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B-1 APPENDIX B ANNOTATED BIBLIOGRAPHY OF POTENTIAL REMEDIAL ACTION SOURCES Board Development, Training, Accountability and Gov- available at http://www.nsba.org/sbot/toolkit/EfBoards. ernance in the Canadian Voluntary Sector (2002). Infor- html. mation available at http://www.boarddevelopment.org. Contact Information: Contact Information: National Center for Nonprofit Boards info@boarddevelopment.com. 2000 L Street, NW This is an online resource for public boards, offering meth- Suite 510 ods for improving board operations and processes. This Washington, DC 20036-4907 resource lists 16 steps for addressing and improving the pub- Tel.: 202-452-6262 lic board's basic responsibility to ensure its own renewal and Fax: 202-452-6299 development. Email: ncnb@ncnb.org Increasingly, school board members from around the Jackson, Douglas K., and Thomas P. Holland, "Measur- country are using assessment data to help make good deci- ing the Effectiveness of Nonprofit Boards," Nonprofit and sions about improving public education for all children. As Voluntary Sector Quarterly, 27 (1998), pp. 159182. Infor- school districts across the country grapple with how to think mation available at http://www.arches.uga.edu/~dougjack/ systemically and strategically about reaching student Text/Measuring%20the%20Effectiveness%20of%20Non achievement goals and how to forge creative solutions from profit%20Boards.PDF. standardized test data, data-driven decision making can be Authors Jackson and Holland developed a comprehen- used to inform board decisions. sive study on the benefits of promoting public board self- assessments as a way to improve public effectiveness and address underlying weaknesses. Relying on extensive pub- BOARD GOAL-SETTING PROCESSES lished research, the authors contend that strengthening the Information available at http://ops.fhwa.dot.gov/Travel/ performance of board processes has become a prerequisite Deployment_Task_Force/perf_measures.htm. for improving community services. When evaluating the Contact Information: effectiveness of board processes, Jackson and Holland con- tend that self-assessment questionnaires are generally well Vincent Pearce received because they are more accessible, less expensive, FHWA Office of Travel Management and more efficient. Email: vince.pearce@fhwa.dot.gov This resource, developed by the Federal Highway Admin- Proctor, Steve, and Maynard Gunsgtra, "Restructuring istration (FHWA) Office of Operations, offers a methodol- the Board Selection Process Can Improve Governance," ogy for adopting transportation-based performance measure- The FORCE D&O FORUM "On Being A Board" Dis- ment and goal-setting procedures. The rationale for goal cussion Group. Information available at http://www. setting, according to the FHWA, treats transportation as a forcefinancial.com. service industry; in this construct, performance measurement Contact Information: and goal setting help to define the services each organization FORCE Financial, Ltd. promises to provide, including the quality or level of service 4250 Lakeside Drive, Suite 212 (e.g., timeliness, reliability, etc.). Jacksonville, FL 32210 Tel.: 904-381-0421 Information available at http://www.fhwa.dot.gov/reports/ Fax: 904-381-0436 pittd/contents.htm. A critical factor in the success of many retirement com- Contact Information: munities is the ability of the board of directors to examine its Office of Information and Management Services own composition and to restructure itself when necessary 400 7th Street, SW with the individuals and skills needed for sound planning and Washington, DC 20590 decision making. Moreover, board selection processes may Tel.: 202-366-9062 need overhauling in order to attain the flexibility for accom- Publication No. FHWA-PD-96-031HEP-30/ modating strategic reforms. 9-96/(4M)QE The FHWA's "Effective Transportation Goal-Setting: "Ten Basic Responsibilities of Nonprofit Boards," The Public Involvement Techniques for Transportation Decision National Center for Nonprofit Boards (1988). Information Making" promotes ways to ensure that all interested persons

