Wisconsin Lakes Partnership
Lake Leaders Handbook - Section 3

Temporarly out of print in paper! - But it is here on this web site.
PEOPLE

BUILDING A BOARD THAT WORKS

by Frank Martinelli

Some lake organizations, such as county- and state-wide associations, have formed as not-for-profit organizations with a board of directors. This segment contains information and sample documents that may help your board revitalize and run smoothly. A well-informed and well-trained board is absolutely essential if your organization is to effectively serve the community.

ROLES AND RESPONSIBILITIES OF A BOARD OF DIRECTORS

Developing an effective board of directors begins with a clear understanding of your roles and responsibilities. Successful nonprofits need a strong board of directors which assumes ultimate responsibility for all activities of the organization. Board members, in effect, own the organization. They are the final policy makers and they employ staff.

The board has three broad areas of responsibility: policy and program development; community and organizational development; fundraising and support development.

The first, policy and program development, begins with determining and then periodically reviewing the mission or general purpose of the organization. It also covers planning creatively for the future including short and long term plans for programs policies, resources and support, finances, personnel and institutional development, as well as guiding the implementation and evaluation of programs and services.

The second area, community and organizational development, means broadening the organization's base of support in the community; interacting with the community to generate or bring new issues and community needs to the organization; maintaining accountability to the public, government, members, clients, and staff. It also includes training and development current and new leaders within the membership, board, committees, and staff.

The third area, fundraising and support development, includes giving personal time and money; developing your donors, members, and supporters, recruiting volunteers; leading and supporting fundraising campaigns; and reporting results to your funding sources.

The three areas are closely linked to each other: if your Board is going to make decisions that reflect the true interests and needs of the community, the members must maintain good communication with that community. If your Board is expected to raise funds to support the programs of the organization, then board members must be involved in program planning and decision-making. If the organization is counting on board members to raise funds from the community, then board members need to maintain relationships with individuals and institutions in that community.

WHY BOARDS FAIL

There are several common reasons why some boards fail. Taken together, they provide a checklist for evaluating your own organization's board and its problem areas. Looking at the reasons why boards fail can be the first step in revitalizing your board. Let's take a look at some of them.

• Boards fail because of an ineffective nominating committee. Some groups consistently fail to realize that decisions made by the nominating committee will largely determine who will lead the group in the years ahead. This committee should be well organized, have a time schedule and clear working procedures. Often this is completely lacking.
  
  
• Boards fail because members do not have a good understanding of the organization and what their role is. This can happen when the nominating committee does not clearly communicate to potential board members what their responsibilities will be.
  
  
• Boards fail because they have no planned rotation of members. If the same people serve year after year, there is no way for new blood and new ideas to come onto the board. Despite their dedication, these same people will make the organization a "closed corporation. " Rotation prevents the ingrown possessiveness sometimes found on self-perpetuating boards.
  
  
• Boards fail when they have no effective way of eliminating non-productive members. People who are not carrying out their responsibilities as board members become major blocks to organizational effectiveness. There needs to be a process for evaluating board member performance and making recommendations regarding their future service with the board.
  
  
• Boards sometimes fail because they are too small. It is hard to conceive of a board getting the job done if it is simply too small.
  
  
• Boards fail because they have no well-planned orientation for new and old members. Deliberate thought is rarely given to the matter of blending new and old board members into a well-functioning team.
  
  
• Boards fail when they have no long service delivery and financial development plan. Often boards are not looking at the long term needs of the organization and developing plans to meet those needs.

THE PROCESS OF BUILDING A BOARD

Building a more effective board is a process. Things don't change overnight in organizations. It takes a commitment on the part of the leaders of a board to make it happen. The experience of other nonprofits suggests that it can take two-five years to create an effective, self-renewing board. But if your board members are willing to make the commitment, dramatic improvements are possible almost immediately by applying the proven techniques that will be presented in this article.

NOMINATION / RECRUITMENT PROCESS

For a board to operate successfully each member must understand and accept the specific duties and responsibilities that come with board member status. More and more organizations have found it helpful to develop a written statement of agreement for board members. This statement serves as a job description and clarifies board responsibilities. It might include statements like:

• To attend all regular board meetings.
  
