Policy Governance - Who’s in Charge? Lake Washington School District University Place School...

Policy Governance-

Who’s in Charge?

Policy Governance-

Who’s in Charge?

Lake Washington School DistrictLake Washington School District

University Place School DistrictUniversity Place School District

Lake Washington School DistrictLake Washington School District

University Place School DistrictUniversity Place School District

November 12, 2004November 12, 2004

2

Today’s AgendaToday’s Agenda

Understanding Policy Governance (LWSD)Understanding Policy Governance (LWSD) BackgroundBackground Description of John Carver’s modelDescription of John Carver’s model Comparison of PG to the traditional modelComparison of PG to the traditional model Benefits & Concerns Benefits & Concerns

Implementing Policy Governance (UPSD)Implementing Policy Governance (UPSD) Conditions leading to PG: Why change?Conditions leading to PG: Why change? Preparatory work: Get readyPreparatory work: Get ready 1st year of implementation: Go1st year of implementation: Go Alternatives in time/costAlternatives in time/cost

Q & A (Both)Q & A (Both)

Understanding Policy Governance (LWSD)Understanding Policy Governance (LWSD) BackgroundBackground Description of John Carver’s modelDescription of John Carver’s model Comparison of PG to the traditional modelComparison of PG to the traditional model Benefits & Concerns Benefits & Concerns

Implementing Policy Governance (UPSD)Implementing Policy Governance (UPSD) Conditions leading to PG: Why change?Conditions leading to PG: Why change? Preparatory work: Get readyPreparatory work: Get ready 1st year of implementation: Go1st year of implementation: Go Alternatives in time/costAlternatives in time/cost

Q & A (Both)Q & A (Both)

Fred haley

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Background

Fred Haley -Fred Haley - Tacoma School Board, Tacoma School Board, circ 1980circ 1980

Alternative - Micro-management exampleAlternative - Micro-management example

Who is right?Who is right?

Fred Haley -Fred Haley - Tacoma School Board, Tacoma School Board, circ 1980circ 1980

Alternative - Micro-management exampleAlternative - Micro-management example

Who is right?Who is right?

Drucker

4

“Life on the board is not juicy and exciting. Rather, it is dull. Board members are more often bored by routine than stimulated by manipulating the levers of power.”

Peter Drucker The Bored Board - 1976

“Life on the board is not juicy and exciting. Rather, it is dull. Board members are more often bored by routine than stimulated by manipulating the levers of power.”

Peter Drucker The Bored Board - 1976

Carver

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“Very competent individuals can come together to form a very incompetent board.”

John CarverBoards that Make A Difference

“Very competent individuals can come together to form a very incompetent board.”

John CarverBoards that Make A Difference

steps

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Management Steps vs OwnershipManagement Steps vs Ownership

CEOCEO

BoardBoard

$ vs Owner

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Dollar Driven vs. Owner DrivenDollar Driven vs. Owner Driven

CEOCEO

BoardBoard

$$ $ $ $ $

$vs Owner

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Dollar Driven vs. Owner DrivenDollar Driven vs. Owner Driven

CEO

Board

Owner vs customer

9

Owner vs. CustomerOwner vs. Customer

CEO

Board

Customers

Chart

10

EndsEndsBoard/CEO RelationsBoard/CEO Relations

Governance Process Governance Process

Executive LimitsExecutive Limits

ELELGPGP

EndsEndsB/CRB/CR

Policy types

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Policy TypesPolicy Types

Ends:Ends: What good, for whom, at what cost What good, for whom, at what cost or priorityor priority

Executive Limitations:Executive Limitations: What the CEO is What the CEO is not permitted to do in day-to-day not permitted to do in day-to-day operationsoperations

Governance Process:Governance Process: How the board will How the board will do its jobdo its job

Board-CEO Relations:Board-CEO Relations: How the board How the board and CEO will operate with each otherand CEO will operate with each other

Ends:Ends: What good, for whom, at what cost What good, for whom, at what cost or priorityor priority

Executive Limitations:Executive Limitations: What the CEO is What the CEO is not permitted to do in day-to-day not permitted to do in day-to-day operationsoperations

Governance Process:Governance Process: How the board will How the board will do its jobdo its job

Board-CEO Relations:Board-CEO Relations: How the board How the board and CEO will operate with each otherand CEO will operate with each other

End v Means

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Ends vs. MeansEnds vs. Means

Ends are a statement about your customer(s):Ends are a statement about your customer(s): They describe a result, and They describe a result, and They state a priority or cost.They state a priority or cost.