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B-2 have a voice in how our transportation system is developed. The board will, at the end of the academic year, measure Contained in these discussions are helpful goal-setting prac- its performance against the stated objectives. To the tices that strive to improve transportation services in order to extent practicable, these objectives will be stated in the serve public needs at the highest levels possible. form of behavioral change or productivity gains. The Chicago Board of Education will develop an annual Information available at http://www.azta.org/public.htm. planning calendar of board and committee meetings and This resource pertains to statewide transportation systems important events scheduled for the upcoming academic but may be adapted to local/regional systems. The Arizona year (which begins September 1). Transit Association (AzTA) developed a goal-setting method- ology based on the concept that effective public transportation BOARD STRATEGIC PLANNING policy is an essential component of a successful, integrated state transportation system. AzTA advanced a series of goals Association of Governing Boards of Universities and Col- and objectives as a framework for a state public transportation leges (AGB). Information available at http://www.agb.org. policy. Contact Information: One Dupont Circle, Suite 400 Information available at http://www.aptrex.com/Stumpo Washington, DC 20036 PaperHouston.pdf. Tel.: 202-296-8400 "Making a World-Class Transit System a Reality," devel- Fax: 202-223-7053 oped by the Coast Mountain Bus Company Ltd., Vancouver, On its Web site, AGB lists On-Campus Programs (board British Columbia, focuses on how to get an organization self-study workshop, board education seminars, presidential motivated so that everyone's involvement creates a level of search workshop, presidential and board assessment service, ownership in the development of the strategy to achieve and foundation board self-study workshop) and Conferences world-class performance. and Seminars (national conference on trusteeship, institute for board chairs and presidents, leadership forum for foun- Goal-setting criteria of the Proctor, Vermont, School dation boards, effective endowment management, and aca- Board. Information available at www.proctorhs.org/ demic restructuring). The Web site contains references to school_board/policies/pol_B2.htm. books and reports relating to strengthening the performance Contact Information: of boards of public and private higher education. Proctor Jr.-Sr. High School 4 Park Street Bader, Barry S., and James E. Small, "Sample Board Self- Proctor, VT 05765 Assessment Questionnaire (2001)." Information available Tel.: 802-459-3353 at http://www.greatboards.org. Fax: 802-459-6323 Contact Information: At least annually, the board participates in goal-setting and Bader & Associates self-evaluation activities developed or recommended by the Tel.: 301-340-0903 superintendent. Particular attention is given to board goals Fax: 301-340-1345 and performance in the following areas: Email: bbader@greatboards.org The Web site provides tools for boards to decide whether Policymaking, "Self-Assessment Express" is sufficient for your board or if Policy implementation, more tailored tools must be designed. It also provides sam- Community relations, ple governance policies and tools. Board interpersonal communication skills, The Web site contains summaries of services such as Board/superintendent relations, board self-evaluation and development retreats; strategic Fiscal/budget management, planning retreats; leadership retreats for boards, medical The instructional program, staff, and management; health system governance redesign Labor relations, and restructuring processes; and consultation on specific Board in-service training, and governance problems and opportunities. Government relations. Jackson, Douglas K., and Thomas P. Holland, "Measuring Chicago Public Schools Policy Manual, "School Board the Effectiveness of Nonprofit Boards," Nonprofit and Goal Setting." Information available at http://policy.cps. Voluntary Sector Quarterly, 27 (1998), pp. 159182. Infor- k12.il.us/documents/201.1.pdf. mation available at http://www.arches.uga.edu/~dougjack/ This resource includes the following: Text/Measuring%20the%20Effectiveness%20of%20Non profit%20Boards.PDF. The board will establish realistic performance objectives Authors Jackson and Holland developed a comprehen- related to board policies, procedures, and relationships. sive study on the benefits of promoting public board self-

