Policy-Based Policy-Based Governance Governance

in a Nutshell in a Nutshell

An Introduction to UUCA’s An Introduction to UUCA’s Policy Governance Model Policy Governance Model

(includes updated Ends Statements)(includes updated Ends Statements)By UUCA Board of Trustees ‘06-07 By UUCA Board of Trustees ‘06-07

(DPrevMay07)(DPrevMay07)

GovernanceGovernance

““GovernanceGovernance exists in order to exists in order to translate the translate the wisheswishes of an of an organization’s organization’s ownersowners into into organizational performance.” organizational performance.”

- John Carver, - John Carver, On Board LeadershipOn Board Leadership

Who are UUCA’s owners?Who are UUCA’s owners?

How do they make their wishes known?How do they make their wishes known?

What isWhat isPOLICY GOVERNANCE?POLICY GOVERNANCE?

Policy Governance is a Policy Governance is a specific model of governing specific model of governing that emphasizes that emphasizes

values of the congregationvalues of the congregation vision of the congregationvision of the congregation empowerment of the congregation, empowerment of the congregation, board, and staff board, and staff

How does it work?How does it work? The Board listens to the congregation The Board listens to the congregation and is responsible for articulating and is responsible for articulating the congregation’s goals and values the congregation’s goals and values as as Ends StatementsEnds Statements..

The Senior Minister leads the staff The Senior Minister leads the staff (both volunteer and paid) in (both volunteer and paid) in implementing policies, and reports to implementing policies, and reports to the Board regularly on progress. the Board regularly on progress.

The staff is empowered to find The staff is empowered to find creative creative meansmeans to accomplish the to accomplish the endsends formulated by the Board.formulated by the Board.

The Board monitors staff fulfillment The Board monitors staff fulfillment of Board policies, and revises or of Board policies, and revises or clarifies policies as needed.clarifies policies as needed.

What advantages does What advantages does policy governance offer?policy governance offer?

Greater clarity about our Greater clarity about our purposepurpose

Greater clarity about roles and Greater clarity about roles and responsibilitiesresponsibilities

Greater accountabilityGreater accountability

Clarity Clarity Policy governance asks us Policy governance asks us to be clear about our to be clear about our

purpose:purpose: Why do we exist as an organization?Why do we exist as an organization? What difference do we want to make in the What difference do we want to make in the world?world?

What good do we wish to accomplish, for whom, What good do we wish to accomplish, for whom, and at what cost?and at what cost?

What do we want to become?What do we want to become? What goals do we wish to achieve?What goals do we wish to achieve?

The Board, on behalf of and in dialog The Board, on behalf of and in dialog with the congregation, answers these with the congregation, answers these questions in the form of written questions in the form of written Ends Ends Statements.Statements.

Clarity Clarity Policy governance provides Policy governance provides clarity about roles and clarity about roles and

responsibilities:responsibilities: Who does what?Who does what? What are the roles and What are the roles and responsibilities of:responsibilities of: The congregation?The congregation? The Board of Trustees?The Board of Trustees? The Senior Minister?The Senior Minister? The staff (paid and volunteer)?The staff (paid and volunteer)?

The Board answers these questions by The Board answers these questions by creating written governance policies.creating written governance policies.

AccountabilityAccountabilityPolicy governance holds us Policy governance holds us

accountable for progress toward accountable for progress toward our goals.our goals.

The executive (i.e., the Senior The executive (i.e., the Senior Minister) provides regular Minister) provides regular monitoring reports that enable monitoring reports that enable the Board to evaluate the the Board to evaluate the organization’s performance as organization’s performance as measured by policy-based measured by policy-based criteria.criteria.

ENDS STATEMENTSENDS STATEMENTS

The following slides are the The following slides are the proposed seven proposed seven ENDS STATEMENTSENDS STATEMENTS

These statements were built by the These statements were built by the Board utilizing input throughBoard utilizing input through UUCA Appreciative Inquiry processUUCA Appreciative Inquiry process UUCA congregational surveyUUCA congregational survey UUA ENDS STATEMENTS modelsUUA ENDS STATEMENTS models other UU congregation examplesother UU congregation examples many, many conversations with the many, many conversations with the congregationcongregation

The difference we will make in The difference we will make in the worldthe world

Acting out of our values, Acting out of our values, and in accordance with our and in accordance with our

mission,mission,

UUCA will give to the world:UUCA will give to the world:

ENDS STATEMENTS

A A vibrant faith communityvibrant faith community

for spiritual seekers that for spiritual seekers that

worship together, embracing worship together, embracing

lifelong religious learning and lifelong religious learning and

respecting different spiritual respecting different spiritual

journeys.journeys.

A A loving communityloving community

that provides support and care that provides support and care

for others through both the for others through both the

best and the most difficult of best and the most difficult of

times.times.