If it is not an Ends statement then it must be If it is not an Ends statement then it must be a Means. a Means. (Means are methods to accomplish Ends)(Means are methods to accomplish Ends)

Ends are a statement about your customer(s):Ends are a statement about your customer(s): They describe a result, and They describe a result, and They state a priority or cost.They state a priority or cost.

If it is not an Ends statement then it must be If it is not an Ends statement then it must be a Means. a Means. (Means are methods to accomplish Ends)(Means are methods to accomplish Ends)

Proscribe vs

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Proscribe vs PrescribeProscribe vs Prescribe

Establish what the board is worried about, and Establish what the board is worried about, and Prohibit those activities or events.Prohibit those activities or events. This is easier than listing all the things you want.This is easier than listing all the things you want.

Establish what the board is worried about, and Establish what the board is worried about, and Prohibit those activities or events.Prohibit those activities or events. This is easier than listing all the things you want.This is easier than listing all the things you want.

Contrib

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Carver’s Key Contributions Governance is a step down from ownership,Governance is a step down from ownership,

Not a step up from management.Not a step up from management. Clear definition of the board’s role vs. CEO’s.Clear definition of the board’s role vs. CEO’s. The board’s primary work is CEO accountability,The board’s primary work is CEO accountability,

Accomplished through monitoring reports. Accomplished through monitoring reports. The board’s primary work is ENDS definition, The board’s primary work is ENDS definition,

Accomplished through ownership “linkage.” Accomplished through ownership “linkage.” Proscribe CEO duties (not prescribe).Proscribe CEO duties (not prescribe).

Any reasonable interpretation is accepted.Any reasonable interpretation is accepted. CEO is clearly accountable. CEO is clearly accountable.

Governance is a step down from ownership,Governance is a step down from ownership, Not a step up from management.Not a step up from management.

Clear definition of the board’s role vs. CEO’s.Clear definition of the board’s role vs. CEO’s. The board’s primary work is CEO accountability,The board’s primary work is CEO accountability,

Accomplished through monitoring reports. Accomplished through monitoring reports. The board’s primary work is ENDS definition, The board’s primary work is ENDS definition,

Accomplished through ownership “linkage.” Accomplished through ownership “linkage.” Proscribe CEO duties (not prescribe).Proscribe CEO duties (not prescribe).

Any reasonable interpretation is accepted.Any reasonable interpretation is accepted. CEO is clearly accountable. CEO is clearly accountable.

Benefit

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Benefits Small policy document.Small policy document. Board committee limitations, Board committee limitations,

Committees do board’s work only.Committees do board’s work only. Clear owner vs. customer distinction.Clear owner vs. customer distinction. Board speaks with one voice.Board speaks with one voice. Board spends time on the right things,Board spends time on the right things,

Less micro-mgt.Less micro-mgt. Carver COP keeps board on track.Carver COP keeps board on track.

Small policy document.Small policy document. Board committee limitations, Board committee limitations,

Committees do board’s work only.Committees do board’s work only. Clear owner vs. customer distinction.Clear owner vs. customer distinction. Board speaks with one voice.Board speaks with one voice. Board spends time on the right things,Board spends time on the right things,

Less micro-mgt.Less micro-mgt. Carver COP keeps board on track.Carver COP keeps board on track.

Concerns

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Concerns Concerns

Language Language (EL’s, B/CEO Relations, Linkage).(EL’s, B/CEO Relations, Linkage).

Perception board is not running operation.Perception board is not running operation. Sustainability (turnover).Sustainability (turnover). CEO makes more decisions. CEO makes more decisions. CEO Resistance to added accountability.CEO Resistance to added accountability. Does not make a bad board good.Does not make a bad board good.

Language Language (EL’s, B/CEO Relations, Linkage).(EL’s, B/CEO Relations, Linkage).