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B-3 assessments as a way to improve public effectiveness and Contact Information: address underlying weaknesses. Relying upon extensive Proctor Jr.-Sr. High School published research, the authors contend that strengthening 4 Park Street the performance of board processes has become a prerequi- Proctor, VT 05765 site for improving community services. When evaluating the Tel.: 802-459-3353 effectiveness of board processes, Jackson and Holland con- Fax: 802-459-6323 tend that self-assessment questionnaires are generally well At least annually, the board participates in goal-setting and received because they are more accessible, less expensive, self-evaluation activities developed or recommended by the and more efficient. superintendent. Particular attention is given to board goals and performance in the following areas: BOARD FIDUCIARY AND LEGAL RESPONSIBILITIES Policymaking, Policy implementation, AuditNet's Control Self-Assessment Resources. Informa- Community relations, tion available at www.auditnet.org. Board interpersonal communication skills, This is a Web-based internal auditing tool that helps identify Board/superintendent relations, risks, develop best practices, and add value to organizations. Fiscal/budget management, The site includes self-assessment tools, checklists, methodolo- The instructional program, gies, and templates. The control self-assessment (CSA) is a Labor relations, governance tool that can help auditors, management, and oth- Board in-service training, and ers examine and assess business processes and control effec- Government relations. tiveness within the organization. The CSA involves interaction between auditors or other facilitators and audit subjects. BOARD DIVERSITY PROGRAM Through the CSA process, participants learn more about con- AND IMPLEMENTATION trols and their own responsibility regarding risk management. They become involved in executing controls and maintaining Gill, Mel, "Building Effective Approaches to Gover- an effective control environment that contributes to meeting nance," The Nonprofit Quarterly (2002). Information the organization's goals and objectives. The CSA center offers available at http://www.tsne.org/section/313.html. guidance, publications, seminars, and conferences on imple- Contact Information: mentation of control self-assessment. To access member infor- Mel Gill, President mation, it is necessary to become a member. Synergy Associates Inc. 57 Westpark Drive "Ten Basic Responsibilities of Nonprofit Boards," The Ottawa, ON K1B 3G4 National Center for Nonprofit Boards (1988). Information Canada available at http://www.nsba.org/sbot/toolkit/EfBoards. Tel.: 613-837-8757 html. Fax: 613-837-1431 Contact Information: Email: mel.gill@synergyassociates.ca National Center for Nonprofit Boards This article is critical of John Carver's "Policy Gover- 2000 L Street, NW nance" model. Gill's study found that the model did not com- Suite 510 fortably fit many organization's boards, so boards "mixed Washington, DC 20036-4907 and matched" with other models without a systematic ratio- Tel.: 202-452-6262 nale. Gill contends that prescriptive models such as Carver's Fax: 202-452-6299 fail in practice because they don't accommodate themselves Email: ncnb@ncnb.org to unique organizational circumstances and that there are no Increasingly, school board members from around the coun- "magic bullets" for good governance. Boards, like their orga- try are using assessment data to help make good decisions nizations, have different characteristics and needs. Nonprofit about improving public education for all children. As school leaders need to have more exposure to a range of options to districts across the country grapple with how to think system- make informed choices. This does not diminish the value of ically and strategically about reaching student achievement theoretical governance models. goals and forging creative solutions from standardized test data, data-driven decision making can be used to inform board Edwards, C. P., and C. J. Cornforth, Good Governance-- decisions. Developing Effective Board Management Relations in Public and Voluntary Organizations, London: CIMA Pub- Goal-setting criteria of the Proctor, Vermont, School lishing (1998). Board. Information available at www.proctorhs.org/ The research suggests that boards do make a number of school_board/policies/pol_B2.htm. important contributions to the organizations they serve. The

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B-4 nature of these contributions varies and is influenced by a edge of transit. They also suggested that boards should have variety of factors, for example, the way the organization is more autonomy and authority, as well as better communica- regulated, the history and culture of the organization, the way tion with external agencies. board members are chosen, board members' skills and expe- rience, the relationship with senior managers, and the way the governance function is managed. CHIEF EXECUTIVE OFFICER (CEO) Regular review can help boards and staff to clarify their RELATIONS respective responsibilities and enable boards to identify the areas where they can add real value to the organization. Carver, John, and Miriam Mayhew Carver, Reinventing Your Board: A Step-by-Step Guide to Implementing Policy