policy governance - who’s in charge? lake washington school district university place school...
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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
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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
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“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
18
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
1st Year of PG Implementation
Self-discipline
29
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
1st Year of PG Implementation
Supt Eval
30
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
1st Year of PG Implementation
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
1st Year of PG Implementation
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?
1st Year of PG Implementation
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
1st Year of PG Implementation
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?”
1st Year of PG Implementation
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
1st Year of PG Implementation
Budget
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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
1st Year of PG Implementation
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
1st Year of PG Implementation
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
40
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 $
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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
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Questions?
Prompt