  
• To serve as an active member of at least one committee.
  
  
• To support the fundraising activities of the organization in whatever ways are best suited to me.
  
  
• To prepare, in advance, for board policy and decision making.
  
  
• This job description is the basis for effective board recruitment.

The board is now ready to appoint a nominations committee that is responsible for the recruitment process. It is up to the nominations committee to communicate the board expectations to prospective members.

The committee's first step is to assess the skills of the current board and determine which, if any, are lacking. In this way the nominations committee can set recruiting priorities.

Often, the effort is made to recruit the most visible community leaders. However, in the search for new board members, the best prospects are people who are willing to commit the necessary time to the organization and who also possess the skills and experience the board is looking for.

By now it should be clear: if you expect new board members to be active, you have to tell them before they are brought onto the board! The best way to communicate these expectations is through the job description mentioned earlier.

THE EXECUTIVE COMMITTEE

Another critical element in board effectiveness is a functioning executive committee. In most organizations, the executive committee consists of the four executive officers of the board: the president, vice president, secretary and treasurer. Sometimes other members of the board are included as part of the executive committee. For example, chairs of the standing committees or at-large members from the board.

The executive committee plays three critical roles: plan the agenda of board meetings, make decisions on behalf of the full board, and serve as a communication link with other members of the board, especially the committee chairs.

• Planning the agenda of board meetings: It is the responsibility of the executive committee to meet regularly before board meetings with the executive director to develop the board meeting agenda.
  
  
• Making decisions on behalf of the full board: In between the regular meetings of the board, the executive committee in its own meeting, can make decisions that can't wait for the next regular board meeting or on matters that the full board has delegated authority to the executive committee. For example, responding to a crisis or opportunity. In both cases, the executive committee receives its authority from the full board and needs to report on its decision-making at the subsequent meeting of the board.
  
  
• Serving as a communication link with other members of the board: In order to be effective, the board must foster communication among its members in between regular meetings. It is the responsibility of the executive committee to insure that this happens.

To facilitate its work, the executive committee should meet on a regular basis. The president and executive director should develop an agenda for the executive committee in advance of their meetings.

BOARD COMMITTEE STRUCTURE

As important as the executive committee is, it's only one part of the total committee structure. You can't begin to talk about an effective board without talking about committees. They do the bulk of the work of the organization, thereby freeing the full board for attention to matters like long range financial planning and policy development.

An Effective Committee Structure Helps To:

• Increase the involvement of board members by giving them an opportunity to use their skills and experience.
  
  
• Provide a training ground for future leaders.
  
  
• Increase the visibility and outreach of the organization by including non-board members in committee membership.
  
  
• Provide a means for information to flow from the community, clients, and line staff to the board.
  
  
• Give members the chance to freely discuss issues in an informal setting.
  
  
• Serve as an excellent problem-solving and decision-making group because of its small size.

There are three elements of committee effectiveness:

1. Written Committee Description: First, there should be a written description of what is expected of each committee to guide the chair and members. The description should summarize the purpose of the committee, its composition and selection procedure, and the specific duties of the committee.
   
   

   Committee Description: Fundraising

   GENERAL PURPOSE: to raise funds to meet the budget of the organization
   
   RESPONSIBILITIES:

   l.  Develop the annual fundraising strategy;
   2.  Develop the necessary sub-committees to carry out the fundraising plans;
   3.  Develop a plan for involving board members in fundraising;
   4.  Investigate new fundraising ideas for future use;
   5   Report to the board on a monthly basis.

   
   
   
2. Effective Chairperson: The chair should be a board member. This helps to assure that the leadership of the Committee is "in sync" with that of the Board as a whole. The chair is responsible for preparing agendas for the meetings, assigning responsibilities to committee members and following up to make sure the work is being done. It is also essential that the committee chair have strong group planning and facilitation skills. Arrange for readings and/or workshops to assist in gaining and improving these skills.
   