Horn, Kevin, Transit Authority Boards of Directors: Governance (part of the Jossey-Boss Nonprofit Series that Membership, Organization, Functions, and Performance includes John Carver's Boards That Make a Difference: (1975), Pennsylvania State University Graduate School, A New Design for Leadership in Nonprofit and Public Department of Business Logistics. Organizations, 2nd ed.). This dissertation develops measures of transit board char- In the best-selling Boards That Make a Difference: A New acteristics, focusing on organizational, functional, and direc- Design for Leadership in Nonprofit and Public Organiza- tor characteristics that would relate to board performance and tions (2nd ed.), John Carver includes updated policy sam- effectiveness in policymaking, analogous to private-sector ples, a new chapter on the process of policy development, boards of directors. The seminal 1975 work provides a set of and additional resources for various types of boards. With comprehensive benchmarks on board composition and struc- creative insight and common sense practicality, Carver pre- ture, as well as the characteristics of board members, their sents a bold new approach to board job design, board/staff duties and responsibilities, time spent, and so forth. relationships, the chief executive role, performance monitor- The research notes that "[b]y focusing on the development ing, and virtually every aspect of the board/management rela- of meaningful goals and performance specifications for tran- tionship. He offers a board model designed to produce poli- sit, as well as directing other policy areas, together with review cies that make a difference; missions that are clearly of operations and management activities, transit boards of articulated; standards that are ethical and prudent; meetings, directors can make an effective contribution toward the provi- officers, and committees that work; and leadership that sup- sion of public transit services within the community." ports the fulfillment of long-term goals. Simon & Simon Research Associates, Inc., et al., TCRP Creating an Effective Charter School Governing Board. Web Document 21: Public Transit System Policy Boards: Information available at http://www.uscharterschools. Organization and Characteristics, Transportation Research org/governance/contents.htm. Board (2002). Information available at http://trb.org/ The Web site contains a useful guidebook entitled "Creat- publications/tcrp/tcrp_webdoc_21.pdf. ing an Effective Charter School Governing Board Guide- The purpose of this study was to provide national data and book." The guidebook is designed to help prepare board information on public transit board governance and the nature members to lead an autonomous public school and sustain and characteristics of transit board effectiveness. The major- them throughout the process. The much more extensive ity of transit systems do not measure board effectiveness; only guidebook, available online at www.uscharterschools.org/ one-third of the boards conduct any type of evaluation to gb/governance/, details governance principles and concepts, determine their effectiveness. Of those that do measure effec- models of best practices, and essential resources. The tiveness, it is usually an informal self-assessment. Sometimes overview of the larger guidebook summarizes 12 critical it can be as informal as asking, "Did we achieve our goals this challenges that charter school developers must meet to build year?" Only 10 percent of the respondents reported that they and maintain an effective charter school board. Following hire consultants to evaluate their performance. Systems that each challenge is a set of issues that boards may encounter conduct assessments do so on an annual basis. along the way and a discussion of possible strategies. At the CEO suggestions for improving board effectiveness include conclusion of the discussion of each challenge is a list of measuring performance and finding ways to enhance board some of the numerous resources available in the larger online member commitment and time allotted for board work; guidebook and elsewhere. improving board composition and structure by broadening diversity and streamlining committee structures; engaging in Proctor, Steve, and Maynard Gunsgtra, "Restructuring strategic and long-range planning; and improving information, the Board Selection Process Can Improve Governance." communication, and knowledge. Board chairpersons sug- The FORCE D&O FORUM "On Being a Board" Dis- gested that board effectiveness could be improved if individu- cussion Group. Information available at http://www. als were more diverse, more committed, and had better knowl- forcefinancial.com.

