Program Sustainability
Workbook
2015
2015 Sustainability Workbook
Table of Contents
I. Introduction
Sustainability Framework ............................................................................. 3
II. Program Summary ............................................................................. 5
III. Action Plan for Priority Elements
A. Self-Assessment Tool ..................................................................... 6-14
B. Current Strengths and Needs ........................................................ 15-16
C. Priority Elements (Action Plan) .......................................................... 17
D. Plan for Follow-up ............................................................................. 17
E. Sustainability Plan Follow-up .............................................................. 17
IV. References ........................................................................................ 18
V. Appendices
A. 2015 Funding Sources and Financing Strategies
B. Sustainability Elements & Supporting Tools
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2015 Sustainability Workbook
I. Introduction
Sustainability*
What keeps effective programs sustained over time? Believe it or not, it takes more than just
money! The Sustainability Framework identifies a set of organizational and contextual elements
that can help build the capacity for sustaining a program. 1
Sustainability depends on developing a clear plan for putting in place and keeping in place the key
elements that make an initiative successful. It inevitably requires a balance of funding and an
array of elements listed in the framework below. It requires building relationships with key
stakeholders that can broker resources as well as become champions for the program. Figuring
out what resources are needed and how to rationalize them is what sustainability planning is all
about. 2
Good sustainability plans help the developers of promising programs and initiatives clarify where
they are and where they want to go. They help policy makers, opinion leaders, and investors
decide how and why to get on board. They help key audiences understand what the initiative is
and why it is needed. A good sustainability plan is a roadmap that will help all stakeholders
successfully reach their goals.2
Sustainability planning should be done throughout the life of an initiative. A sustainability plan
works best when it is used and reviewed on a continual basis.2
Sustainability Framework
*Adapted and modified from the Finance Project Framework
1
Center for Public Health Systems Science. The Program Sustainability Assessment Tool, copyright 2012, Washington
University, St .Louis, MO
2
The Finance Project. Sustainability Planning Workbook. Washington, DC: The Finance Project Publisher, 2003
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2015 Sustainability Workbook
Key Elements Overview*
Vision
Having a clear picture of what you want to sustain, which starts with clearly articulating
what you want to achieve through your work and then clearly identifying the strategies
and activities that will get you there.
Results Orientation
Defining “success” for your initiative; measuring your progress over time; and adjusting
your work, based on what you learn.
Strategic Financing Orientation
Projecting the resources you will need and systematically developing a variety of financing
strategies and funding sources to provide a stable base of resources over time.
Broad-Based Community Support
Strategically considering whose support you need and developing appropriate outreach
efforts and vehicles for community involvement in your initiative.
Key Champions
Rallying leaders from business, faith-based institutions, government, and other parts of
the community and persuading them to use their power and influence to generate support
for your initiative.
Adaptability to Changing Conditions
Being proactive in the policy environment and adjusting to changing social, economic, and
political trends in the community.
Strong Internal Systems
Building strong systems and structures, such as fiscal management, information,
personnel, and governance.
Marketing and Communications
Creating a written plan that can be used to manage and market your work.
*Adapted and modified from the Finance Project Framework
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III. Action Plans for Priority Elements
A. Self-Assessment
INSTRUCTIONS:
1. Please complete the Finance Project’s Self-Assessment Tool (pp. 6-14)
2. Review the results from the Self-Assessment Tool to support Step III-B.
Use your data to describe/highlight areas of strength and areas of need for each
of the sustainability elements (Step III-B).
Please refer to the “key elements” document and discussions you may have had with those responsible
for the sustainability plan.
Vision
The initiative’s leaders know what they want to sustain.
1 2 3 4 5 Comments
A. The initiative's leaders have developed a
clear vision for their work.
B. The initiative’s leaders have developed a
process to determine what is to be sustained,
and by whom.
C. The initiative’s leaders have decided what
they want to sustain (for example, a formal
entity, a process, a service, a particular
practice, a method of operation).
D. The initiative’s leaders have analyzed and
can articulate how the initiative fits (or would
like to fit) within the larger community.
E. The initiative’s leaders have analyzed and
can articulate how the initiative complements,
yet is distinguishable from, other initiatives.
Rank your progress on each of these tasks according to a five-point scale that assesses
whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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Results Orientation
The initiative incorporates processes to establish and track performance and process measures.
The initiative’s leaders use that information to improve their work over time.
1 2 3 4 5 Comments
A. The initiative has an accepted “theory of
change” and logic model that shows how its
work fits into a range of state and
community efforts to improve the lives of
children and families.
B. The initiative’s leaders have identified
and use indicators 3 and performance
measures to track the performance of their
own work.
C. The initiative uses indicators and
performance measures to plan its work and
budget its resources.
D. The initiative’s leaders examine data on
these measures (including input from
clients, parents, or both) to find ideas for
ways to improve service design and
delivery.
