Policy-Based Governance in a Nutshell An Introduction to UUCA’s Policy Governance Model (includes updated Ends Statements) By UUCA Board of Trustees ‘06-07 (DPrevMay07)

Governance “Governance exists in order to translate the wishes of an organization’s owners into organizational performance.” - John Carver, On Board Leadership Who are UUCA’s owners? How do they make their wishes known?

What is POLICY GOVERNANCE? Policy Governance is a specific model of governing that emphasizes values of the congregation vision of the congregation empowerment of the congregation, board, and staff

How does it work? The Board listens to the congregation and is responsible for articulating the congregation’s goals and values as Ends Statements. The Senior Minister leads the staff (both volunteer and paid) in implementing policies, and reports to the Board regularly on progress. The staff is empowered to find creative means to accomplish the ends formulated by the Board. The Board monitors staff fulfillment of Board policies, and revises or clarifies policies as needed.

What advantages does policy governance offer? Greater clarity about our purpose Greater clarity about roles and responsibilities Greater accountability

Clarity Policy governance asks us to be clear about our purpose: Why do we exist as an organization? What difference do we want to make in the world? What good do we wish to accomplish, for whom, and at what cost? What do we want to become? What goals do we wish to achieve? The Board, on behalf of and in dialog with the congregation, answers these questions in the form of written Ends Statements.

Clarity Policy governance provides clarity about roles and responsibilities: Who does what? What are the roles and responsibilities of: The congregation? The Board of Trustees? The Senior Minister? The staff (paid and volunteer)? The Board answers these questions by creating written governance policies.

Accountability Policy governance holds us accountable for progress toward our goals. The executive (i.e., the Senior Minister) provides regular monitoring reports that enable the Board to evaluate the organization’s performance as measured by policy-based criteria.

ENDS STATEMENTS The following slides are the proposed seven ENDS STATEMENTS These statements were built by the Board utilizing input through UUCA Appreciative Inquiry process UUCA congregational survey UUA ENDS STATEMENTS models other UU congregation examples many, many conversations with the congregation

UUCA will give to the world: ENDS STATEMENTS The difference we will make in the world Acting out of our values, and in accordance with our mission, UUCA will give to the world:

A vibrant faith community for spiritual seekers that worship together, embracing lifelong religious learning and respecting different spiritual journeys.

A loving community that provides support and care for others through both the best and the most difficult of times.

A safe and welcoming community where all are valued.

Children and youth, centered in the values of our religious community and nurtured in love, who are compassionate leaders in seeking justice and peace.

People with a passion for social and economic justice who work together for human rights and a sustainable environment.

A creative community that challenges us to see the world with new perspectives and gives voice to the human spirit through music and the Arts.

We are a place where hope is born. Hope that we as a congregation, nation, and world can live harmoniously, with arms that can reach across great divides to offer support, find friendship, and make peace. We give these gifts to the world.

Principles of Policy Governance Policy Governance is based on ten principles:

#1 The Trust in Trusteeship The Board exists to govern an organization on behalf of the congregation to which they are answerable. The primary relationship the Board must establish, maintain, clarify, and protect is its relationship with its congregation; keeping in contact with them, and hearing their voices.

#2 The Board Speaks with One Voice or Not at All The Board has been entrusted by the congregation with the authority to govern and lead. If the Board is to lead, then on each given issue it must speak with a single voice. The Board should not present conflicting messages to the congregation or the staff.

#3 Board Decisions Are Predominantly Policy Decisions Board policies fit into four categories: ENDS — The congregation defines which human needs are to be met. Written with a long-term perspective, these mission-related statements embody the congregation’s reason for being. EXECUTIVE LIMITATIONS — Using the ENDS as the filter, the Board establishes the boundaries of acceptability of operation for the Executive, staff, and volunteer staff. BOARD-STAFF LINKAGE — The Board clarifies the manner in which it delegates authority and how it evaluates performance relative to Ends and Limitations. GOVERNANCE PROCESS — The Board determines its philosophy, its accountability, and the specifics of its own job.

#4 The Board Formulates Policy by Determining the Broadest Values Before Progressing to More Narrow Ones The Board may develop policy to whatever detail it wishes, provided that: the ENDS STATEMENTS are used as a filter the intent is from a broad to narrow perspective and does not skip levels in the process the Board exercises leadership and maintains effective control without delving into vast detail (a “less policy is more freedom” philosophy)

#5 The Board Defines and Delegates, Rather than Reacting and Ratifying Having Policy Governance in place allows the congregation to know whether a proposed plan is approvable according to the applicable policy. Staff responsibilities in a congregation also includes working with the member leaders serving as volunteer staff. This system strengthens shared ministry. Assurance of policy compliance is maintained through policy-focused monitoring. The Congregation and Board have a clear, open, and meaningful way to evaluate church leadership and program performance, while fulfilling the Ends.

#6 Ends Determination is the Pivotal Duty of Governance Focusing on the ENDS keeps the congregation in tune with its own existence and big picture outcomes. The congregation’s impact in the world is managed by and through its members, not merely on their behalf.

#7 The Board Controls MEANS by Limiting, Rather than Prescribing The congregation’s conduct, activities, methods, and practices are its "means" rather than its “ends.” The Board's role is one of boundary-setting —specifying in policies which staff MEANS would be unacceptable, unapprovable, or off-limits. Beginning with broad prohibitions, advancing thoughtfully toward more detailed ones, the broader statements act as a safety net. This key method of means constraint enables the Board to govern with fewer pages of pronouncements, less dabbling in details of implementation, and produces greater accountability.

#8 The Board Explicitly Design Their Own Products and Processes The Board defines their code of conduct plans and planning processes relationship with the staff The Board treats its governance policies as iron-clad commitments. Everything is evaluated by “does it meet the ENDS statements?”

#9 The Board Forges a Linkage with the Executive That is Empowering and Safe The Board and the Executive constitute a leadership team. Clear differentiation in their roles and responsibilities enable them to fulfill and excel in them, mutually support each other, and influence each other toward ever greater integrity and capability for leadership.

#10 Performance is Monitored Rigorously, but Only Against Policy Criteria The Board requires regular monitoring reports from the Executive. The performance towards the ENDS STATEMENTS and policies will be the metric used for staff accountability.

Resources UUA General Assembly 2000 information http://www.uua.org/ga/ga00/217.html#basic condensed from John Carver & Miriam Mayhew, Carver Guide Series on Effective Board Governance with notes inserted on adapting the model to Unitarian Universalist churches — by Margaret Keip See also: John Carver’s website http://www.carvergovernance.com/

Roles and Responsibilities (St. Paul example)

Roles and Responsibilities (Berkely example)

HOW DO THE POLICIES FIT TOGETHER? The next slide is a graphic of the four key functions: ENDS STATEMENTS EXECUTIVE LIMITATIONS BOARD STAFF LINKAGE GOVERNANCE PROCESS

EXECUTIVE LIMITATIONS ENDS STATEMENTS EXECUTIVE LIMITATIONS BOARD STAFF LINKAGE GOVERNANCE PROCESS