Public Transportation Board Effectiveness: A Self-Assessment Handbook (2004)

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B-1 APPENDIX B ANNOTATED BIBLIOGRAPHY OF POTENTIAL REMEDIAL ACTION SOURCES Board Development, Training, Accountability and Gov- ernance in the Canadian Voluntary Sector (2002). Infor- mation available at http://www.boarddevelopment.org. Contact Information: info@boarddevelopment.com. This is an online resource for public boards, offering meth- ods for improving board operations and processes. This resource lists 16 steps for addressing and improving the pub- lic board’s basic responsibility to ensure its own renewal and development. Jackson, Douglas K., and Thomas P. Holland, “Measur- ing the Effectiveness of Nonprofit Boards,” Nonprofit and Voluntary Sector Quarterly, 27 (1998), pp. 159–182. Infor- mation available at http://www.arches.uga.edu/~dougjack/ Text/Measuring%20the%20Effectiveness%20of%20Non profit%20Boards.PDF. Authors Jackson and Holland developed a comprehen- 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- lished research, the authors contend that strengthening the performance of board processes has become a prerequisite for improving community services. When evaluating the effectiveness of board processes, Jackson and Holland con- tend that self-assessment questionnaires are generally well received because they are more accessible, less expensive, and more efficient. Proctor, Steve, and Maynard Gunsgtra, “Restructuring the Board Selection Process Can Improve Governance,” The FORCE D&O FORUM “On Being A Board” Dis- cussion Group. Information available at http://www. forcefinancial.com. Contact Information: FORCE Financial, Ltd. 4250 Lakeside Drive, Suite 212 Jacksonville, FL 32210 Tel.: 904-381-0421 Fax: 904-381-0436 A critical factor in the success of many retirement com- munities is the ability of the board of directors to examine its own composition and to restructure itself when necessary with the individuals and skills needed for sound planning and decision making. Moreover, board selection processes may need overhauling in order to attain the flexibility for accom- modating strategic reforms. “Ten Basic Responsibilities of Nonprofit Boards,” The National Center for Nonprofit Boards (1988). Information available at http://www.nsba.org/sbot/toolkit/EfBoards. html. Contact Information: National Center for Nonprofit Boards 2000 L Street, NW Suite 510 Washington, DC 20036-4907 Tel.: 202-452-6262 Fax: 202-452-6299 Email: ncnb@ncnb.org Increasingly, school board members from around the country are using assessment data to help make good deci- sions about improving public education for all children. As school districts across the country grapple with how to think systemically and strategically about reaching student achievement goals and how to forge creative solutions from standardized test data, data-driven decision making can be used to inform board decisions. BOARD GOAL-SETTING PROCESSES Information available at http://ops.fhwa.dot.gov/Travel/ Deployment_Task_Force/perf_measures.htm. Contact Information: Vincent Pearce FHWA Office of Travel Management Email: vince.pearce@fhwa.dot.gov This resource, developed by the Federal Highway Admin- istration (FHWA) Office of Operations, offers a methodol- ogy for adopting transportation-based performance measure- ment and goal-setting procedures. The rationale for goal setting, according to the FHWA, treats transportation as a service industry; in this construct, performance measurement and goal setting help to define the services each organization promises to provide, including the quality or level of service (e.g., timeliness, reliability, etc.). Information available at http://www.fhwa.dot.gov/reports/ pittd/contents.htm. Contact Information: Office of Information and Management Services 400 7th Street, SW Washington, DC 20590 Tel.: 202-366-9062 Publication No. FHWA-PD-96-031HEP-30/ 9-96/(4M)QE The FHWA’s “Effective Transportation Goal-Setting: Public Involvement Techniques for Transportation Decision Making” promotes ways to ensure that all interested persons

have a voice in how our transportation system is developed. Contained in these discussions are helpful goal-setting prac- tices that strive to improve transportation services in order to serve public needs at the highest levels possible. Information available at http://www.azta.org/public.htm. This resource pertains to statewide transportation systems but may be adapted to local/regional systems. The Arizona Transit Association (AzTA) developed a goal-setting method- ology based on the concept that effective public transportation policy is an essential component of a successful, integrated state transportation system. AzTA advanced a series of goals and objectives as a framework for a state public transportation policy. Information available at http://www.aptrex.com/Stumpo PaperHouston.pdf. “Making a World-Class Transit System a Reality,” devel- oped by the Coast Mountain Bus Company Ltd., Vancouver, British Columbia, focuses on how to get an organization motivated so that everyone’s involvement creates a level of ownership in the development of the strategy to achieve world-class performance. Goal-setting criteria of the Proctor, Vermont, School Board. Information available at www.proctorhs.org/ school_board/policies/pol_B2.htm. Contact Information: Proctor Jr.-Sr. High School 4 Park Street Proctor, VT 05765 Tel.: 802-459-3353 Fax: 802-459-6323 At least annually, the board participates in goal-setting and self-evaluation activities developed or recommended by the superintendent. Particular attention is given to board goals and performance in the following areas: • Policymaking, • Policy implementation, • Community relations, • Board interpersonal communication skills, • Board/superintendent relations, • Fiscal/budget management, • The instructional program, • Labor relations, • Board in-service training, and • Government relations. Chicago Public Schools Policy Manual, “School Board Goal Setting.” Information available at http://policy.cps. k12.il.us/documents/201.1.pdf. This resource includes the following: • The board will establish realistic performance objectives related to board policies, procedures, and relationships. B-2 • The board will, at the end of the academic year, measure its performance against the stated objectives. To the extent practicable, these objectives will be stated in the form of behavioral change or productivity gains. • The Chicago Board of Education will develop an annual planning calendar of board and committee meetings and important events scheduled for the upcoming academic year (which begins September 1). BOARD STRATEGIC PLANNING Association of Governing Boards of Universities and Col- leges (AGB). Information available at http://www.agb.org. Contact Information: One Dupont Circle, Suite 400 Washington, DC 20036 Tel.: 202-296-8400 Fax: 202-223-7053 On its Web site, AGB lists On-Campus Programs (board self-study workshop, board education seminars, presidential search workshop, presidential and board assessment service, and foundation board self-study workshop) and Conferences and Seminars (national conference on trusteeship, institute for board chairs and presidents, leadership forum for foun- dation boards, effective endowment management, and aca- demic restructuring). The Web site contains references to books and reports relating to strengthening the performance of boards of public and private higher education. Bader, Barry S., and James E. Small, “Sample Board Self- Assessment Questionnaire (2001).” Information available at http://www.greatboards.org. Contact Information: Bader & Associates Tel.: 301-340-0903 Fax: 301-340-1345 Email: bbader@greatboards.org The Web site provides tools for boards to decide whether “Self-Assessment Express” is sufficient for your board or if more tailored tools must be designed. It also provides sam- ple governance policies and tools. The Web site contains summaries of services such as board self-evaluation and development retreats; strategic planning retreats; leadership retreats for boards, medical staff, and management; health system governance redesign and restructuring processes; and consultation on specific governance problems and opportunities. Jackson, Douglas K., and Thomas P. Holland, “Measuring the Effectiveness of Nonprofit Boards,” Nonprofit and Voluntary Sector Quarterly, 27 (1998), pp. 159–182. Infor- mation available at http://www.arches.uga.edu/~dougjack/ Text/Measuring%20the%20Effectiveness%20of%20Non profit%20Boards.PDF. Authors Jackson and Holland developed a comprehen- sive study on the benefits of promoting public board self-

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

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

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

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