Table of Contents Executive Summary Section One: Key Concepts for Board Policy Leadership A. Introduction B. The Role of the Board of Education C. Strategic Planning D. Governance Defined E. Effective Governance F. Underlying Values and Principles G. Project Aim Section Two: Models and Options for Board Policy Leadership A. Introduction B. Governance Models C. Governance Models Used by Saskatchewan School Boards D. The Trend Toward Policy Governance E. Examples of Policy Governance School Boards F. Conclusion Section Three: A Framework for the Development of Policy Leadership by Saskatchewan Boards of Education A. Introduction B. Components of the Model Section Four: Proposal for Saskatchewan Codificatoin System A. Introduction B. Proposed Codification System    Section Five: References and Links A. References B. Links - School Boards - Governance Policies C. Links - School Associations and School Officials D. Links - Other       Section Six: Key Questions to Consider A. Introduction B. Vision C. Attainable Objectives D. Skills E. Incentive F. Resources G. Action Plan H. Monitoring

Overview This resource was commissioned by the Saskatchewan School Trustees Association to strengthen the capacity of boards of education to implement policy and govern effectively.  Traditionally boards of education in Saskatchewan have governed with a high degree of hands-on involvement in the day-to-day management of their school divisions.  They are now beginning to leap from this managerial focus to a policy or strategic governance focus.  This policy governance framework will assist boards in moving from traditional policy models to a board policy model where the board governs strategically. The pathway to the development of this model is through the installation of an underlying process of on-going strategic thinking and strategy development.  The framework for the Saskatchewan model includes the following key components: Governance Health Check process for boards. Development of a Strategic Board skills.  Board Governance Policies.  The policy framework also provides for revised policy codification systems, which are less cumbersome and aligned to the use of electronic means of communication and storage.

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Executive Summary

The Saskatchewan School Trustees Association has developed this proposal to strengthen the capacity of boards of education to implement policy and govern effectively.  Traditionally boards of education in Saskatchewan have governed with a high degree of hands-on involvement in the day-to-day management of their school divisions.  They are now beginning to leap from this managerial focus to a policy or strategic governance focus.

This shift in focus is due in part to the fact that communities are expecting that boards of education will ensure that resources are used efficiently, that schools operate effectively, and that safe and positive environments for learning are maintained.  In the past, the work of boards was focused on overseeing and managing these inputs.  Today boards must ensure results.  They must ensure that students are learning at the desired level.  Student achievement is becoming the key work of school boards.

Also with the impending move to amalgamate school divisions and decrease the number of boards in the province, trustees see the need to re-examine their roles as board members and the functioning of boards of education.  They sense an obligation to think creatively about the future of their school systems, and a responsibility to shape the face of education in their local communities.

Added to this reality of amalgamation and the formation of new boards to govern larger jurisdictions is the trend to full service schools.  This move presents the necessity of leadership by boards in forging alliances and partnerships with other care giving agencies.

Accompanying these changed circumstances are significant demographic changes affecting school populations, as well as organizational patterns in both rural and urban Saskatchewan.

Given this backdrop of significant change the SSTA is proposing the development of a policy governance framework to assist boards in moving from traditional policy models to a board policy model where the board governs strategically.

The pathway to the development of this model is through the installation of an underlying process of on-going strategic thinking and strategy development.  It is through the strategic planning process that the required policies specific to the governance and management of a particular school division are determined.

In this model the board directs its efforts to turning its values and vision into reality.  It engages the community so the board’s work reflects the community’s values.  As an effective board it:

• Develops and articulates vision and goals
• Aligns resources to attain the goals
• Adopts policies to support achievement of the goals
• Establishes an accountability framework that measures progress toward goal achievement, and
• Builds an effective leadership team

The third component, Board Governance Policies entails the development of governance and executive limitation policies directed at operational style and practice to effectively attain the desired goals.  In this component boards learn how to monitor progress in goal attainment and effective governance, as well as developing on-going practices in engaging their community.

Uses of information communication technology (ICT) are outlined in supporting the renewed policy framework.

This organizational framework will provide boards of education with a proactive strategic leadership response to the current challenges facing public education and the community control of schools.

The policy framework also provides for revised policy codification systems, which are less cumbersome and aligned to the use of electronic means of communication and storage.

A list of “key questions to consider” concludes the framework proposal.

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Section One: Key Concepts for Board Policy Leadership

A. Introduction

School boards throughout Canada are recognizing the need to adopt different strategies if they are to remain relevant.  Simply working harder at what they have been doing in the past is no longer sufficient if they are to achieve excellence.