   
3. Member Recruitment: Each standing committee is generally composed of five-eight people. They can be a mix of board and non-board members and should be recruited with the following question in mind: what tasks is the committee responsible for and who among our members and supporters possess the skills and experience needed to complete those tasks?

The organization should also be prepared to provide training to committee members to help them sharpen their skills.

BOARD SELF-EVALUATION

A well-planned recruitment process and an effective committee structure lays the ground work for improved board performance. However, every so often the board as a whole needs to step back and look at itself. In order to maintain a high level of performance, a process for annual board self-evaluation is needed. It happens informally when directors get together and talk about individual and board concerns. But a formal process is also necessary.

In order to have board member support for the process, the evaluation must be presented as a vehicle for two-way communication: an opportunity for individual board members to give and receive feedback.

Such an evaluation should be done at least annually. A good time is mid way into the board year. By that time board members have had an opportunity to demonstrate their commitment and enough time remains to take corrective action if necessary.

A thorough evaluation would cover two areas: individual board member performance and a look at board and committee operations as a whole.

Each board member should first be asked to assess their performance as a board member in critical areas such as input into policy and decision-making, committee participation, and fundraising. Board members should also be asked if there are any factors that have helped or hindered their performance. Finally, they need to be asked what they would need to maintain or increase their level of commitment.

The results of this assessment can then be used by the President and Executive Committee to determine which board members deserve positive feedback for acceptable performance and which board members, because of inadequate performance, need to be reminded of their responsibilities.

Board evaluation should also include a look at board and committee performance as a whole. Board members can be asked to list what they see as strengths and weaknesses of the organization as well as their ideas for changes that would improve board effectiveness. A summary of the strengths, weaknesses, and suggestions for improvement would then be sent to board members for study. At the next meeting, a plan for corrective action would be adopted.

STARTING THE PROCESS OF BOARD DEVELOPMENT IN THE ORGANIZATION

The first step is to discuss with other members of the board what they see as the current strengths and weaknesses of the board. Try to identify those areas for improvement that everyone can agree on. Next, develop a plan for implementing some of the techniques described in this program. Set realistic, achievable goals. Remember: building a board that works is a process that takes time. By applying some of the ideas presented here, you will see steady improvement. Many boards have been through this process and seen results.

The time to start the process, the time to accept the challenge is now...

PRINCIPLES OF BOARD GOVERNANCE

by John Carver

• The board owns the organization (as trustee) for some "ownership", to whom the board owes primary accountability.
  
  
• Prescribe the Ends but stay out of the Means except to say what is UNacceptable.
  
  
• Decide the largest issue in each category before smaller issues in any category.
  
  
• The board speaks with ONE voice or not at all.
  
  
• Come into smaller issues at will, but only in sequence, one "level" at a time.
  
  
• Stop at the level where you can accept any reasonable interpretation of the policy just created.
  
  
• Where the board stops speaking the applicable delegatee is empowered to make all further decisions.
  
  
• Only monitor against criteria previously set.

SAMPLE POSITION DESCRIPTION FOR
MEMBER OF BOARD OF DIRECTORS

Function:

As representatives of the public, be the primary force pressing the organization to the realization of its opportunities for service and the fulfillment of its obligations to all its constituencies.

Duties:

PLANNING

• Approve the organization's philosophy and review the board's and management's performance in achieving it.
  
  
• Annually assess the ever-changing environment and approve the organization's strategy in relation to it.
  
  
• Annually review and approve the organization's plans for funding its strategy.
  
  
• Review and approve the organization's financial goals.
  
  
• Annually review and approve the organization's budget. Approve major policies.

ORGANIZATION

• Hire, support, and, if deemed necessary or desirable, change top management. Regularly discuss with the chair matters that are of concern to the board.
  
  
• Be assured that management succession is properly being provided.
  
  
• Be assured that the status of organizational strength and staff planning is equal to the requirements of the strategic plan.
  
  
• Approve appropriate compensation and benefit policies and practices. Propose a slate of directors to members and fill vacancies as needed.
  
