Transcript Policy Based Governance

Policy-Based Governance
in a Nutshell
An Introduction to UUCA’s
Policy Governance Model
(includes updated Ends Statements)
By UUCA Board of Trustees ‘06-07
(DPrevMay07)
Governance
“Governance exists in order to translate the
wishes of an organization’s owners into
organizational performance.”
- John Carver, On Board Leadership
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Who are UUCA’s owners?
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How do they make their wishes known?
What is
POLICY GOVERNANCE?
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Policy Governance is a specific model of
governing that emphasizes
values of the congregation
 vision of the congregation
 empowerment of the congregation, board, and
staff
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How does it work?
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The Board listens to the congregation and is
responsible for articulating the congregation’s
goals and values as Ends Statements.
The Senior Minister leads the staff (both
volunteer and paid) in implementing policies,
and reports to the Board regularly on progress.
The staff is empowered to find creative means
to accomplish the ends formulated by the
Board.
The Board monitors staff fulfillment of Board
policies, and revises or clarifies policies as
needed.
What advantages does policy
governance offer?
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Greater clarity about our purpose
Greater clarity about roles and
responsibilities
Greater accountability
Clarity
Policy governance asks us to be
clear about our purpose:
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Why do we exist as an organization?
What difference do we want to make in the world?
What good do we wish to accomplish, for whom, and at
what cost?
What do we want to become?
What goals do we wish to achieve?
The Board, on behalf of and in dialog with the
congregation, answers these questions in the
form of written Ends Statements.
Clarity
Policy governance provides clarity
about roles and responsibilities:
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Who does what?
What are the roles and responsibilities of:
 The congregation?
 The Board of Trustees?
 The Senior Minister?
 The staff (paid and volunteer)?
The Board answers these questions by creating
written governance policies.
Accountability
Policy governance holds us accountable for
progress toward our goals.
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The executive (i.e., the Senior Minister)
provides regular monitoring reports that
enable the Board to evaluate the
organization’s performance as measured
by policy-based criteria.
ENDS STATEMENTS
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The following slides are the proposed seven
ENDS STATEMENTS
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These statements were built by the Board
utilizing input through
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UUCA Appreciative Inquiry process
UUCA congregational survey
UUA ENDS STATEMENTS models
other UU congregation examples
many, many conversations with the congregation
ENDS STATEMENTS
The difference we will make in the
world
Acting out of our values,
and in accordance with our mission,
UUCA will give to the world:
A vibrant faith community
for spiritual seekers that worship together,
embracing lifelong religious learning and
respecting different spiritual journeys.
A loving community
that provides support and care for others
through both the best and the most
difficult of times.
A safe and welcoming community
where all are valued.
Children and youth,
centered in the values of our religious
community and nurtured in love, who are
compassionate leaders in seeking justice
and peace.
People with a passion
for social and economic justice who work
together for human rights and a
sustainable environment.
A creative community
that challenges us to see the world with
new perspectives and gives voice to the
human spirit through music and the Arts.
We are a place where hope is born.
Hope that we as a congregation, nation, and
world can live harmoniously,
with arms that can reach across great divides
to offer support, find friendship,
and make peace.
We give these gifts to the world.
Principles
of
Policy Governance
Policy Governance is based
on ten principles:
#1 The Trust in Trusteeship
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The Board exists to govern an organization on
behalf of the congregation to which they are
answerable.
The primary relationship the Board must
establish, maintain, clarify, and protect is its
relationship with its congregation; keeping in
contact with them, and hearing their voices.
#2 The Board Speaks with One
Voice or Not at All
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The Board has been entrusted by the
congregation with the authority to govern
and lead.
If the Board is to lead, then on each given
issue it must speak with a single voice.
The Board should not present conflicting
messages to the congregation or the staff.
#3 Board Decisions Are
Predominantly Policy Decisions
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Board policies fit into four categories:
 ENDS — The congregation defines which human
needs are to be met. Written with a long-term
perspective, these mission-related statements
embody the congregation’s reason for being.
