon, Stephanie L. Geller, and Chelsea L. Newhouse, What Do Non Profits Stand For: Renewing the nonprofit value commitment, John Hopkins University Center for Civil Society Studies, December 2012

Second paper due class 7 on Wednesday, October 22, 2014

PART III: Issues of sustainability and capacity in nonprofit organizations

8. Strategic Planning and Effectiveness of Non Profits (10/29/14)

** Miller, Dennis, “Beyond Strategic Planning”, The Non Profit Times, March 2013

** Susan Colby, Nan Stone and Paul Carttar, Zeroing In On Impact: In an era of declining resources, nonprofits need to clarify their intended impact, Stanford School of Business, Fall 2004

** Austin, James E., Roberto Gutierrez, Enrique Ogliastri, & Ezequiel Reficco, “Capitalizing on Convergence”, Stanford Social Innovation Review, Winter 2007, pp. 24-31.

** Salamon, Lester. 2012. The resilient sector: The future of nonprofit America. In Lester Salamon (Ed.). 2012. The State of Nonprofit America. 2nd Edition. Washington DC: Brookins Institute. (pp. 3-39) [Please note that the chapter has 86 pages, but we will read it in two parts, the first 36 for this class and the rest for our final class].

RE-READ: Collins, Jim. 2005. (Good to Great) Issue Two: pages 9-13.

9. Strategic Planning, Accountability and Fiscal Responsibility (11/5/14)

** Blatstein, Ira, “Strategic Planning: Predictions on Shaping Future?” Organization Development Journal, Summer 2012

** Vernis, Alfred et al. 2006. “Accountability elements in nonprofits”. In Vernis, Alfred et al. Nonprofit Organizations, Challenges and Collaboration. New York: Palgrave MacMillan, pp 91-110.

** Jed Emerson. 2009. But does it Work? Stanford Social Innovation Review: 7, 1

RE-READ: Collins, Jim. 2005. (Good to Great) Issue One: pages 4-9

10. Governance, Fundraising and Institutional Philanthropy ( 11/12/14 )

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** Lenkowsky, Leslie. 2012. “Foundations and Corporate Philanthropy”. In Salamon, Lester (ed). The State of Nonprofit America. 2nd Edition. Washington DC: Brookings Institution Press: pp. 459-494

** Council on Foundations “Philanthropy on Trial”. April 12, 2011. Opening Statements and “Philanthropy on Trial Overview”

** The New York Times, The Role and Limits of Charity, Eduardo Porter, Nov 13, 2012

** The Wall Street Journal, Why Can't We Sell Charity Like We Sell Perfume? Dan Pallotta, September 14, 2012

RE-READ: Collins, Jim. 2005. (Good to Great) Issue Four: p. 17-23

11. Measuring, Replicating and Scaling up Results (11/19/14)

** Bradach, Jeffrey. “Going to Scale: the challenge of replicating social programs”. Stanford Social Innovation Review, Spring 2003

** Bradach, Jeffrey. “Scaling Impact”, in Ideas, First Person, Stanford Social Innovation Review, Summer 2010, pp. 27-28

** Kania, J. and Kramer, M. Collective Impact. Stanford Social Innovation Review, Winter 2011. pp.36-41

** York, Peter. “The Sustainability Formula”. 2009. TCC Group.

RE-READ: Collins, Jim. 2005. (Good to Great) Re-read Issue Five: pages 23-28

Paper 3 Due Class 11, Wednesday, November 19, 2014

12. Strategic Planning, Governance and Global Issues in the Nonprofit Sector (11/26/14)

** Anheier, Helmut and Lester M. Salamon, 2006. The Nonprofit Sector in Comparative perspective. In Powell, Walter and Richard Steinberg (ed). The Nonprofit Sector: A Research Handbook. 2nd edition. New Haven: Yale. (Pp. 89-103)

** Jordan, Lisa. 2011. Global Civil Society. In Michael Edwards (Ed) The Oxford Handbook of Civil Society. Oxford: Oxford University Press (pp. 93-105)

** New Yorkers Volunteer 2011-2012, New York State Commission on National and Community Service

RE-READ: Collins, Jim. 2005. (Good to Great) Issue Three: pages 13-17

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13. Leading, Managing, Governance and Creating Non Profit Excellence (12/3/14)

** Salamon, Lester. 2012. The resilient sector: The future of nonprofit America. In Lester Salamon (Ed.). 2012. The State of Nonprofit America. Washington DC: Brookins Institute. (pp. 39-73) [Please note that the chapter has 86 pages, we read, the first 30 earlier and we will finish it for this final class].

** Non Profit Self Assessment Tool. TACS

RE-READ: Collins, Jim. 2005. (Good to Great) Conclusion on pp. 28-31 and 34-35

14. Final Paper (Due Class 14 - )

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