Today there are unprecedented pressures on boards of education to accomplish more with limited or reduced funding.  There is more scrutiny of student performance.  Boards are expected to be accountable for their key work: student achievement.  Communities have heightened their expectations that all children will be prepared successfully for citizenship and work in the global economy.

Boards are beginning, as a result, to focus their efforts on outputs or ends.  As they do so, they recognize the importance of acquiring skill sets for creating and maintaining high performance schools.

Designing good governance practices for our public schools is a policy issue receiving growing attention throughout Canada.

The Saskatchewan School Trustees Association in its effort to advance the ability and authority of boards of education in the effective governance of education in Saskatchewan sets forth this proposal to support board of education policy leadership.  Circumstances for boards of education are changing rapidly within the province.  Many of these changes have a direct bearing on the operation and direction of boards:

• Boards are examining the implications of the recent report by the task force on the role of the school, School-Plus: A Vision for Children and Youth which envisages a new concept of school, community and human service partnership within the province,
• The Government of Saskatchewan is encouraging further amalgamation of school divisions,
• Steps are underway to examine how educational administration and governance can be integrated into the administration and governance of other public sector services including post-secondary education, employment training, health, justice and social services.
• Boards are establishing partnerships with a wide variety of community agencies with the intent of producing positive gains in social capital for children and families.
• Boards in urban centers are considering the implications that smart-growth and walkable communities may have on urban planning and school-community development,
• A number of demographic factors are creating issues for boards of education; including levels of outmigration, declining rural populations, increases in the aboriginal population both rural and urban, and the high proportion of local governments,
• Boards are encouraging more participation at the community level through the enhancement of school councils, community schools and school based management and,
• Boards are facing an increased scrutiny of student performance as community expectations for youth heighten

That the bureaucratic structure surrounding public education is responsible for ensuring children are prepared for the new world, highlights the need for public and government attention to issues of education governance and restructuring.  Ideally this restructuring will meet pressures for accompanying restraint while building in or maintaining structures that ensure that the goals of the public education system are regularly visited and the achievement of them is consistently measured.

While the above represent the critical reasons to examine policy leadership and governance by boards, other factors are also at play:

• Board members and administration are nearly unanimous in expressing frustration and concern about their policies and policy management.
• The typical board keeps policies in a binder that has grown to over 400 pages which is unmanageable and,
• New information communications technology offers the opportunity for transforming how information is accessed and communicated

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B. The Role of a Board of Education

Boards of education are responsible for the well being of their jurisdiction.  Their role is complex and vital.  They must:
1. Express values which reflect the best of the community;
2. Choose and organize goals and objectives according to their priority;
3. Establish structures and systems, and retain a Chief Executive Officer;
4. Acquire and allocate resources;
5. Set out the vital principles and the limits of acceptable behavior
6. Encourage commitment and compliance
7. Evaluate performance; and,
8. Move the organization according to these decisions and standards.

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C. Strategic Planning

Strategic planning is the gateway to effective governance and policy development.  A strategic board, prior to determining its governance and management style in policy, develops a governance or leadership plan to strategically set the direction of the board and school division.  Having determined vision, mission, goals and strategic response areas, governance policies are developed based on the delegation, management and monitoring decisions established in the strategic planning process.

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D. Governance Defined

In the simplest terms governance is the authority of the board to set the direction and policies of a school division, and to ensure the attainment of both board and system goals as established in the strategic plan.

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E. Effective Governance

The true test of any governance structure is its effectiveness in exercising its authority to bring positive results to communities and to demonstrate accountability.

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F. Underlying Values and Principles

• Governance is a manifestation of a board’s mission and goals.  This belief is based on unity of purpose and respect for diversity within the communities served by the board.
• Governance is founded upon accountability and responsibility.  This belief is based on linkages and relationships that require transparent and open processes.
• Governance is exhibited through servant-leadership.  This belief is based on a board functioning as a whole.
• Governance processes and style are characterized by clear understanding of relationships, role and responsibilities as developed in board policy.  This belief is based on the need to distinguish between the role of the board, that of the director of education and staff.

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G. Project Aim

The aim of this project is to strengthen support for board of education policy leadership.

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Section Two: Models And Options For Board Policy Leadership

A. Introduction

An examination of the literature pertaining to models of board policy leadership reveals that boards of education and other non-profit boards struggle in their quest to find an appropriate model for the governance and management of their organizations.  In simple terms, they are able to draw a distinction between the work and roles of board and staff:

In functional terms or actual practice these distinctions are blurred and not realistic operationally for a variety of circumstances including legal and other requirements.