 EXECUTIVE LIMITATIONS — Using the ENDS as
the filter, the Board establishes the boundaries of
acceptability of operation for the Executive, staff, and
volunteer staff.
 BOARD-STAFF LINKAGE — The Board clarifies the
manner in which it delegates authority and how it
evaluates performance relative to Ends and
Limitations.
 GOVERNANCE PROCESS — The Board determines
its philosophy, its accountability, and the specifics of
its own job.
#4 The Board Formulates Policy by
Determining the Broadest Values Before
Progressing to More Narrow Ones
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The Board may develop policy to whatever
detail it wishes, provided that:
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the ENDS STATEMENTS are used as a filter
the intent is from a broad to narrow
perspective and does not skip levels in the
process
the Board exercises leadership and maintains
effective control without delving into vast
detail (a “less policy is more freedom” philosophy)
#5 The Board Defines and Delegates,
Rather than Reacting and Ratifying
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Having Policy Governance in place allows the
congregation to know whether a proposed plan
is approvable according to the applicable policy.
Staff responsibilities in a congregation also
includes working with the member leaders
serving as volunteer staff. This system
strengthens shared ministry.
Assurance of policy compliance is maintained
through policy-focused monitoring.
The Congregation and Board have a clear, open,
and meaningful way to evaluate church
leadership and program performance, while
fulfilling the Ends.
#6 Ends Determination is the
Pivotal Duty of Governance
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Focusing on the ENDS keeps the
congregation in tune with its own
existence and big picture outcomes.
The congregation’s impact in the world is
managed by and through its members,
not merely on their behalf.
#7 The Board Controls MEANS by
Limiting, Rather than Prescribing
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The congregation’s conduct, activities, methods,
and practices are its "means" rather than its
“ends.”
The Board's role is one of boundary-setting —
specifying in policies which staff MEANS would
be unacceptable, unapprovable, or off-limits.
Beginning with broad prohibitions, advancing
thoughtfully toward more detailed ones, the
broader statements act as a safety net. This key
method of means constraint enables the Board
to govern with fewer pages of pronouncements,
less dabbling in details of implementation, and
produces greater accountability.
#8 The Board Explicitly Design
Their Own Products and Processes
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The Board defines their
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code of conduct
plans and planning processes
relationship with the staff
The Board treats its governance policies as
iron-clad commitments.
Everything is evaluated by “does it meet
the ENDS statements?”
#9 The Board Forges a Linkage
with the Executive That is
Empowering and Safe
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The Board and the Executive constitute a
leadership team.
Clear differentiation in their roles and
responsibilities enable them to fulfill and
excel in them, mutually support each
other, and influence each other toward
ever greater integrity and capability for
leadership.
#10 Performance is Monitored
Rigorously, but Only Against Policy
Criteria
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The Board requires regular monitoring
reports from the Executive.
The performance towards the ENDS
STATEMENTS and policies will be the
metric used for staff accountability.
Resources
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UUA General Assembly 2000 information
http://www.uua.org/ga/ga00/217.html#basic
condensed from John Carver & Miriam Mayhew,
Carver Guide Series on Effective Board
Governance
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with notes inserted on adapting the model to
Unitarian Universalist churches — by Margaret
Keip
See also: John Carver’s website
http://www.carvergovernance.com/
Roles and Responsibilities (St. Paul example)
Roles and Responsibilities (Berkely example)
HOW DO THE POLICIES FIT
TOGETHER?
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The next slide is a graphic of the four key
functions:
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ENDS STATEMENTS
EXECUTIVE LIMITATIONS
BOARD STAFF LINKAGE
GOVERNANCE PROCESS
ENDS
STATEMENTS
EXECUTIVE
LIMITATIONS
GOVERNANCE
PROCESS
BOARD STAFF
LINKAGE