Perception board is not running operation.Perception board is not running operation. Sustainability (turnover).Sustainability (turnover). CEO makes more decisions. CEO makes more decisions. CEO Resistance to added accountability.CEO Resistance to added accountability. Does not make a bad board good.Does not make a bad board good.

comparison

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ComparisonComparison Traditional Board Policy Governance Board

Policies have narrow focus, issue oriented Broader, more encompassingPolicies are numerous Fewer, memorableBoard action: Based Upon Circumstance Based Upon Values DiscussionFocused on Operations Focused on End ResultsTends to Direct all Employees Directs CEO/Supt onlyPrescribes Means (Micro-Management) Proscribes Means (sets Limits) Frequent meetings Less frequent need for meetingsConfuses Role of Board/Supt Clarifies RolesPotentially Stagnant (ref: Peter Drucker) Dynamic, EffectiveOne of Many Drivers Single Driver of ActionsStifles CEO creativity Promotes CEO innovationOwners opinions may be missed Systematic linkage to Owners

Traditional Board Policy Governance Board

Policies have narrow focus, issue oriented Broader, more encompassingPolicies are numerous Fewer, memorableBoard action: Based Upon Circumstance Based Upon Values DiscussionFocused on Operations Focused on End ResultsTends to Direct all Employees Directs CEO/Supt onlyPrescribes Means (Micro-Management) Proscribes Means (sets Limits) Frequent meetings Less frequent need for meetingsConfuses Role of Board/Supt Clarifies RolesPotentially Stagnant (ref: Peter Drucker) Dynamic, EffectiveOne of Many Drivers Single Driver of ActionsStifles CEO creativity Promotes CEO innovationOwners opinions may be missed Systematic linkage to Owners

Proflow mt

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Board Meeting Agendas Board Meeting Agendas

More time on key issuesMore time on key issues More time discussing owner’s opinionsMore time discussing owner’s opinions Improved focus on monitoring reports from CEOImproved focus on monitoring reports from CEO

More time on key issuesMore time on key issues More time discussing owner’s opinionsMore time discussing owner’s opinions Improved focus on monitoring reports from CEOImproved focus on monitoring reports from CEO

Before PG

After PG

Before PG

After PG

Issue #

1

Issue #

1

Issue #

6

Issue #

6

Issue #

7

Issue #

7

Issue #

8

Issue #

8

Issue #

9

Issue #

9

Issue #

10

Issue #

10

Issue #

11

Issue #

11

Issue #

12

Issue #

12

Issue #

13

Issue #

13

Issue #

14

Issue #

14

Issue #

3

Issue #

3

Issue #

4

Issue #

4

Issue #

2

Issue #

2

Issue #

5

Issue #

5

Minutes

Minutes

Issue #

14

Issue #

14

Monitoring / Linkage / Ends DevelopmentMonitoring / Linkage / Ends DevelopmentIss

ue #15

Issue #

15

Consent Agenda(Issues #1 to #13)Consent Agenda(Issues #1 to #13)

Random Q & ARandom Q & AM

inutes

Minutes

Structured Q & AStructured Q & A

GP 8

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Monitoring ScheduleSample

Monitor rpt

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Monitoring Reports

PolicyPolicy

InterpretationInterpretation

Supporting Information and DataSupporting Information and Data

In Compliance (or Not)In Compliance (or Not)

Implementing

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Implementing Policy Governance

How we got hereHow we got hereWhat we’ve doneWhat we’ve doneWhat we’ve not doneWhat we’ve not done

Lessons learnedLessons learned Alternatives in time/moneyAlternatives in time/money

areas-for more work

Preceding

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Conditions Preceding PG

Leadership roles: ‘Who’s in charge?’Leadership roles: ‘Who’s in charge?’ Board concernsBoard concerns Superintendent concernsSuperintendent concerns Superintendent evaluationSuperintendent evaluation

1st Interest

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Initial Interest in the Model

Spring 2001 - NSBA BookstoreSpring 2001 - NSBA Bookstore School Board Leadership 2000School Board Leadership 2000

ReadingReading Passed book aroundPassed book around Shared reactionsShared reactions Discussed possibilitiesDiscussed possibilities

Incubation periodIncubation periodDeciding

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Deciding to Use PG

Board must understand the modelBoard must understand the model Committee work; Reading; StudyCommittee work; Reading; Study

Staff must understand the modelStaff must understand the model Year-long board discussion w/staffYear-long board discussion w/staff

Deliberations & DecisionDeliberations & Decision Public commitment; ResolutionPublic commitment; Resolution

Orientation & TrainingOrientation & Training Workshop (AASA/Aspen Group)Workshop (AASA/Aspen Group)

Preparing

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Preparing to Adopt PG

3 Products: Linkage, Policy, Performance3 Products: Linkage, Policy, Performance Reading: Articles – Books Reading: Articles – Books –– Pamphlets Pamphlets Policy Development (work-study)Policy Development (work-study)