The Institute on Governance in Ottawa has conducted extensive research on governance models.  It defines a governance model as:

…a particular approach to governance that is defined by the following attributes: a set of structures, functions and practices that define who does what, and how they do it.  These attributes typically relate to the role and relationships of the board of directors and the senior staff member of an organization (CEO or Executive Director).

• How responsibilities are distributed between board management and staff and,
• In process used for board development, management and decision making:
• Structure:

Structure consists of the legislative framework under which the organization is created (its legal mandate), the letters patent, the bylaws and governance-related policies created by the board to define how it will carry out its responsibilities and the general rules under which it will operate.  Structure includes:
• Legislative mandate
• Letters patent
• Bylaws
• A statement of the organization’s mission or purpose
• Job descriptions for the board, individual board members and the senior staff person (Executive Director or CEO)
• Identification of board committees and their terms of reference
• Mechanisms for accountability to principal stakeholders in the organization (including voting members, funders, community groups or other entitles with an important interest in the organization’s activities, formal “owners” of the organization, others)
•  Governance policies, which may include, for example:
• Policies governing the interrelationship between the board and staff and the degree of board involvement in management or operational matters
• A statement of organizational values
• Code of conduct
• Conflict of interest policy
• Policies related to communication (who speaks for the organization)
• Formal rules for management of meetings, if any
• Procedures for handling complaints – from volunteers, partners, staff, etc. – and the role of the Board or Chair in this regard.

• Functions

These constitute the “what” of governance – what different players do.  The responsibilities of the board may be described under headings such as the following:
• Establishing the mission and planning for the future
• Financial stewardship
• Human resources stewardship
• Performance monitoring and accountability to key stakeholders
• Risk management
• Community representation, education and advocacy
• Managing transitional phases and critical events
• Practices

This is the “how” of governance – how functions are exercised and the organizational context in which they occur.  They include:
• Board development
• Recruitment and nominations process
• Contract or agreement to serve as a Director (including confidentiality agreement)
• Orientation
• Succession planning
• Management of board work and meetings
• Meeting and agenda management
• Managing conflicts
• Managing conflicts of interest (examples)
• Managing volunteer board members (discussion dominators, attendance problems, failure to complete tasks, lack of preparation, undermining board solidarity, breach of policies or rules of conduct)
• Board work plans
• Board and director self-assessment
• Decision-making (how decisions are made)
• Encouraging input
• Styles (consensus, near-consensus, majority)
• Rules (Robert’s; Wainberg’s)
• Aboriginal Traditions
• Board and organizational culture
• History and traditions
• Trust
• Teamwork
• How the board actually conducts itself in relationship to the organization’s statement of values (if it has one), code of conduct or ethical behavior and rules of confidentiality

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B. Governance Models

The literature is replete with various models of governance.  The Institute on governance categorizes organizations (boards) into eight models:
1. Operational: board members do the work of the organization as well as governing it
2. Collective: board and staff are a single team in decision making about governance and the work of the organization.
3. Management: board manages operations with a modest staff
4. Traditional (Policy Board): board governs and oversees operations through committees but delegates management functions to the CEO.  CEO may have a primary reporting function to the board through the chair.
5. Policy Governance: the board governs through policies that establish organizational aims or ends, governance approach, management limitations and define the board-CEO relationship.  The CEO has broad freedom to determine the means used to achieve organizational aims.  The CEO reports to the full board.  It does not use committees, but uses task teams to assist the board.
6. Governance for Results: the CEO is a non-voting member of the board, viewed as a full partner with the board.
7. Advisory: board’s principle role is to support the CEO who may play a role in selection of board members.
8. Representational: An approach used by organizations where governance is partially or wholly in the hands of publicly elected officials.  This is the case for example with school boards, federations or other organizations where there is a need to ensure direct representation of constituents; interests.  The challenge for board members is to balance the interests of their particular constituents against the best interests of the overall organization.  They may, and in the case of publicly elected officials do, carry grievance resolution/ombudsman functions.  They may, as in the case of school boards, have prescribed responsibilities for public consultation and human resources.

Of interest is the categorization of school boards in the Representational category when in fact boards of education in Canada and the USA are operating using a wide spectrum of models.

There are a variety of approaches to categorizing models of board governance.  A number of these are found in the Reference and Links section to this report including Trustees 2000, Nathan Garber and Associates, and Kevin Ford, National Council for Voluntary Organizations in London England.

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C. Governance Models Used By Saskatchewan School Boards

As noted above models of governance vary according to how responsibilities are distributed among board, management and staff and in the structures and processes used.  In practice most boards in Saskatchewan are an iteration of one or more of the models outlined above.  Many would be categorized as Policy Boards with the board chair and director partnering to lead and manage the board and school division.  Committees of board and management are replete with little distinction made between governance and management function and role.