E. The initiative’s leaders implement these
ideas, including changing or discontinuing
initiatives as necessary.
F. The initiative’s staff and board
collaborate with other initiatives that are
pursuing improvements in community-wide
indicators that relate to the initiative’s work.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
3
In this tool, indicators are defined as measures of change in child and family well-being across an entire community. Performance
measures track changes in child and family well-being among specific target populations served by an initiative, program, or individual; or
the level of activity or quality of a specific service. Most initiatives would use performance measures to track their own work; they would use
indicators to see how they contribute to community-wide efforts.
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2015 Sustainability Workbook
Strategic Financing Orientation
The initiative’s leaders have identified a variety of financing strategies that could support the initiative.
The initiative has a plan to pursue those strategies and is following that plan.
1 2 3 4 5 Comments
A. The initiative’s leaders know how much
funding is needed to sustain their work.
B. The initiative’s leaders have identified the
types of financial resources necessary to
sustain their work, such as:
• discrete sources of public funds (for
example, one-time, ongoing);
• discrete sources of private funds;
• institutionalization within an ongoing
system or process.
C. The initiative’s leaders have identified and
are pursuing ways to ensure the most efficient
use of existing funds (for example, gaining
economies of scale).
D. The initiative’s leaders have identified and
are pursuing ways to support the redirection or
reallocation of funds (for example, using funds
freed up through improved outcomes to
finance more prevention activities).
E. The initiative’s leaders have identified and
are pursuing ways to increase the flexibility of
existing funding streams (for example, through
pooling funds across agency and program
lines or improving coordination of existing
funding streams).
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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Broad-Based Community Support
The initiative’s leaders take steps to involve the community in their work and gain community support
based on the initiative’s positive impact on families’ lives.
1 2 3 4 5 Comments
A. The initiative has a plan to establish a
desired identity and reputation within the
community.
B. The initiative’s leaders involve recipients of
their services in their work to improve service
design and delivery and to build ownership and
support.
C. In addition to service recipients, the
initiative’s leaders involve a diverse set of
stakeholders in their work (such as community-
based organizations, government agencies,
and private businesses) to improve service
design and delivery and to build ownership and
support.
D. The initiative’s leaders and community
partners understand and communicate the
work’s value for families in its community.
E. The initiative’s leaders collect quantitative
and qualitative data to show the value of their
work for families.
F. The initiative’s leaders package those data
in user-friendly formats and communicate them
regularly to the community, key stakeholders,
media, potential funders, and others.
G. The initiative’s leaders recognize and
reward people who are instrumental in helping
achieve sustainability for the work.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task 8
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Key Champions
The initiative’s leaders identify potential champions they need to approach on an individual level and
are following a plan to do so. These champions include senior decision makers, local community
representatives and peer initiatives, and individuals. The initiative’s leaders also pursue ways to
communicate with stakeholders in a more general (less labor-intensive) fashion.
1 2 3 4 5 Comments
A. The initiative’s leaders have identified key
senior decision makers at the community and
state levels who can influence its sustainability.
B. The initiative’s leaders have designed and
implemented a plan for tailored outreach to
these key decision makers (including
appropriate messengers and messages).
C. The initiative’s leaders have also developed
other, less labor-intensive ways to contact and
keep other potential champions informed (for
example, sending them newsletters, inviting
them to initiative events).
D. The initiative’s leaders use a variety of
strategies to encourage parent champions,
such as strongly involving parents in its work.
E. The initiative’s leaders have and use a
variety of strategies to encourage peer
community champions, such as collaborating
with other organizations (for example, public
and nonprofit service providers) in service
planning, delivery, and financing.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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Adaptability to Changing Conditions
The initiative’s leaders seek new opportunities for resource development and support and are
able to respond to new opportunities (for example, welfare reform, newly elected or appointed
leaders) as they arise.
1 2 3 4 5 Comments
A. The initiative’s leaders monitor changes in
the policy and program environment to see how
their initiative could fit with new directives and
agendas.
B. The initiative’s leaders consider how its
work can be framed or positioned to interest
different funders and to take advantage of new
financing opportunities.
C. The initiative’s leaders use this information
to approach new funders.
D. The initiative’s leaders have identified
opportunities to participate in efforts to improve
the overall policy and program environment (for
example, standing advisory groups,
opportunities to develop or comment on state
plans for expending federal funds).
E. The initiative’s leaders actively participate in
decision-making processes about changes in
policy and practice.
F. The initiative’s leaders have determined how
they can improve their ability to participate in
these efforts (for example, by establishing their
credibility as technical experts, community
representatives, or controllers of resources),
and have followed through to increase the
likelihood of being able to participate.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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Strong Internal Systems
The initiative has strong internal processes that ensure a vibrant, durable, and continuously improving
initiative.