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B-5 Contact Information: Contact Information: FORCE Financial, Ltd. Proctor Jr.-Sr. High School 4250 Lakeside Drive, Suite 212 4 Park Street Jacksonville, FL 32210 Proctor, VT 05765 Tel: 904-381-0421 Tel.: 802-459-3353 Fax: 904-381-0436 Fax: 802-459-6323 A critical factor in the success of many retirement com- The Web site provides a full documentation of Proctor munities is the ability of the board of directors to examine its School District policies and procedures under Vermont laws own composition and to restructure itself, when necessary, and regulations. The document contains a section that lists with the individuals and skills needed for sound planning and areas in which board goals and performance are based. Such decision making. Moreover, board selection processes may areas include need overhauling in order to attain the flexibility for accom- modating strategic reforms. Policymaking, The D&O FORUM discussion group is an online forum Policy implementation, for the exchange of ideas relevant to officers and directors of Community relations, senior living facilities. This site is provided and maintained Board interpersonal communication skills, by FORCE Financial, Ltd., to allow industry professionals Board/superintendent relations, and board members the opportunity to collaborate on solu- Fiscal/budget management, tions and share innovative ideas. The instructional program, Labor relations, Simon & Simon Research Associates, Inc., et al., TCRP Board in-service training, and Web Document 21: Public Transit System Policy Boards: Government relations. Organization and Characteristics (2002), Transportation Research Board. Information available at http://trb.org/ Institute on Governance, Effective Governance Through publications/tcrp/tcrp_webdoc_21.pdf. Thought and Action. Information available at http:// The purpose of this study was to provide national data and www.iog.ca. information on public transit board governance and the nature Contact Information: and characteristics of transit board effectiveness. The major- Institute on Governance ity of transit systems do not measure board effectiveness; only one-third of the boards conduct any type of evaluation to 122 Clarence St. determine their effectiveness. Of those that do measure effec- Ottawa, ON K1N 5P6 tiveness, it is usually an informal self-assessment. Sometimes Canada it can be as informal as asking, "Did we achieve our goals this Tel: 613 562-0090 year?" Only 10 percent of the respondents reported that they Fax: 613 562-0097 hire consultants to evaluate their performance. Systems that Email: info@iog.ca conduct assessments do so on an annual basis. The Institute on Governance (IOG) is a nonprofit organi- CEO suggestions for improving board effectiveness zation with charitable status, founded in 1990 to promote include measuring performance and finding ways to enhance effective governance. The institute concentrates its work on board member commitment and time allotted for board work; specific knowledge areas, including the following: improving board composition and structure by broadening diversity and streamlining committee structures; engaging in Aboriginal Governance, strategic and long-range planning; and improving informa- Accountability and Performance Measurement, tion, communication, and knowledge. Board chairpersons Board Governance, suggested that board effectiveness could be improved if indi- Building Policy Capacity, viduals were more diverse, more committed, and had better Technology and Governance, and knowledge of transit. They also suggested that boards should Youth and Governance. have more autonomy and authority, as well as better com- munication with external agencies. For each area above, the organization provides services that include research and analysis, advisory services, profes- BOARD PUBLIC ADVOCACY sional development, conferences, workshops, and study tours. The organization produces and provides free publica- Board Goal Setting and Self-Evaluation. Proctor, Vermont, tions on the site. Proctor School District Policies and Procedures (November 2001). Information available at http://www.proctorhs.org/ Public Involvement Techniques for Transportation Deci- policies_procedures.htm. sion Making. Federal Highway Administration (May

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B-6 2003). Information available at http://www.fhwa.dot.gov/ Making" promotes ways to ensure that all interested persons reports/pittd/contents.htm. have a voice in how our transportation system is developed. Contact Information: Contained in these discussions are helpful goal-setting prac- Federal Highway Administration tices that strive to improve transportation services in order to The FHWA's "Effective Transportation Goal-Setting: serve public needs at the highest levels possible. Public Involvement Techniques for Transportation Decision