  
• Annually approve the performance review of the executive director and establish his/her compensation based on recommendations of the executive committee and chair of the board. Determine eligibility for and appoint board committees in response to recommendations of the board development committee.
  
  
• Annually review the performance of the board and take steps (including its composition, organization, and responsibilities) to improve its performance.

OPERATIONS

• Review the results achieved by management as compared with the organization's philosophy, annual and long-range goals, and the performance of similar organizations.
  
  
• Be certain that the financial structure of the organization is adequate for its current needs and its long-range strategy.
  
  
• Actively support the fund development plans of the organization in ways appropriate for board members including personally contributing funds.
  
  
• Approve major actions of the organization such as: capital expenditures on all projects over authorized limited and major changes in programs and services.
  
  
• Attend all regular and special board meetings and participate in the proceedings.
  
  
• Serve on at least one committee of the board and actively participate in the meetings and the work of that committee.
  
  
• Prepare for each board and assigned committee meeting by reviewing any advance materials.

AUDIT

• Be assured that the board and its committees are adequately and currently informed-through reports and other methods-of the condition of the organization and its operations.
  
  
• Be assured that published reports properly reflect the operating results and financial condition of the organization.
  
  
• Ascertain that management has established appropriate policies to define and identify conflicts of interest throughout the institution, and is diligently administering and enforcing those policies.
  
  
• Appoint independent auditors subject to approval by members.
  
  
• Review compliance with relevant material laws affecting the organization.

MEMORANDUM OF UNDERSTANDING

SAMPLE BOARD MEMBER RESPONSIBILITIES

1. Attend monthly meetings (approximately 13 meetings at 1.5 hours each). Be accessible for personal contact between meetings.
   
   
2. Provide leadership to board committees. Presently, they include Fund Development, Membership, Strategic Planning, Nominations, Executive (Board Officers). This requires at least one meeting per month plus individual task completion time.
   
   
3. Commit time to developing financial resources; provide personal financial support as able.
   
   
4. When called on. be public representative of __________ to support its interests and community-based philosophy, utilize skills, contacts and knowledge for the advancement of ____________
   
   
5. Responsibly review and act on committee recommendations; educate self on issues before the Board.
   
   
6. Participate in the development, monitoring and evaluation of ________ policies and programs, establishing an annual budget and a fundraising plan.
   
   
7. Participate in _______ events.

I am aware that this document is an expression of good faith and provides a common ground from which Board members can operate. Additional information on organizational mission and Board responsibilities is contained in the ________ by-laws which I have read.

____________________________________________   _____________
Signature	                                 Date

Roles and Responsibilities of Board Members

Division of labor between board members and the executive director or officer

Responsibility	Board of Directors	Executive Director or Officer
Legal	Exercises fiduciary role to ensure that the organization is properly managed. The Board should have a mechanism to validate information from the Executive Director. Maintains corporate status; ensures that proper paperwork is submitted to governmental agencies. Reviews financial and business dealings to protect the organization from lapsing into private foundation status and exercises proper judgment in self-dealing transactions.	Must provide information to the Board to demonstrate that the organization is well managed. Compiles information for annual filing requirements. Signals if either of these situations is likely to occur.
Finance/ Accounting	Approves annual budget. Reviews periodic financial reports (balance sheet, income statement, changes in financial position). Ensures that proper internal controls are in place.	Prepares annual budget with input from staff and accounting department (depending on size of organization). Oversees preparation of periodic financial reports. Implements proper financial controls.
Planning	Establishes mission and program direction for organization. Reviews program plan and progress. Conducts or reviews program evaluation plan.	Develops specific program goals and objectives based on the board-specific mission. Develops reports or oversees staff development of reports to demonstrate program progress.
Policy	Sets policy.	Implements policy (the specific operational decisions are the staff's responsibility).
Personnel	Reviews personnel policies. Hires Executive Director/Officer and evaluates performance.	Implements personnel policies. Hires all other personnel and evaluates performance of staff members (or delegates to appropriate supervisor).
Resource Development	Establishes fundraising goals and participates in fundraising efforts. Determines feasibility of fundraising goals.	May conduct research and assist in fundraising efforts.
Board Governance	Maintains minutes, attendance records, and deals with Board members who have lapsed in their responsibilities. Recruits new board members (in non- membership corporations).	Office staff may assist with preparation and distribution of minutes. May suggest names for consideration.