Means (GP, B/SR, EL) – using templatesMeans (GP, B/SR, EL) – using templates Ends (E) – from scratchEnds (E) – from scratch Annual AgendaAnnual Agenda – w/ – w/ LinkageLinkage Meetings Meetings

Consultant vs. Self-helpConsultant vs. Self-help

Flip Switch

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‘Flipping the Switch’

Formal ceremony – public commitmentFormal ceremony – public commitment Public/staff informedPublic/staff informed

Change expectations - ‘board business’Change expectations - ‘board business’ Educate: Roles, ProcedureEducate: Roles, Procedure

MeetingsMeetings change radically change radically Full year’s agenda - linkage meetingsFull year’s agenda - linkage meetings Agenda item: “Is this board business?”Agenda item: “Is this board business?” Consent agenda for superintendent businessConsent agenda for superintendent business

1st Year

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1st Year of PG Implementation

LinkageLinkage – with ‘owners’ – with ‘owners’ MonitoringMonitoring – to assure performance* – to assure performance* Policy – review policiesPolicy – review policies

Septem

ber

Septem

ber

February

February

Marc

hM

arch

AprilApril

MayMay

June

June

JulyJuly

August

August

November

November

Decem

ber

Decem

ber

October

October

January

January

August

August

2003-20042003-2004

SuptEvalSuptEval

E-2/NCLBLinkageE-2/NCLBLinkage

E-3&4LinkageE-3&4Linkage

E-5&6LinkageE-5&6Linkage

* * * * * *Adop-tionAdop-tion

*Ju

lyJuly

2004-20052004-2005

Lessons

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Lessons Learned

DisciplineDiscipline EvaluationEvaluation MonitoringMonitoring LinkageLinkage

MeetingsMeetings Strategic PlanStrategic Plan BudgetBudget Existing PolicyExisting Policy


Self-discipline

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Board (Self-)Discipline““Boards are the least disciplined, least rational, and Boards are the least disciplined, least rational, and

most disordered element in any school systemmost disordered element in any school system.”.”Gene Royer - Gene Royer - School Board Leadership 2000School Board Leadership 2000

Decide group expectations about:Decide group expectations about: Attendance – Individual authorityAttendance – Individual authority Meeting Preparation – Conflict of interestMeeting Preparation – Conflict of interest

EveryoneEveryone enforces GP policies enforces GP policies Board Chair not the enforcerBoard Chair not the enforcer Individual member responsibilityIndividual member responsibility


Supt Eval

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Superintendent Evaluation ‘‘Behavior/style’ eval checklist at end of year vs. Behavior/style’ eval checklist at end of year vs.

systematic gathering of systematic gathering of judgmentsjudgments on monitoring on monitoring reports reports throughout the yearthroughout the year

Accepting reports not good enoughAccepting reports not good enough Only evaluate against Only evaluate against written criteriawritten criteria in policy in policy

(Ends and Executive Limitations)(Ends and Executive Limitations) To what extent does the To what extent does the organizationorganization……

Achieve what is to be achieved, and Achieve what is to be achieved, and Avoid what is to be avoided?Avoid what is to be avoided?

“ “Any reasonable interpretation” ruleAny reasonable interpretation” rule


Self-eval

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Board (Self-)Evaluation

Regular self-evaluation of meetings Regular self-evaluation of meetings (rotating the duty - not the chair)(rotating the duty - not the chair)

Is the board following the model?Is the board following the model? Are meetings dedicated to board work or Are meetings dedicated to board work or

are we still doing staff work?are we still doing staff work? Annual Annual self-evaluationself-evaluation


Monitoring

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Monitoring Delegation w/o monitoring is abdicationDelegation w/o monitoring is abdication Write performance criteria into policyWrite performance criteria into policy Set method/frequency of monitoringSet method/frequency of monitoring

Internal ReportsInternal Reports External reportsExternal reports Direct InspectionDirect Inspection

Board makes judgments about dataBoard makes judgments about data Were prescribed Ends achieved? Were prescribed Ends achieved? Criteria?Criteria? Were Means within limitations? Were Means within limitations? Criteria?Criteria? Do we need to refine policy/criteria?Do we need to refine policy/criteria?


