presented by: jennifer mcquarrie [email protected] 805-252-1080 1 governance training
TRANSCRIPT
Board Member Legal Duties
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Duty of Care, Loyalty and Obedience Care: Level of care that prudent person would
exercise (no zoning out, “noggin’ nodding,” ignoring gut instinct to investigate)
Loyalty: Undivided allegiance (faithfulness) to school, not to self interests
Obedience: True to the school’s mission, not personal agenda
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Key Board Foundation Documents
Charter and related agreementsBylawsPoliciesAll foundation documents should reflect
mission and be consistent
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Charter Sets Accountability
Charter as performance-based contract School may be closed (charter revoked) for
failure to meet charter terms and goals16 Key elements:
Sound educational program & operations (fiscal, legal, governance)
Governance-related charter elements Element D (governance)
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Governance: Element DThis section of charter should:
Explain the school’s legal status Frame key elements of governing structure Explain legal/governance relationship with
granting agency Parental involvement (required) May need revision to reflect structure of the
board and employees
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Annual Operating AgreementMost schools negotiate contracts or written
agreements with their granting agency a.k.a. “MOU” or annual operating agreement
Clarifying matters not specified in charterTopics usually include:
Finance, support services, liability/indemnification, special education, facilities, etc.
More changeable year-to-year than 5-year charter
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Key Bylaws Elements
Legal statusBoard composition (7 total – 4 community
members and 3 parent members)Officers, elections, and succession Structure and roles - advisory board,
committees, parent council, etc.Meeting calendar and proceduresMiscellaneous legal and financial issuesProcess to amend bylaws
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Board Role: Mission & Vision
All board members should understand/buy into school’s mission
Mission “drives” all board decisionsRevisit mission over time as school
evolvesCharters must answer three questions:
Whom will the school educate? How does learning best occur? What does it mean to be “an educated person
in the 21st century?”
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Board Role: Goal-Setting & Strategic Planning
Long-term (strategic) plansShort-term (annual) plansOften developed with or by staffPlans help to flesh out mission by
establishing action steps to achieve goals Work backwards: long-term, annual,
per-meeting goalsBoard monitors plans
Link Plan to Board CalendarAnnual board calendar helps to
frame the board’s role Align with annual administrative and fiscal
calendars Identifies annual cycle of key board
decisions Tool to ensure that staff, committees “do
their homework”
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Board Role: Establish PoliciesPolicies flesh-out charter and bylawsPermit delegation of authority with
confidenceCore, “must-have” policies:
Instructional program (incl. special education) Financial Personnel Student & parent Conflict resolution Policy policy
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Policy: Instructional Program
Must conform to charter provisions and law
Often published in a student handbook Student performance standards, including
graduation requirements Curriculum design Assessment program Classes, daily schedule, calendar Special education, ELL students
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Policy: Personnel
Employee Handbook – ED oversees implementation, ensure annual review of same
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Policy: Student and ParentsStudent and/or parent engagement
requirementsDiscipline, suspension, expulsion
policies In compliance with charter and relevant
laws Due process elements
Confidentiality - student records actOften elements included in
student/parent handbook
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Policy: Conflict ResolutionFleshes out charter elementAddress both internal and external conflictsOften written in parent, student, and
personnel handbooksImportant to ensure all parties consistently
follow the policiesUniform Complaint Procedures
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Policy: Policy
Who will develop policy, how, when, and why
Many charter schools have unofficial, “de facto” policies Verbal, in board meeting minutes, etc.
Need to develop process of how to write down and codify policies Balance articulation with bureaucracy
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Other Helpful Policies
Legal school health and safety, liability/risk mgmt., etc.
Increasingly, grantors asking for these before approval board members’ legal duties
Board operations/normsInternal and external relationsSupport services & facilities
(transportation, food, etc.)
Personnel Roles
Job descriptions – ED develops and updates admin job descriptions with BOCC consultation
Recruitment and selection – ED oversees hiring process with BOCC consultation Staff structure/Org chart (part of hiring process?)