This current situation in Saskatchewan grew from the necessity of the first small rural boards scattered throughout the province to operate as management boards.  Other than the principal of the local school and a teacher or two, depending on the size of the school, there was no staff, senior or administrative, save for the occasional visit of the school inspector and later the provincial superintendent.  Boards operated with few, if any, policies until the enactment of The Education Act, 1978 which required the formation of policies for board operations.  At this time the SSTA worked with all boards throughout the province to develop a policy approach and policy manuals.  The approach and manuals reflect a high degree of hands-on involvement by boards in the day-to-day management of school divisions.

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D. The Trend Toward Policy Governance

Given the amalgamation of school divisions, the growing emphasis on student achievement, the expectation that boards define priorities as ends, the formation of strategic alliances with other agencies and changing circumstances and roles for boards of education there is a deliberate movement toward a paradigm shift in school board governance toward the policy governance model.

In the policy governance model (http://www.carvergovernance.com/model.htm, http://www.bengender.com/comps/0114/site/html/mod_ove.html, http://www.mipolicygov.org/) the board governs through policies that establish:

• Organizational aims
• Governance approach
• Management limitations
• Board-Director relationship

The board “speaks with one voice” in its direction to the director and the public on matters within its area of responsibility.  The director has broad freedom to determine the means to achieve the organizational ends.  The director of education is responsible to develop and implement all administrative policy, procedures and regulations.

The board monitors and holds the director accountable for compliance with board policy.

The board is discouraged from forming standing committees, but may use task teams to assist with the work of the board.

This model was popularized and developed by John Carver as he witnessed recurring problems with nonprofit boards:

Some boards would micro-manage, others would serve only a rubber-stamping function.  Roles and responsibilities of board members and staff were not clear, board members would do staff work, staff would do board work until areas of responsibility and accountability were an undifferentiated mess.  Management and staff would have to interpret conflicting messages coming from the board.  Individual board members would meddle in staff work.  Many boards were indecisive and consumed by trivia.

Carver saw that in many cases highly capable people would come together to form incapable boards.  His conclusion was that the problem with most boards was not the people but the process.  Carver’s solution was to create a model, with structures and clearly defined roles and responsibilities that would maximize a board’s potential, and make it rational and productive rather than chaotic, unpredictable and an obstacle to management.

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E. Examples of Policy Governance School Boards

In preparing this proposal board governance policies of nine school boards in Canada and the United States were researched and studied.  As well as researching the extant policies telephone interviews and email messages were exchanged with a selected number of boards and school board associations.  Links via the internet to these school divisions are listed in Section Six: References and Links.

An examination of their policy reveals that although each board is considered a policy governance board there is a trend to alter the strict rules that Carver insists boards abide by in using the model.  Many of these alterations or iterations have arisen in response to criticism:

Carver insists that the model works best when adopted in its entirety and that the failure of the model can only be attributed to incomplete or improper implementation.  Critics have argued that no model offers all-encompassing answers that fit the needs of all organizations.  Instead, models serve as a tool to make sense of complicated realities.

Modifications to the model are necessary to reflect different realities and ensure appropriateness and practicality.  It is by experimenting with models that they are improved and an evolution to new models takes place.

One omission in board governance implementation has been to overlook what skills people in the general population including school officials and board members are not generally good at employing.  Michael Lombardo and Robert Eichinger note in their work with organizations that leaders are consistently not very skilled at fourteen tasks related to leadership performance and potential.  These skills are required of board members and directors of education.  The skills can be grouped into five categories:

1. Future

• Managing vision and purpose
• Innovation management
• Strategic agility
• Creativity

• Planning
• Directing others
• Developing direct reports
• Managing and measuring work

• Personal learning
• Motivating others
• Building effective teams

• Conflict management
• Dealing with ambiguity

• Self development

• Changing demographics
• Changing community conditions
• Cultural and social trends
• Economic trends
• Politics
• Legislation
• New methods and technologies
• Competition

This approach is the reverse to that which Carver employs.  He attempts to establish all governance policies dealing with board governance process, executive limitation and board-staff relationships prior to developing the ends or goals statements.  It is in establishing the goal statements with the vision and mission that board members learn the culture and needs of the system and develop the skills to work in a board policy governance model including appropriate delegation to board, committees, director, etc.

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F. Conclusion

A model of a governance system, no matter how well designed, is not a substitute for critical thought on the governance needs of a specific organization.  Any organization thinking about implementing the Carver model must go through an examination of their own needs, starting from the basic principles that must shape their system to the practicality of implementing it.