• It is important to remember that board members initially may wear two hats - a "board hat" and a "staff hat." Because the organization may not yet have staff, board members may assist in functions that would otherwise be executed by staff. As the organization moves from a completely volunteer organization to one with paid staff, board members sometimes have difficulty relinquishing tasks they previously performed in lieu of staff, and concentrating exclusively on their responsibility as board members.

Source:

Building and Maintaining an Effective Board of Directors, Center for Nonprofit Management in Southern California.

LEVELS OF BOARD INVOLVEMENT IN FUNDRAISING

As nonprofit organizations grow and develop, their board's involvement in fundraising also changes. Below, four stages of organizational evolution are outlined, giving the typical roles played by board and staff in fundraising activities as the organization becomes increasingly sophisticated.

Getting Started

• Emphasis on local fundraising, particularly on special events which raise up to $5000.
  
  
• Everybody helps a little.

Covering the Basics

• Emphasis on raising funds through grants.
  
  
• The executive director plays key role, as the staff are primarily responsible for writing proposals and making all or most initial contacts with donors.
  
  
• The board participates in fundraising by sponsoring special events ($10,000), and some meetings with foundations and corporations.

Diversifying the Income Base

• Emphasis shifts from grants funding overall operations to project-specific funding; operations are funded by special events, subscriptions/memberships and individual donor base.
  
  
• The executive director is still the primary development staff, but receives support from other staff in writing proposals and researching new sources.
  
  
• The board makes personal contributions, conducts a major special event and begins to solicit personal contacts.

Maintaining a Wide Range of Donors

• Emphasis is spread over a variety of methods to solidify the income base from a combination of fundraising and financing.
  
  
• The executive director solicits funds, with a development staff handling all research, writing, and record-keeping systems.
  
  
• The board solicits their own contacts as well as networks of contacts, and continues to sponsor a major special event.
  
  
• Honorary and auxiliary boards may be formed for fundraising. A special committee may be formed to conduct a specific fundraising campaign, e.g., capital campaign for property acquisition or endowment.

INTERDEPENDENT RELATIONSHIP OF BOARD AND STAFF IN FUNDRAISING

Role of the Board

To ensure that all necessary resources are obtained/available to achieve organizational goals.

Affirm mission, goals and objectives	Attend meetings with funding sources
Approve budgets	Approach personal contacts
Approve fundraising plans	Attend public affairs
Assist in identifying sources	Attract resourceful people
Assist in determining strategies	Ask for money
Appropriate personal funds

Role of the Staff

To provide the support system and activities which will ensure that fundraising goals can be met.

Determine goals and objectives	Prepare budgets
Identify potential donors	Research potential donors
Develop fundraising plans	Write proposals
Produce promotional materials	Prepare grant applications
Provide back-up support for special events	Solicit local businesses, churches, etc.
Implement fundraising activities	Report to fundraising committee and funding sources
Maintain accurate and thorough records	Package organizational activities as fundraising projects
Compile statistics

EXECUTIVE COMMITTEE

General Purpose

The executive committee is commissioned by and responsible to the board of directors to function on behalf of the board of directors in matters of emergency and in interim periods between regularly scheduled board meetings. The executive committee shall have and exercise the authority of the board of directors provided that such authority shall not operate to circumvent the responsibility and authority vested in the board of directors by the by-laws, and any action taken is to be ratified by the board of directors at its first subsequent meeting.

Appointments and Composition

• The executive committee shall be composed of the president, vice-president, secretary, treasurer of the board, and the immediate past-president.
  
  
• The chair of the executive committee shall be the president of the board of directors.
  
  
• The president, vice-president, secretary, treasurer shall be elected in accordance with procedures set forth in the by-laws of the organization.

Responsibilities

• To meet during the months that the full board doesn't meet to draw up and agenda for meetings of the full board of directors.
  