1 2 3 4 5 Comments
A. The initiative has a well-defined team of
staff, advisory or governance group members,
volunteers, and others that it needs to
accomplish its mission.
B. The initiative’s leaders and others
understand and accept their roles and
responsibilities.
C. The initiative has strong fiscal processes
that allow leaders to stay informed on its current
financial status and to be alerted to emerging
financing concerns.
D. Staff and board develop and review
projections for short- and long-term revenues
and expenses.
E. Staff and board develop financing strategies
to meet those needs; staff and board review
and change financial strategies as needed.
F. The initiative has strong internal systems (for
example, accounting, auditing, management
information, procurement, personnel) to
maintain quality control over its work.
G. The initiative has strong communication
processes to ensure that all partners are kept
informed.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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2015 Sustainability Workbook
Marketing and Communications
The initiative has a marketing and communications strategy that ensures the message is consistent
and accurate to achieve the end result.
1 2 3 4 5 Comments
A. The initiative’s leaders have clear and
defined marketing/communications goals for
what they want to accomplish.
B. The initiative’s leaders have created a clear
and concise message that supports the vision.
C. The initiative’s leaders understand how its
work can be branded or positioned by using
various media vehicles to attract new funders
and partners.
D. The initiative’s leaders have a process to
reassess and adjust their marketing and
communications plan periodically based on
tracking and feedback.
E. The initiative’s leaders have provided
training to its staff on message unification to
further merge the program message in public
awareness.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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Sustainability Plan
The initiative has a sustainability plan that enables it to set priorities and take action.
1 2 3 4 5 Comments
A. The initiative’s leaders have a long-term
plan for what they want to accomplish.
B. The initiative’s leaders have identified
challenges or obstacles to sustaining the
initiative, including potential conflicts with
alternative initiatives or agendas.
C. The initiative’s leaders have developed
strategies to garner needed resources and
overcome identified barriers.
D. The initiative’s leaders have a process to
reassess and adjust their plan periodically.
E. The initiative’s leaders have identified and
communicated with other individuals who have
a role in the sustainability plan.
Rank your progress on each of these tasks according to a five-point scale
that assesses whether the initiative’s leaders:
1 = Have not started this task 2 = Have started initial conceptual and planning work
3 = Have begun to implement this task 4 = Have made solid progress in implementing this task
5 = Have made sufficient progress in completing this task
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III. Action Plans for Priority Elements
B. Current Strengths and Needs (This section is part of the workbook deliverable)
INSTRUCTIONS:
Please complete the Finance Project’s Self-Assessment Tool (III-A)
Review the results from the Self-Assessment Tool to support completion of section below.
Using your data from the Self-Assessment Tool, please describe/highlight areas of
strength and areas of need for each of the sustainability elements.
Please refer to the “key elements” document and discussions you may have had with those responsible
for the sustainability plan.
• Text
Vision • Text
Defining goals & • Text
understanding • Text
your niche
Results • Text
Orientation • Text
Evaluating • Text
outcomes and
• Text
demonstrating
effectiveness
Strategic
Financing • Text
Orientation • Text
Using current • Text
funds efficiently
and identifying • Text
new funding
sources.
(Appendix A)
Broad
Based • Text
Community • Text
Support • Text
Communicating • Text
& collaborating
with a range of
stakeholders
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Current Strengths and Needs continued
• Text
Key • Text
Champions • Text
Cultivating and
engaging • Text
leadership
Adaptability
to Changing • Text
Conditions • Text
Monitoring • Text
trends and • Text
influencing
changes
Strong
Internal • Text
Systems • Text
Ensuring • Text
efficiency and • Text
accountability
through effective
management
Marketing &
Communications • Text
Creating a
• Text
written plan to
manage and • Text
market your • Text
work
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Action Plans for Priority Elements continued
INSTRUCTIONS: Based on those areas of improvement identified in section III-B, choose 2-
3 priority elements to work on. Please copy this template for additional priority elements.
C. Priority Elements: (check 1 per template)
Vision Results Orientation Strategic Financing Orientation (Appendix A)
Broad Based Community Support Key Champions Adaptability to Changing
Environments Strong Internal Systems Marketing and Communications
Rationale: Which task within this element (refer to self-assessment tool) will you focus on and why?
Action Steps Responsibility – Time Frame – Resource – Who How will you
By Whom? By when will it or what is being know if you’re
be done? used? successful?
D. Plan for Follow-up How do you plan to monitor your progress on sustainability moving forward?
Who is responsible for evaluating and documenting progress? When will you assess your progress? When will you
set new milestones?
E. Sustainability Plan Follow-up Date:
Progress Made:
Challenges Encountered:
Next Steps:
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IV. References
1. The Finance Project. Sustainability Planning Workbook. Washington, DC: The Finance
Project Publisher, 2003
2. Center for Public Health Systems Science (2012). Sustainability and Assessment Tool.
Washington University in St. Louis: George Warren Brown, School of Social Work.