The EIC Policy Governance Model for School Board Operations

Each district school board should:
1. Create a vision in consultation with its staff and community.
2. Appoint a director of education who shares the vision and has the skills to work with the board to realize the vision.
3. Establish policies critical to achieving the vision.
4. Establish a budget consistent with the priorities set out in the vision and policies.
5. Develop an organizational model for senior staff and assign responsibilities, so that the vision and policies are implemented throughout the system.
6. Establish procedures for monitoring the implementation of its policies, and tie this procedure to the performance appraisal of the director of education.
7. Communicate its performance to the community and the ministry.
8. Reassess its vision (returning to step 1 and following the process again).

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Section Three:  A Framework for the Development of Policy Leadership by Saskatchewan Boards of Education

A. Introduction

The Saskatchewan School Trustees Association proposes to support boards of education in the development of board governance and board policy development.  In making this proposal it is mindful that the motivation and ultimate decision to examine board governance and modify or change current practice rests with individual boards.

Being mindful that resources, financial, human and material, are limited it is proposed that the SSTA provide leadership services through presentation of a model of board governance for Saskatchewan that will be presented to boards through print and working sessions supported by ICT.

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B. Components of the Model

It is proposed that materials and workshop sessions be developed for board use as follows:

1. Governance Health Check

This involves the creation of an assessment instrument which individual boards can complete to assess the current state of governance within their division.  It will serve as a device to consider possible needs in terms of governance development.  Topics will include:

• Values and vision
• Priorities and strategy
• Monitoring
• System of governance
• Capacity to govern
• Accountability
• Board-director relationship
• Stakeholder participation
• Financial health
• Legality

• Its major priorities that it has agreed to work on for the next three years,
• The external environment for changes that may affect its strategy to achieve the priorities,
• Whether it has realistic objectives and plans to put the strategy into action and,
•  Whether the authority given to staff to implement plans is clearly defined.

2. Development of a Stragegic Plan

Strategic planning materials and workshop sessions will be developed for board use and general workshopping to assist boards in developing:

• Vision
• Mission
• Commitments
• Board goals
• System goals
• Strategic 3 to 5 year plans
• Operating one year plans
• Delegation strategies

As part of the SSTA board development program, resource materials and workshop sessions will assist boards in developing:

• Governance and Management Policies
• Role of Board
• Approach to governance
• Code of conduct
• Role of chair
• Role of committees
• Meetings
• Delegation of authority
• Monitoring performance
• Limitations on operating policies
• General constraints
• Relationships
• Program and services
• Finances
• Assets
• Communications with Board
• Engagement training
• Nature of community engagement
• Engagement strategies and tools
• Development of an engagement plan
• Implementation monitoring
• Effective monitoring practices
• Development of a monitoring plan

Sample board policies will be available on the SSTA web site including:

• Model policies to assist boards
• Policies of Saskatchewan boards
• Other boards
• Links

Sample policies will be available on the SSTA web site for administrators developing their policies, procedures and regulations:

• Policies of Saskatchewan boards
• Other

Links

The SSTA will post resources for research on policy development as well as legislative changes.

7. Support for Board Development

As part of the SSTA board development program, learning opportunities will be offered to orient new board members and strengthen the understandings of experienced board members.

8. Leadership Circles

The SSTA will host leadership circles throughout the year for board members and administrators in school divisions using the policy governance model.  Participants will find support and network with each other.

9. Information Communication Technology

The use of information communication technology, ICT, will enhance communication and development of a new board policy system for the province of Saskatchewan.  This proposal intends that school officials at the provincial and local levels develop ICT through a co-operative effort co-ordinated and directed by the SSTA Research Center.

• The SSTA will develop a policy service on-line to assist boards in the development of their policies, both governance and administrative.  These services will include:
• Descriptions of workshops and in-service sessions available to boards.
• On-line copies of pertinent materials to conduct board planning sessions
• Sample policies
• Saskatchewan school divisions’ board governance policies
• Saskatchewan school divisions’ administration procedures and regulations
• Frequently asked questions and,
• Links to Saskatchewan Learning and selected out-of-province sites

• The SSTA will continue to support the Canadian Education Policy and Administration Network.  Local boards in the province will be encouraged to use the CEPAN site services:
• Board policy registry for each province
• Sample policies directory
• Reader response service-networking
• Resources section
• Chat rooms
• Board learning center
• Frequently asked questions

• The SSTA site will post selected links on board policy governance to assist local boards.  Sites would include:
• CEPAN
• The Policy Governance Model
• Education
• Institute of Governance
• Board orientation for Carver model
• Society for the Advancement of Education Policy Watch
• Updating school board policies

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Section Four: Proposal for a Saskatchewan Codification System