A A safe and welcoming communitysafe and welcoming community

where all are valued.where all are valued.

Children and youthChildren and youth, ,

centered in the values of our centered in the values of our

religious community and religious community and

nurtured in love, who are nurtured in love, who are

compassionate leaders in compassionate leaders in

seeking justice and peace.seeking justice and peace.

People with a passionPeople with a passion

for social and economic justice for social and economic justice

who work together for human who work together for human

rights and a sustainable rights and a sustainable

environment.environment.

A A creative communitycreative community

that challenges us to see the that challenges us to see the

world with new perspectives and world with new perspectives and

gives voice to the human spirit gives voice to the human spirit

through music and the Arts.through music and the Arts.

We are a place where hope is born. We are a place where hope is born.

Hope that we as a congregation, Hope that we as a congregation,

nation, and world can live nation, and world can live

harmoniously, harmoniously,

with arms that can reach across great with arms that can reach across great

divides divides

to offer support, find friendship, to offer support, find friendship,

and make peace. and make peace.

We give these gifts to the world.We give these gifts to the world.

Principles Principles of of

Policy Policy GovernanceGovernance

Policy Governance is Policy Governance is based on ten based on ten principles:principles:

#1#1 The The TrustTrust in in TrusteeshipTrusteeship

The Board exists to govern an The Board exists to govern an organization on behalf of the organization on behalf of the congregation to which they are congregation to which they are answerable.answerable.

The primary relationship the Board must The primary relationship the Board must establish, maintain, clarify, and establish, maintain, clarify, and protect is its relationship with its protect is its relationship with its congregation; keeping in contact with congregation; keeping in contact with them, and hearing their voices.them, and hearing their voices.

#2#2 The Board Speaks with The Board Speaks with One Voice or Not at AllOne Voice or Not at All

The Board has been entrusted by the The Board has been entrusted by the congregation with the authority to congregation with the authority to govern and lead. govern and lead.

If the Board is to lead, then on If the Board is to lead, then on each given issue it must speak with each given issue it must speak with a single voice. a single voice.

The Board should not present The Board should not present conflicting messages to the conflicting messages to the congregation or the staff.congregation or the staff.

#3#3 Board Decisions Are Board Decisions Are Predominantly Policy Predominantly Policy

DecisionsDecisions Board policies fit into four categories:Board policies fit into four categories: ENDS ENDS — The congregation defines which human — The congregation defines which human needs are to be met. Written with a long-term needs are to be met. Written with a long-term perspective, these mission-related statements perspective, these mission-related statements embody the congregation’s reason for being. embody the congregation’s reason for being.

EXECUTIVE LIMITATIONS EXECUTIVE LIMITATIONS — Using the ENDS as the — Using the ENDS as the filter, the Board establishes the boundaries filter, the Board establishes the boundaries of acceptability of operation for the of acceptability of operation for the Executive, staff, and volunteer staff.Executive, staff, and volunteer staff.

BOARD-STAFF LINKAGE BOARD-STAFF LINKAGE — The Board clarifies the — The Board clarifies the manner in which it delegates authority and manner in which it delegates authority and how it evaluates performance relative to Ends how it evaluates performance relative to Ends and Limitations. and Limitations.

GOVERNANCE PROCESS GOVERNANCE PROCESS — The Board determines its — The Board determines its philosophy, its accountability, and the philosophy, its accountability, and the specifics of its own job. specifics of its own job.

#4#4 The Board Formulates Policy The Board Formulates Policy by Determining the Broadest by Determining the Broadest Values Before Progressing to Values Before Progressing to

More Narrow OnesMore Narrow Ones The Board may develop policy to The Board may develop policy to whatever detail it wishes, provided whatever detail it wishes, provided that:that: the ENDS STATEMENTS are used as a filterthe ENDS STATEMENTS are used as a filter the intent is from a broad to narrow the intent is from a broad to narrow perspective and does not skip levels in perspective and does not skip levels in the processthe process

the Board exercises leadership and the Board exercises leadership and maintains effective control without maintains effective control without delving into vast detail delving into vast detail (a “(a “lessless policy policy is is moremore freedom” philosophy) freedom” philosophy)

#5#5 The Board Defines and The Board Defines and Delegates, Rather than Delegates, Rather than Reacting and RatifyingReacting and Ratifying

Having Policy Governance in place allows Having Policy Governance in place allows the congregation to know whether a the congregation to know whether a proposed plan is approvable according to proposed plan is approvable according to the applicable policy.the applicable policy.

StaffStaff responsibilities in a congregation responsibilities in a congregation also includes working with the member also includes working with the member leaders serving as leaders serving as volunteer staffvolunteer staff. This . This system strengthens system strengthens shared ministryshared ministry..