[Link]
[Link]
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V. Appendices
2015 Funding Sources and Financing Strategies Worksheet. (sample on following
page)
Appendix A: 2013 Funding Sources and Financing Strategies Worksheet
Funding Source- Expense/Revenue Summer Funding
2015 2016 2017 2018
Projected Expenses
Committed Revenues
Total Committed Revenues
FUNDING GAP
Prospective Revenues
Total Prospective Revenues
REMAINING GAP, if any
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Appendix A- Sample: Funding Sources and Financing Strategies Worksheet
Funding Source Summer Funding
2014 2015 2016 2017
Projected Expenses 200,000 250,000 250,000 250,000
Committed Revenues
Packard Foundation 110,000 75,000 50,000 -
Sierra Health Foundation 30,000 30,000
Supplemental 60,000 60,000 60,000
Total Committed
Revenues 200,000 165,000 110,000 -
FUNDING GAP - 85,000 140,000 250,000
Prospective Revenues
District general fund 50,000 100,000 150,000
Kaiser Foundation 35,000 35,000
Supplemental 60,000
The California Endowment 35,000
Parent suggested
donations 5,000 5,000
Total Prospective
Revenues - 85,000 140,000 250,000
REMAINING GAP, if any - - - -
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Appendix B
Sustainability
Supporting Tools (Found in the Finance Project Toolkit)
Elements
Vision Module I
Sustainability Self-Assessment Tool (p.14)
Worksheet I – Self-Assessment Summary (p. 24)
Module II
Worksheet I – Self-Assessment Summary (p. 5)
Worksheet 2 – Clarifying Vision and Desired Results (p. 13)
Your Logic Model (p. 41)
Results Module II
Worksheet I – Self-Assessment Summary (p. 5)
Orientation Worksheet 3 – Identifying Conditions and Causes (p. 15)
Worksheet 4 – Prioritizing Existing Strategies and Activities (P. 19)
Worksheet 5 – Considering New Strategies and Activities (p. 21)
Worksheet 6 – What Do You Want to Sustain? (p. 23)
Worksheet 7 – Identifying Measures of Effect (p. 27)
Worksheet 8 – Prioritizing Measures of Effect (p. 28)
Worksheet 9 – Identifying Measures of Effort (p. 30)
Worksheet 10 – Prioritizing Measures of Effect (p. 32)
Worksheet 11 – Identifying Indicators (p. 36)
Your Logic Model (p. 41)
Strategic Module III
Worksheet I – Self-Assessment Summary (p. 5)
Financing Worksheet 2 – Financing for What? (p. 7)
Orientation Worksheet 3 – How Much Do You Need? (p. 10)
Worksheet 4 – Identifying Current Resources (p. 11)
Worksheet 5 – Assess Your Funding Gaps (p. 13)
Worksheet 6 – Evaluate Potential Funding Sources and Financing Strategies (p. 16)
Broad-based Module IV
Worksheet 4 – Self-Assessment Summary (p. 12)
Community Worksheet 5 – Community Engagement Strategies (p. 14)
Support Worksheet 10 – Prioritize Strategies Related to Community Support and Org. Capacity (p. 22)
Key Champions Module IV
Worksheet 6 – Self-Assessment Summary (p. 15)
Worksheet 7 – Strategies for Cultivating Key Champions (p. 17)
Adaptability to Module IV
Worksheet I – Environmental Scan (p. 7)
Changing Worksheet 2 – Self-Assessment Summary (p. 9)
Conditions Worksheet 3 – Strategies Related to Adaptability to Changing Conditions (p. 10)
Strong Internal Module IV
Worksheet 8 – Self-Assessment Summary (p. 19)
Systems Worksheet 9 – Strategies for Strengthening Internal Systems (p. 20)
Worksheet 10 – Prioritize Strategies Related to Community Support and Org. Capacity (p. 22)
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Marketing and Module I
Worksheet 1 – Self-Assessment Summary (p. 24-26)
Communications Module II
Worksheet 3 – Identifying Conditions and Causes (p. 15)
Worksheet 19 – Prioritizing Existing Strategies and Activities (p. 19)
Module III
Worksheet 6 – Evaluate Potential Funding Sources and Financing Strategies (p. 16)
Module IV
Worksheet 1 – Environmental Scan (p. 7)
Worksheet 4 – Self-Assessment Summary, Broad Based Community Support (p. 12)
Worksheet 9 – Strategies for Strengthening Internal Systems (p. 20)
Module IV
Executive Summary Sample (24)
Sustainability Module V
p. 4: Worksheet I – Priority Strategies and Milestones
Plan p. 6: Worksheet 2 – Year I Workplan
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