  
• To make decisions on behalf of the full board as needed which cannot wait for the full board or on matters delegated to the executive committee by the board of directors.
  
  
• To maintain effective communication with the committees of the organization.
  
  
• To coordinate the annual planning and budget process of the organization in conjunction with the finance committee and the executive director.
  
  
• Provide policy recommendations to the board of directors in the areas of training, employee benefits, employee relations, legal issues relating to employees, recruitment/interviewing/selection procedures, and the like.
  
  
• Annually review the performance of the executive director according to the procedures outlined in the personnel policies of the organization. (The executive director, in turn, is responsible for the annual performance review of other staff.)
  
  
• To respond to the call of the board president or executive director for emergency meetings to deal with special problems between regular board meetings.
  
  
• Coordinate promotional efforts with other groups.
  
  
• Annually submit objectives as part of the planning and budgeting process.
  
  
• Annually evaluate its work as a committee and the objectives it has committed itself to and report on same to the board of directors.
  
  
• Report to the board of directors at regular meetings of the board in a manner determined by the board.

FINANCE COMMITTEE

General Purpose

The finance committee is commissioned by and responsible to the board of directors. It has the responsibility for the preparation of the annual budget of the organization. The finance committee shall be assisted by the executive director.

Appointments and Composition

The members of the finance committee shall be the treasurer of the board who shall serve as chair, the president who shall serve as an ex-officio member, together with two other directors appointed by the president.

Responsibilities

• Prepare an annual budget for the organization consistent with organization operations.
  
  
• Develop and annually revise a three-year financial forecast and develop long range financial plans based on the forecast.
  
  
• Review all grant proposals and when necessary, recommend action by the board.
  
  
• Determine membership dues.
  
  
• Review all non-budgeted expenditures over $X and recommend action to the board.
  
  
• Annually submit objectives as part of the planning and budgeting process.
  
  
• Annually evaluate its work as a committee and the objectives it has committed itself to and report on same to the board of directors.
  
  
• Arrange for an annual audit with submission of same to the board.
  
  
• Report to the board of directors at regular meetings of the board in a manner determined by the board.

BOARD DEVELOPMENT COMMITTEE

General Purpose

The board development committee is commissioned by and responsible to the board of directors to assume the primary responsibility for matters pertaining to board of director's recruitment, nominations, orientation, training, and evaluation in accordance with the by-laws of the organization as well as established policies and practices approved by the board of directors.

Appointments and Composition

Appointments of the chair and members of the board development committee shall be made annually by the president of the board with advice and consent of the board in accordance with the by-laws. The chair of this committee shall be a member of the board of directors.

Responsibilities

• Study the current composition of the board of directors to determine current skills and experience. Identify skills and experience needed on the board.
  
  
• Recruit members to run for the board and develop a slate of directors for consideration by the membership at the annual meeting in accordance with election procedures outlined in the by-laws.
  
  
• Develop an orientation and training plan for new board members. Assist in the planning of the annual board planning retreat.
  
  
• Review annually the procedures for board recruitment.
  
  
• Assist the executive committee in an annual board self-evaluation.
  
  
• Assist the president in determining appointments to committee positions.
  
  
• Review the attendance of the directors, recommending removal of any director from the board after 3 consecutive unexcused absences.
  
  
• Annually submit objectives as part of the planning and budgeting process.
  
  
• Annually evaluate its work as a committee and the objectives it has committed itself to and report on same to the board of directors.
  
  
• Report to the board of directors at regular meetings of the board in a manner determined by the board.

FUNDRAISING COMMITTEE

General Purpose

The fundraising committee is commissioned by and responsible to the board of directors to assume the primary responsibility for raising non-grant funds to meet the budget of the organization. The board of directors, in consultation with the fundraising committee, finance committee and executive director, will determine the fundraising goal for the fundraising committee.

Appointments and Composition

• Appointments of the chair and members of the fundraising committee shall be made annually by the president of the board with the advice and consent of the board in accordance with the by-laws.
  