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Personnel
Evaluations – ED to evaluate Principal, Development Director, Education Director and Front Office Staff
ED reviews staff evaluationsDiscipline/termination – ED reviews staff
disciplinary actions, recommends termination for BOCC decision
BOCC retains power to appoint and remove employees in bylaws
•BOCC evaluates ED
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Board Role: Monitoring School Performance / Accountability
Charter as “performance-based contract”Key accountability areas:
Student performance, fiscal, legal, charter terms
Can be revoked for failure in each of these areas
Enforcement: Renewal, revocation, non-renewal
Set realistic, attainable goals Keep ideals to “internal” school accountability
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3 Levels of Accountability
Local/charter accountability Must meet terms of charter and any grantor
requirements Meet the needs of students and families
State accountability State testing, fiscal requirements, charter law,
etc.Federal accountability
No Child Left Behind: AYP, Highly Qualified, fiscal reporting
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Student Performance
A key board functionCharter schools must “meet” state standards &
administer state testsGrantor can revoke or non-renew for failing to
meet pupil outcomes in charterSubject to state & federal (NCLB) accountability Review student performance data
Are our students meeting goals outlined in charter and state standards?
Meeting state and federal accountability goals?
Local Control Accountability Plan
New legislation Charter petition requirements:
Annual goals for all pupils and each subgroup to be achieved in the state priorities and additional school priorities
Annual actions to achieve goals Annual Update (July 1, 2015)
Review progress toward goals Assess effectiveness of specific actions Description of changes to actions to be made as a result of the
review and assessment List and description of expenditures implementing actions as a
result of reviews and assessments Consult with teachers, principals, administrators, school
personnel, parents and pupils
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Renewal Requirements
Schools that have been in operation for four years must meet one of the following: API growth target in prior year or 2 of 3 previous
years both for all students and all significant subgroups Student achievement data of significant subgroups “the most
important renewal factor” API state or comparison rank 4 or higher in prior
year or 2 of 3 previous years Authorizer agrees that the school has out performed
similar district schools based on “clear and convincing data” including STAR data
Qualified for ASAM (very restricted)
Board Role: Charter Renewal
Board involvement varies widely: Some boards manage the process Others delegate most or all to staff
Board and school staff should view renewal as a 5-year challenge: Political and substantive Build political base Ensure sound school operations and student
performance throughout charter term
Board Role: Fiscal Oversight
Buck stops with boardMust have system to regularly monitor, ensure
school’s financial healthUsually includes:
Fiscal policies & procedures Budget development and oversight Audit Long-term planning Strong working relations w/ competent staff
Fiscal Policies
Board should review and adopt policies to govern key financial matters: Delegate specified fiscal powers to staff Delineate board and staff financial roles,
responsibilities Budget development and oversight process Accounting, banking, payroll, and investments Internal controls to prevent fraud and
mismanagement
Budget Development & Monitoring
Board should adopt budget and monitor school’s financial status Process and frequency vary
Usually a pre-determined budget adoption schedule Budget should be aligned with school’s mission Supplemented with regular (e.g. monthly) monitoring
and amendments to budget Board should know enough to be confident of the
school’s immediate and long-term fiscal solvency
Annual Audit
Charter audits governed by detailed regulations Negative audit findings can result in
catastrophic lossesBoard should manage key aspects of audit:
Selection of auditor Receive, review, and approve audit report Ensure appropriate response to any audit
exceptions or deficienciesOften done by a special audit committee
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Financial Accountability
Grantor may revoke charter if : “Failed to meet generally accepted accounting
principles, or engaged in fiscal mismanagement.”
State Board may revoke if: “Gross financial mismanagement …” “Illegal or substantially improper use of charter
funds for the personal benefit of any officer, director, or fiduciary of the charter school.”
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Legal Accountability
Granting authority may revoke if school: “Violated any provision of law.”