Ends/Link

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Ends & Linkage

““The most frequent dialogue of boards should The most frequent dialogue of boards should be with the public, not with its staffbe with the public, not with its staff””

John CarverJohn Carver

Planned inputPlanned input Focused not randomFocused not random Owners - not just customersOwners - not just customers Validate owner input by deliberatingValidate owner input by deliberating


Meetings

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Board Meetings: Board Business

Old:Old: Link with staffLink with staff Receive staff reportsReceive staff reports Approve staff workApprove staff work Agenda prepared by Agenda prepared by

staff, ad hoc items staff, ad hoc items added by boardadded by board

Q: Q: “What’s going on?”“What’s going on?”

New:New: Link with ‘owners’Link with ‘owners’ Monitor performanceMonitor performance Revise policiesRevise policies Agenda prep by board Agenda prep by board

in annual plan and in annual plan and written in policywritten in policy

Q: “What’s important?”Q: “What’s important?”or “How did we do?”or “How did we do?”


Strategic

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Strategic Plan

Traditional strategic planTraditional strategic plan Primary focus on means: Plans & ProgramsPrimary focus on means: Plans & Programs Less emphasis on fully defined Ends:Less emphasis on fully defined Ends:

What result, for whom, at what cost/priorityWhat result, for whom, at what cost/priority Strategic planning changesStrategic planning changes

Board retains small (critical) part:Board retains small (critical) part:Ends policies – Executive limitation policiesEnds policies – Executive limitation policies

Superintendent gets the remainder: Strategies Superintendent gets the remainder: Strategies that must meet criteria established in policythat must meet criteria established in policy

Board controls through policy/monitoringBoard controls through policy/monitoring


Budget

36

Budget

Board prioritizes spending in Ends PoliciesBoard prioritizes spending in Ends Policies Here ‘meddling’ on behalf of ownership is okHere ‘meddling’ on behalf of ownership is ok

Means criteria in Exec Limitations policiesMeans criteria in Exec Limitations policies Debt – Fund Balance – Spending LimitationsDebt – Fund Balance – Spending Limitations

Frees up Superintendent to plan the budgetFrees up Superintendent to plan the budget No board ‘meddling’ in the Supt’s planNo board ‘meddling’ in the Supt’s plan Hard to do – the public expects meddlingHard to do – the public expects meddling

Board retains control by monitoring Board retains control by monitoring frequently against policy criteriafrequently against policy criteria


Existing

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Existing Policy Manual

Detailed directives/rules (305 policies)Detailed directives/rules (305 policies) Means are prescribed in great detailMeans are prescribed in great detail Very little expressed in values termsVery little expressed in values terms

Hand-off to Superintendent…Hand-off to Superintendent… Anything not prescribed in EndsAnything not prescribed in Ends Nor proscribed in MeansNor proscribed in Means

Supt may Supt may modify, delete, addmodify, delete, add as needed as needed Board approval via consent agendaBoard approval via consent agenda


Good-Fast

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Alternatives

Cheap

Good Fast

Time

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Alternatives

Time (incremental vs policy blitz)Time (incremental vs policy blitz) Learning & Preparation - 1 year +Learning & Preparation - 1 year +

Means Policies - 2 days +Means Policies - 2 days +Ends Policies - 1 day +Ends Policies - 1 day +

Implementation – 1 yearImplementation – 1 year

Money

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Alternatives

MoneyMoney 2002/3 (Preparing to implement)2002/3 (Preparing to implement)

Reading materials, Travel, TrainingReading materials, Travel, Training$8,900+$8,900+

2003/4

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Alternatives

MoneyMoney 2003/4 (12003/4 (1stst year of implementation) year of implementation)

Training, Consultation, Survey, Training, Consultation, Survey, Mailing, PrintingMailing, Printing

$6,700$6,700 2004/5 (22004/5 (2ndnd year) year)

Consultation = $7,000Consultation = $7,000 Total $

42

Alternatives

MoneyMoney 2002/3 - $8,9002002/3 - $8,900 2003/4 - $6,7002003/4 - $6,700

Total for implementation: $15,600Total for implementation: $15,600 2004/5 - $7,0002004/5 - $7,000

Total to date - $22,600Total to date - $22,600Final

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Final Thoughts

Who’s In Charge?Who’s In Charge?For For board businessboard business: The board is : The board is

in charge, and must in charge, and must do the workdo the work..For For all other businessall other business: The : The

superintendent superintendent runs the showruns the show & & is is accountableaccountable for same. for same.

Questions

44

Questions?

Prompt

Policy Governance - Who’s in Charge? Lake Washington School District University Place School...

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