  
• Other members may be appointed and need not be members of the board of directors, subject to the conditions stated in the by-laws. These members are appointed annually by the president of the board who may consult the chair of the committee.

Responsibilities

• Develop an annual fundraising plan that will generate the funds needed to meet the nongrant fundraising goal.
  
  
• Develop the necessary sub-committee systems to successfully carry out the fundraising events and activities that are part of the annual fundraising plan.
  
  
• Supervise the functions of the sub-committees.
  
  
• Develop a plan for involving board members in the non-grant fundraising activities of the organization.
  
  
• Investigate new fundraising projects, activities, and ideas for possible use in the future.
  
  
• Annually submit objectives as part of the planning and budgeting process.
  
  
• Annually evaluate its work as a committee and the objectives it has committed itself to and report on same to the board of directors.
  
  
• Report to the board of directors at regular meetings of the board in a manner determined by the board.

BOARD ORIENTATION CHECKLIST

____ Letter(s) of introduction from board president, executive director and/or introduction/purpose of manual statement

____ Mission or purpose statement

____ History of organization

____ Bylaws/Constitution

____ Organizational charts - Board/Staff/Volunteers

____ List of board directors and officers with mailing addresses and phone numbers

____ List of key staff members

____ List of ancillary boards

____ List of board committees with names of chairperson and members

____ Board director and officer job descriptions

____ Committee commissions and work plans

____ Key staff job descriptions

____ Key staff resumes/vitae

____ Roles of the board directors

____ Responsibilities of the board

____ Liabilities of the board

____ Minutes from recent meetings (2 to 4) of the board

____ Organizational policies

____ Personnel policies

____ Community/Target population profile

____ Program descriptions

____ Current year program plans with goals and objectives

____ Annual planning calendar

____ Most recent organizational evaluation

____ Long range or strategic plans

____ Case statement

____ Promotional literature

____ Annual report

____ Most recent interim financial statement

____ Budget for next year (if available)

____ Fundraising plans for fiscal year

____ Last year's budget

________________________________________________

Additionally, it may be appropriate to include:

____ Research reports, articles or other written materials providing in-depth information on the issues/problems/programs of the organization

____ Selected bibliography of topics pertaining to work of the organization

INDIVIDUAL BOARD MEMBER EVALUATION FORM Your Name_____________________________

1. Are you satisfied with your performance as a board member in the following areas:
   (Check spaces that apply)

   	Very Good	Adequate	Needs Work
   Input in policy/decision-making	__________	__________	__________
   Committee participation	__________	__________	__________
   Fundraising	__________	__________	__________
   Community outreach	__________	__________	__________

   
   
   
2. What factors contributed to your performance or lack of performance in the areas above: (be specific)
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3. Here's what I would need from the organization to increase my commitment:
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SAMPLE BOARD POLICIES

Introduction: The following sample board policies are based on the work of John Carver, author of Boards that Make a Difference.

His approach to board governance can be summarized in this way: "It is the responsibility of the board to be the visionary leaders of the organization. The board must remain focused on the ultimate ends of the organization expressed chiefly in the mission, vision and strategic goals as the board's tendency to meddle in the means that staff devise to carry out the ends of the organization as determined by the Board." The policies that follow express this critical distinction between board "ends" and staff "means."

Board Policy on the Manner of Governing

The board will approach its task in an manner which emphasizes strategic leadership more than administrative detail, clear distinction of board and staff roles, future rather than past or present, and pro-activity rather than reactivity. In this spirit, the board will:

• Keep its major involvement with the intended long-term impact of the organization, not with the administrative or programmatic means of attaining those effects except for those means which are appropriate for the board.
  
  
• Direct, control, and inspire the organization through the careful deliberation and establishment of policies. Policies will be statements of values or approaches which chiefly address (a) the "products" of the organization (what benefits for which needs at what cost), (b) the boundaries of prudence and ethics to be observed by staff, (c) board roles and responsibilities, and (d) the board staff-staff relationship.
  
  
• Enforce upon itself whatever discipline is needed to govern with excellence. Discipline will apply to attendance, policy-making principles, respect for clarified roles, speaking with one voice, and self-policing of board tendencies to stray from rigorous governance.
  