Assurance of policy compliance is Assurance of policy compliance is maintained through policy-focused maintained through policy-focused monitoring. monitoring.

The Congregation and Board have a clear, The Congregation and Board have a clear, open, and meaningful way to evaluate church open, and meaningful way to evaluate church leadership and program performance, while leadership and program performance, while fulfilling the Ends.fulfilling the Ends.

#6#6 EndsEnds Determination is Determination is the Pivotal Duty of the Pivotal Duty of

GovernanceGovernance Focusing on the ENDS keeps the Focusing on the ENDS keeps the congregation in tune with its own congregation in tune with its own existence and big picture outcomes. existence and big picture outcomes.

The congregation’s impact in the The congregation’s impact in the world is managed by and through its world is managed by and through its members, not merely on their members, not merely on their behalf. behalf.

#7#7 The Board Controls The Board Controls MEANS by Limiting, Rather MEANS by Limiting, Rather

than Prescribingthan Prescribing The congregation’s conduct, activities, The congregation’s conduct, activities, methods, and practices are its "means" methods, and practices are its "means" rather than its “ends.” rather than its “ends.”

The Board's role is one of boundary-The Board's role is one of boundary-setting —specifying in policies which setting —specifying in policies which staff MEANS would be unacceptable, staff MEANS would be unacceptable, unapprovable, or off-limits. unapprovable, or off-limits.

Beginning with broad prohibitions, Beginning with broad prohibitions, advancing thoughtfully toward more advancing thoughtfully toward more detailed ones, the broader statements detailed ones, the broader statements act as a safety net. This key method of act as a safety net. This key method of means constraintmeans constraint enables the Board to enables the Board to govern with fewer pages of govern with fewer pages of pronouncements, less dabbling in pronouncements, less dabbling in details of implementation, and produces details of implementation, and produces greater accountability.greater accountability.

#8#8 The Board Explicitly The Board Explicitly Design Their Own Products Design Their Own Products

and Processesand Processes

The Board defines theirThe Board defines their code of conductcode of conduct plans and planning processesplans and planning processes relationship with the staff relationship with the staff

The Board treats its governance The Board treats its governance policies as iron-clad policies as iron-clad commitments. commitments.

Everything is evaluated by “does Everything is evaluated by “does it meet the ENDS statements?”it meet the ENDS statements?”

#9#9 The Board Forges a The Board Forges a Linkage with the Executive Linkage with the Executive That is Empowering and That is Empowering and

Safe Safe The Board and the Executive The Board and the Executive constitute a leadership team. constitute a leadership team.

Clear differentiation in their Clear differentiation in their roles and responsibilities enable roles and responsibilities enable them to fulfill and excel in them, them to fulfill and excel in them, mutually support each other, and mutually support each other, and influence each other toward ever influence each other toward ever greater integrity and capability greater integrity and capability for leadership.for leadership.

#10#10 Performance is Performance is Monitored Rigorously, but Monitored Rigorously, but

Only Against Policy Only Against Policy CriteriaCriteria

The Board requires regular The Board requires regular monitoring reports from the monitoring reports from the Executive.Executive.

The performance towards the The performance towards the ENDS STATEMENTS and policies ENDS STATEMENTS and policies will be the metric used for will be the metric used for staff accountability.staff accountability.

ResourcesResources

UUA General Assembly 2000 UUA General Assembly 2000 information information http://www.uua.org/ga/ga00/217.html#http://www.uua.org/ga/ga00/217.html#basicbasic

condensed fromcondensed from John Carver & Miriam John Carver & Miriam Mayhew, Mayhew, Carver Guide Series on Carver Guide Series on Effective Board GovernanceEffective Board Governance with notes inserted on adapting the with notes inserted on adapting the model to Unitarian Universalist model to Unitarian Universalist churches — by Margaret Keip churches — by Margaret Keip

See also: John Carver’s website See also: John Carver’s website http://http://www.carvergovernance.comwww.carvergovernance.com//

Roles and Responsibilities (St. Paul example)

Roles and Responsibilities (Berkely example)Roles and Responsibilities (Berkely example)

HOW DO THE POLICIES FIT HOW DO THE POLICIES FIT TOGETHER?TOGETHER?

The next slide is a graphic of The next slide is a graphic of the four key functions:the four key functions: ENDS STATEMENTSENDS STATEMENTS EXECUTIVE LIMITATIONSEXECUTIVE LIMITATIONS BOARD STAFF LINKAGEBOARD STAFF LINKAGE GOVERNANCE PROCESSGOVERNANCE PROCESS

ENDS STATEMENTS

EXECUTIVE LIMITATIONS

BOARD STAFF LINKAGE

GOVERNANCE PROCESS