A. Introduction

In 1979 the SSTA adopted a policy service to boards of education with three objectives in mind:

• To provide boards of education with policy reference material
• To provide boards of education with a policy sample and review service and,
• To assist boards of education to plan and deliver policy development workshops

This codification system is a manual system developed prior to the use of electronic systems as we know them today.  The NSBA continues to support the system through the provision of policy services including print materials and hard-copy manual productions.  Some boards have reproduced their manuals on web sites maintaining the NSBA classifications:
 

Section A: Section B: Section C: Section D: Section E: Section F: Section G: Section H: Section I: Section J: Section K: Section L:

Foundations and basic commitments School board governance operations General school administration Fiscal management Support services Facilities planning and development Personnel Negotiations Instruction Students School-community home relations Education agency relations

This codification system reflects the traditional Policy Board Manual where the board chair and director of education lead and manage the school division.  Section A and Section B detail policy on governance.  The remaining sections pertain to the administration of the school division, although there is a “good mix” of governance and administrative functions flowing through many policies and procedures outlined in Section C through Section L of extant board manuals because the manuals are based on the Policy Board Manual.

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B. Proposed Codification System

On adopting the Policy Governance Board Model boards are required to separate governance policies and administrative policies.  The board is responsible for developing and maintaining its policies.  The director of education is responsible to develop the required administrative policies:

1. Board Governence Polices

The codification systems for board governance policies are simple and lend themselves to the use of electronic systems.  John Carver and Miriam Mayhew Carver recommended the following registry as a starting set:
 

EXECUTIVE LIMITATIONS	Global executive constraint Treatment of consumers Treatment of staff Financial planning and budgeting Financial conditions and activities Emergency CEO Succession Asset protection Compensations and benefits Communication and support to the board Ends focus of grants or contracts
GOVERNANCE PROCESS	Global governance commitment Governing style Board job description Agenda planning Chairperson’s role Board members’ code of conduct Board committee principles Cost of governance
BOARD-CEO LINKAGE	Global board-CEO linkage Unity of control Accountability of the CEO Delegation to the CEO Monitoring CEO performance
ENDS	Purpose Mission and priorities

1 General Ends Policy

2 General Operating Limitations Policy
2.1 Treatment of students, their families and community members
2.2 Treatment of staff
2.3 Financial planning and budgeting
2.4 Financial condition and activities
2.5 Asset production
2.6 Compensation and benefits
2.7 Communication and support to the board
2.8 Emergency superintendent succession
2.9 Real property transactions-Repealed 12/18/01

3 General Board-Superintendent Relationship Policy
3.1 Unity of control
3.2 Accountability of the superintended
3.3 Delegation of the superintendent
3.4 Monitoring superintendent performance

4 General Governance Process Policy
4.1 Governing style
4.2 Board job description
4.3 Agenda planning
4.4 President’s role
4.5 Board members’ code of conduct
4.6 Board committee principles
4.7 Cost of governance
4.8 Monitoring process governance policies

Policy Type A: Governance Process
Policy 1: Role of a trustee description
Policy 2: Board role descriptions
Policy 3: Board chair’s role
Policy 4: Vice chair’s role
Policy 5: Trustees’ code of conduct
Policy 6: Relations with the media
Policy 7: Governance commitment
Policy 8: Governing policies
Policy 9: Governance policy development
Policy 10: Governing style
Policy 11: Committee structure:
Policy 12: Board committee principles
Policy 13: Board of trustees annual planning cycle

Policy Type B: Board-Chief Superintendent Relationship
Policy 1: Chief superintendent role
Policy 2: Chief superintendent job description
Policy 3: Delegation to the chief superintendent
Policy 4: Monitoring executive performance

Policy Type C: Executive Limitations
Policy 1: General executive constraint
Policy 2: Treatment of people
Policy 3: Budgeting
Policy 3.1: Revenue generation
Policy 4: Financial condition
Policy 5: Emergency executive succession
Policy 6: Asset protection
Policy 7: Compensation and benefits
Policy 8: Communication and counsel to the board
Policy 9: Transitional provision

Policy Type D: Ends
Policy 1: Transitional provision
Policy 2: Educational ends
Policy 3: Educational ends regarding alternative programs
Policy 4: Closure of schools and accommodation policy for student
http://www.cbe.ab.ca/trustees/policy.asp

Recommended Codification System

It is recommended that the SSTA adopt a codification system patterned on the Fort Vermilion School Division’s system:

Foundations and Direction
1.1 Mandate
1.2 Vision
1.3 Mission
1.4 Guiding principles
1.5 Board goals
1.6 System goals