Stay updated on changes to laws and regulations
Review charter to ensure school is following the charter
Ensure school policies and practices comply with applicable federal and state laws Difficult given unclear applications
“Smell test;” if it smells bad, it probably is bad Exercise required due diligence
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Board Role: Monitor Own Performance
Revocations from “governance meltdowns”Key governance accountability areas:
Adhere to board’s legal responsibilities Maintain sound internal and external relations Engage in effective board practice
Board self-assessment: reflect on collective and individual performance at least annually
Effectively steer through board’s evolutionary stages
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Sound Internal & External Relations
External relations Grantor Community, media, political
Internal relations Parents and students Internal board Staff/director
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Effective School-Grantor Relations
Clear goals and data documenting achievementClear operational & legal understandingsUp-front agreement on oversight, renewal, and
dispute resolutionDuring disagreements, strive for open
communications & relationsPick key liaison (staff or board) to work with
grantor
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Effective Community & Media Relations
Community relationships Collaborations & partnerships
Public relations and media Have one “spokesperson” Garner positive press Share accomplishments
Political relations Invite local legislators to visit school
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Effective Parent & Student Relations
Clear goals/expectations (mutual) Some schools have contracts
Fair policies, well implementedQuality services & programsClear communication
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Effective Internal Board Relations
Common vision Clarified in strategic & annual plans
Experienced, capable leadershipBoard recruitment and succession
Recruit experience, expertise, & track record Consider screening process and bylaws
“deadwood” clause (3 missed meetings in a year)
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Maintaining Confidentiality
Board members need to carefully consider public disclosure of sensitive information Law may require confidentiality:
Legally-protected student data and family privacy Some personnel data
Disclosure may also jeopardize school’s interest: Pending business transactions Litigation or potential litigation Relations with charter-granting agency and/or public
• Or simply lead to needless gossiping that damages school’s reputation or interests
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Importance of Interpersonal Communication
Candid interactions—no hidden agendasBring forth both challenges and successesRespect confidentiality on sensitive issuesAvoid secrecy among a few board
members—cabals and intrigue can be destructive
Common problems faced together—hesitate to seek unilateral solutions
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Developing Board Norms
Mutual respect, trust, and equal “voice”Respect for decision-making processBoard speaks and acts with one voiceRespect and follow school’s policies and
procedures
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Board Development
Orientation of new members crucial School history and mission, charter, policies Charter school laws and history Roles, responsibilities, norms
Relationship-building Retreats (minimum annual) helpful
Ongoing training Keep abreast of charter laws, other key charter and
governance areas
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Board Chair
Key role as planner and facilitator of board meetings, retreats, and activities
Desirable characteristics: Time, focus, energy Respect of fellow board members, stakeholders Seen as “neutral” on controversial issues Knows formal and informal meeting rules and
strategies Knows school and committed to mission
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Board Chair (2)
Board chair can make or break a meeting: Usually try to stay neutral, above the fray
Comment last during debate Deftly prod and steer individuals to consensus
Anticipate friction and head it off Highlight points of agreement Identify and frame issues to be resolved
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Effective Board Meetings
Clear & focused agendasPreparation (by members, committees, etc.)Materials provided in advance with memos
articulating need and explanation of itemSkilled leadership & facilitationClear meeting procedures
Meeting conduct, rules, and norms Decision-making process (consensus, majority
vote, etc.)
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Common Board Meeting Challenges
Too many meetingsMeetings last too longMeetings are unproductive and frustratingDeliberations are unnecessarily heated
and/or confrontationalNo board participation
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Mix of Art & Science
Law, bylaws, charter and school policy constitute most of the “science” Meeting notice requirements Open meetings and posting requirements Quorum and voting requirements Rules of order Etc.
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It’s Mostly Art
It’s supposed to be challenging Even the most experienced legislative bodies have
difficulties
If it weren’t challenging, it probably wouldn’t be worth meeting
Rules of order can be rigid and thwart deliberation, consideration, and compromise
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Setting the Agenda
Agendas are subtly important power toolsIn basic form, simply a list/order of items to
be discussed/addressedSophisticated boards use agenda to steer
and drive beyond merely ordering items Annual cycle and in-meeting order Action v. information Timing, pacing, etc.
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Agenda-Setting Suggestions
Start with annual board calendar Translate into initial list of items by time period
(e.g., month) Calendar identifies most of the “core” annual
cycle of “must do” items and activities Then add other topical and “one-time” items as
neededTypically done by board chair in
consultation with school director
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Agenda-Setting Suggestions-2
Fix a meeting start/end times Strive for norm of sticking to them if possible
Use agenda to establish a meeting “rhythm” Start with one or two quick and light items Then add other items in descending order of
importance Defer unfinished items to next meeting unless
urgent or essential
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Agenda-Setting Suggestions-3
Try to place only “ripe,” “board-worthy” items on the agenda Unless holding a board information or study
session “Ripe” means staff and committee work done Board-worthy means it’s worth the board’s time
Usually means a real policy or oversight issue Not staff-level disputes or “outrage of the day”
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Checked-Out Board Members
If individual members miss a meeting, have a process to bring them up-to-speed Review meeting minutes Personal briefing from board chair and/or staff
Check on chronic absenteeism Unless they donate a lot of $! ;-) “Deadwood” clause in bylaws or board policies Private chat, counseling out if not
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Wrap up
The buck stops with youYou are the holders of the missionRelationships are important to your
successKeep lines of communication openMaintain your sense of humor