  
• Be accountable to the general public for competent, conscientious, and effective committee of the board to usurp this role or deter this discipline.
  
  
• Be an initiator of policy and responsible for its own performance.

Board Policy on Officer Responsibilities

Officers of the board are in the service of the board. As such they are bound by board wishes and by limits of board authority. The officers may meet as a group with the executive director for purposes of preparing agendas and other pre-board work (as defined by its policy on committee process), but they may not act in place of the board, except as it specifically delegates.

President: The president is to assure the integrity of board process including effectiveness of meetings and the board's adherence to its own rules. The presidential succession, in cases of temporary absence of the president is the vice-president, the treasurer, and the secretary. In the absence of the president, the term "president" shall be construed to apply in due turn to this succession of officers.

Vice-President: The vice-president will act in the absence of the president. The adherence to its own rules.

Treasurer: The treasurer is to perform duties in connection with the finances of the organization as may be required by the board. Duties of the treasurer will neither lessen nor add to the executive directors's accountability to (and only to) board policies on fiscal conditions and budgeting.

Secretary: The secretary, by affixing his/her signature, shall attest formally to the legitimacy of board documents. The secretary also is responsible to the board for reporting on and noting any inconsistencies of board actions.

Board Policy on Committee Operations

The board may, from time to time, establish committees to help carry out its responsibilities. To preserve the central role of the board in governance, committees will be used sparingly, only when other methods have been deemed inadequate. Committees will be used so as to minimally interfere with the wholeness of the board's job.

• Board committees may not speak or act for the board except when formally given such authority for specific and time-limited purposes. Such authority will be carefully stated in order not to conflict with authority delegated to the executive director.
  
  
• Board committees are to help the board do its job, not to help the staff do its job. Committees will assist the board chiefly by preparing policy alternatives and implications for board deliberation. Board committees are not to be created by the board to advise staff.
  
  
• If a board committee is used to monitor organizational performance in a given area, the same committee will not have helped the board create policy in that area. This is to prevent committee identification with organizational parts rather than the whole.
  
  
• Board committees do not exercise authority over staff, and in keeping with the board's focus on the future, board committees will ordinarily have no direct dealings with current staff operations. Further, the board will not impede its direct delegation to the executive director by requiring approval of a board committee before an executive action by the executive director.

Non-profit organizations around the country fill a vital role in finding solutions to issues and carrying on projects that otherwise would go undone. An effective board is a powerful tool to assist your organization in reaching its goals!

REFERENCES

Bernstein, Albert J. 1989. Dinosaur Brains: Dealing With All Those Impossible People at Work. John Wiley and Sons, New York, NY.

Covey, S. R. 1989. The Seven Habits of Highly Effective People. Simon and Schuster, New York, NY.

Evans, P. 1989. Motivation and Emotion. Routledge, New York, NY.

Fisher, Roger and William Ury. 1983. Getting to Yes: Negotiating Agreement Without Giving In. Penguin Books, New York, NY.

Hunsaker, P. L. and A. Allesandra. 1986. The Art of Managing People. Simon and Schuster, New York, NY.

McCurley, S. and R. Lynch. 1989. Essential Volunteer Management. Heritage Arts Publishing, Downers Grove, IL.

Miller, L., B. Rossing, and S. Steele. 1992. Partnerships: Shared Leadership Among Stakeholders. University of Wisconsin, Madison.

Moore, L. F. (ed.). 1985. Motivating Volunteers. Vancouver Volunteer Centre, Vancouver, British Columbia, Canada.

Morrison, Emily. 1983. Working with Volunteers. Fisher Books, Tucson, AZ.

Pruitt, Dean G. and Jeffrey Z. Rubin. 1986. Social Conflict: Escalation, Stalemate and Settlement. Random House, New York, NY.

Ury, William. 1991. Getting Past No: Negotiating with Difficult People. Bantam Books, New York, NY.

Vineyard, S. 1991. Secrets of Motivation. Heritage Arts Publishing, Downers Grove, IL.

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