Governance and Management
2.1 Role of the board
2.2 Approach to governance
2.3 Code of conduct
2.4 Role of chair
2.5 Role of committees and representatives
2.6 Meetings
2.7 Delegation of authority and responsibility
2.8 Monitoring performance

Limitations on Operations
3.1 General constraints
3.2 Relationships
3.3 Programs and services
3.4 Finances
3.5 Assets
3.6 Communications with the board

This system has many benefits over the four category registry:

• Difficulties with unfamiliar language are overcome
• Provision is made to state the division’s mandate and legal status
• Vision and mission and guiding principles as developed in board’s strategic planning sessions are incorporated into the policy format and,
• The current board goals and system goals as developed in strategic sessions are melded. The example below shows board and system goals to reflect the current work of the board and its staff:

System Goals
Increase student performance on provincial achievement tests and diploma exams
Maintain high levels of parent satisfaction in all schools
Increase the quantity of educational service delivered to students by increasing the percentage of students who choose to remain in school after they have completed grade 8 (Students Choosing Education Rate)
Increase the percentage of parents who are satisfied that Fort Vermillion School
Division No. 52 schools provide a safe and caring environment for children.

2. Administrative Policies

It is anticipated that directors of education will want assistance in developing their administrative policies, procedures and regulations.  The following codification that is recommended for provincial use is patterned on the Edmonton Catholic Schools system:

General school administration
Personnel and employee relations
Programs and curriculum
Community liaison
Business administration
Facilities

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Section Five: References and Links

A. References

Alberta School Boards Association, Policy Codification and Code Finder Index, 1994.

Blanchard, K., et al.  The One Minute Manager Builds High Performing Teams, 1990, William Morrow and Company, Inc., N.Y.

Canadian Center for Philanthropy. Does the Carver Policy Governance Model Really Work?, Front and Center, Vol. 5, No. 3, pp.12-14.

Chrislip, D.D., et al.  Collaborative Leadership: How Citizens and Civic Leaders Can Make a Difference, 1994, Jossey-Bass Publishers, San Francisco.

Carver, John.  Boards That Make a Difference: A New Design for Leadership in Nonprofit and Public Organizations, 1997, Jossey-Bass Publishers, San Francisco.

Carver, John, Carver, Miriam. Reinventing Your Board: A Step-by-Step Guide to Implementing Policy Governance, 1997, Jossey-Bass, San Francisco.

Carver, John.  Remaking Governance, American School Board Journal, March 2000, p.26.

Carver, John, Carver, Miriam. The Carver Guide Series on Effectance Governance:

• Basic Principles of Policy Governance, 1996.  Jossey-Bass.
• Your Roles and Responsibilities as a Board Member, 1996
• Three Steps to Fiduciary Responsibility, 1996
• The Chairperson’s Role as Servant-Leader to the Board, 1997
• Planning Better Board Meetings, 1997
• Creating a Mission That Makes a Difference, 1997
• Board Assessment of the CEO, 1997
• Board Self-Assessment, 1997
• Making Diversity Meaningful in the Boardroom, 1997
• Structure for Board Leadership, 1997
• The CEO Role Under Policy Governance, 1997.

Drucker, Peter, F. The Drucker Foundation Self-Assessment Tool: Process Guide and Participant Workbook, 1999, Jossey-Bass.

Edmonton Community Network, Edmonton Community Network Board Policy, Edmonton, AB

Flemming, T. Provincial Initiatives to Restructure Canadian School Governance in the 1990’s, Journal of Educational Administration and Policy, Issue 11, November 28, 1997.

Ford, Kevin.  Governance and Management: Trustee Information Briefing, 2001, National Council for Voluntary Organizations, London, England.

Ford, Kevin.  Fit to Govern: A Ten-Point Health Check, 2001, National Council for Voluntary Organizations, London, England.

Light, Mark.  The Strategic Board: The Step-by-Step Guide to High Impact Governance, 2001, John Wiley & Sons Inc.

Lombardo, M.M. et al.  The Leadership Machine, 2001, Lomenger Ltd.

Nathan Garber & Associates. Governance Models: What’s Right For Your Board of Directors?  London, ON.

Oliver, Caroline.  General Edition, The Policy Governance Fieldbook: Practical Lessons, Tips, and Tools From the Experience of Real-World Boards, 1999, Jossey-Bass.

Ontario School Board Trustees.  Trustee Handbook, 2000.

Public School Boards Association of Alberta.  The Role of the Board of a Public School Jurisdiction.

Raham, H.  The Changing Role of School Boards, Society for Advancement of Excellence in Education, Kelowna, B.C.

Renchler, Ron.  New Patterns of School Governance, Eric Digest, No.141, December, 1999.

Rogers, Susan.  The Crisis in Board Leadership, Association Magazine, Canadian Society of Association Executives.

Ryan, William.  Governance Futures: New Perspectives on Nonprofit Governance.  Hauser Center For Nonprofit Organizations, Harvard University.

Royer, G. School Board Leadership 2000: The Things Staff Didn’t Tell You at Orientation.  Brockton Publishing, Houston, Texas, 1996.

Saskatchewan School Trustees Association.  Policy Reference Manual, 1979.

Senge, P.M.  The Fifth Discipline: The Art and Practice of the Learning Organization.   Doubleday Currency, 1990.

Spears, L.C.  Reflections on Leadership.  John Wiley & Sons, 1995.

Stoesz, Edgar. Common Sense For Board Members: 40 Essays About Board Service.  Good Books, Intercourse, PA, 2000.

Svara, J.  Facilitative Leadership in Local Government, Jossey-Bass, 1994.

Taylor, B.  How Boards Can Add Value, National Council for Voluntary Organizations, London, England.

Wagner, K.  Trends in Public Education Governance-Canada, Education Analyst.  Society for the Advancement of Excellence in Education, Kelowna, B.C.

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B. Links - School Boards-Governance Policies

1. Adams 12 Five Star Schools

2. Calgary Board of Education

3. Calgary Roman Catholic Separate School District

4. Edmonton Catholic Schools

5. Fort Vermilion School Division

6. Iowa City Community School District

7. Orange County Public Schools

8. Red Deer Catholic Schools

9. Saskatoon Catholic Schools

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C. Links - School Associations and School Officials

1. Alberta School Boards Association

2. American Association of School Administrators

3. Colorado Association of School Boards

4. Minnesota School Board Association

5. National School Boards Association Policy Network

6. Trustees 2000 – Ontario School Board Trustees

7. Oregon School Boards Association

8. Public School Boards Association of Alberta

9. Saskatchewan School Trustees Association

10. Canadian Education Policy and Administration Network

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D. Links - Other

1. Canadian Comprehensive Auditing Foundation

2. Canadian Institute of Chartered Accountants

3. The Policy Governance Model – Carver

4. Education Policy Analysis Archives

5. Institute On Governance – Models

6. Board Orientation For Carver Model – Kappa Omicron Nu Honor Society

7. Society For The Advancement Of Excellence In Education Policy Watch

8. The Policy Governance Network

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Section Six: Key Questions To Consider

A. Introduction

In this proposal the SSTA envisages a change or transition to a new form of board of education governance.  The change is a major paradigm shift.  Organizations do not easily change:

Organizations are not ordinarily self-reviewing or self-reforming.  Powerful outside forces are usually necessary if reform is to take place.  The modern corporation offers a case in point.  Its incentives to change, whether it is product lines, internal organization, customer relations or management, are largely external.  (These) are…competitive forces…Left to their own devices, few managers or CEO’s-in either the private or the public sector would change, because the attraction of the familiar is so powerful.  That’s true of corporations, labor, government bureaucracies, families, fraternal associations, churches and schools.

Kearns& Doyle
Winning the Brain Race

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B. Vision

Do boards see the need to change from their current structure and way of operating to a new form?

Is the vision of board policy governance shared?

Will public perception of the role and function of a board and trustee change?

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C. Attainable Objectives

Is it possible for boards to develop a functional system of board governance?

Can board members and directors of education work within the parameters of the new limitation policies?

Can boards develop a strategic framework?

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D. Skills

Do boards have the skill set outlined in Section Two to affect the shift?

Can the SSTA provide the expertise to boards?

Can these skills be learned through the proposed approach in the new policy framework?

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E. Incentive

Do boards see the need to change?

Will trustees have the support of their communities and staff to make the change?

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F. Resources

Can trustees give of their time to make the transition?

Are boards able to fund the transition?

Does the SSTA have sufficient resources to expand its policy services and ICT functions?

Are the expenditures worth the effort?

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G. Action Plan

The proposed framework at this juncture has not been outlined in terms of a development or action plan, but certain questions should be asked prior to formulating an action plan:

Should the action plan target general acceptance and adoption of the framework?

Should the proposal be developed with selected boards prior to general adoption?

Should the initial concentration be on developing strategic boards prior to moving to the development of policy governance?

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H. Monitoring

What benchmarks should the SSTA establish to monitor the effectiveness and efficiency of the project?

Should boards be requested at the outset to share evaluative and assessment information on the adoption of the model in their school divisions?

How would boards want the SSTA to assist them in monitoring the implementation of the policy framework?

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