Governance Self-Evaluation Worksheet · Governance Self-Evaluation Tool v4.25.12 Using this tool: 1. This tool is intended for use in conjunction with "Mission Driven Governance,"

Governance Self-Evaluation Tool

v4.25.12 Using this tool:

1. This tool is intended for use in conjunction with "Mission Driven Governance," Stanford Social Innovation Review , Summer 2009.

2. The tool is designed to reveal an agenda for discussion and possible action. It is NOT a scorecard. A facilitator or governance committee typically would use the tool as preparation for a governance retreat or other substantial discussion.

3. Discussions of sensitive issues typically can be conducted in a reasonable and low-temperature atmosphere when the issues are identified through use of a tool that is systematic and embodies no specific preferred outcome.

Page 1 of 25 ©copyright 2001 Raymond Fisman, Rakesh Khurana, Edward Martenson

http:v4.25.12

4. The tool is organized as a confidential survey in order to elicit candor, and it's essential that recipients are able to trust the confidentiality of their responses. If a paper survey is used a neutral outsider should tabulate the responses, but it's better to use an online survey application that automatically tabulates results and keeps the individual responses private.

5. The survey typically is administered to all who have a say in governance decisions, not limited to members of the board. Executives and other ranking staff members who formulate proposals or make recommendations typically are included.

6. Tabulated results are synthesized into an agenda for discussion primarily by prioritizing the survey items on which the recipients give sharply different answers. (Example: if half of the respondents say there should be a single leader and the other half prefer the dual leader structure, this might be an important thing to discuss.)

7. Agenda items for discussion also may be identified by survey items where recipients are in agreement on an answer that seems "wrong."

8. The highest and best use of this, or any other governance self-evaluation system, is to employ it regularly at intervals of two or three years, looking back on agenda items that were identified for improvement in the previous discussion and identifying agenda items for action in the next period.


The questions in this section are about your organization's importance and the principal issues, if any, that should occupy its attention.

How old is your organization?

Less than 10 years old. 10-25 years old. 26-50 years old. 51-75 years old. 76-100 years old. More than 100 years old.

In your personal opinion, where does your organization rank in importance among the private non-profit institutions (of all types) in its area?

top five top ten top twenty lower than the top twenty

If you contribute money to your organization, where does it rank in your personal giving?

top five top ten top twenty lower than the top twenty I don't contribute


What are your top three concerns about governance in your organization. (Please answer in a word or short phrase.)

-

--

To what extent are you optimistic that your organization will address these concerns effectively?

pessimistic

optimistic

The questions in this section are about how your organization's governance function is organized.

How big is your board of directors?

20 or fewer members 21-30 members 31-40 members 41-50 members 51-60 members more than 60 members


What is your opinion about the size of the board of directors?

The board is too large. The board is too small. The board is about the right size. No opinion.

How often does your organization's board of directors meet?

Never 1-2 times a year 3-4 times a year 5-6 times a year 7-10 times a year more than 10 times a year

What is your opinion about the frequency of board meetings?

The board meets too often. The board doesn't meet often enough. The frequency of board meetings is about right.


In some organizations the board meetings are where the real work gets done. In other organizations the real work gets done in committees and board meetings are used for formal approvals. Where is your organization along that spectrum?

real work done in committee meetings

real work done in board meetings

Does your organization have a regular process for reviewing the organization's needs in recruiting new board members?

Yes No Don't know

Please evaluate the composition of your board in these areas:

deficient poor fair good excellent

all relevant backgrounds and viewpoints are represented

all relevant areas of expertise are covered

all important buyer/user groups are represented

a sufficient number of potential future leaders to provide choice


How long may a board member serve without rotating off (at least temporarily)?

less than 3 years 3-4 years 5-6 years 7-8 years there is a limit, but it's greater than 8 years there is no limit

What is your opinion about the average length of service on the board?

The average length of service is too short. The average length of service is too long. The average length of service is about right.

Other than an executive committee, how many standing committees does your board have?

no standing committees 4 or fewer standing committees 5-7 standing committees 8-10 standing committees more than 10 standing committees


Other than an executive committee, which of the following board committees does your organization have?

Collections/Acquisitions Development/Annual Fundraising Development/Major Gifts Education Finance (Budget/Operations) Finance (Investment) Governance (separate from Nominating) Landscaping Marketing Nominating Planning Plant & Equipment Programming Other, please specify below:

-

--


Other than an executive committee, which of your board committees is considered most important by members of the board?

Collections/Acquisitions Development/Annual Fundraising Development/Major Gifts Education Finance (Budget/Operations) Finance (Investment) Governance (separate from Nominating) Landscaping Marketing Nominating Planning Plant & Equipment Programming Other, please specify


Other than an executive committee, which of your board committees is considered most important by the staff?

Collections/Acquisitions Development/Annual Fundraising Development/Major Gifts Education Finance (Budget/Operations) Finance (Investment) Governance (separate from Nominating) Landscaping Marketing Nominating Planning Plant & Equipment Programming Other, please specify

What is your opinion about the frequency of turnover in the position of board chair?

the board chair serves indefinitely, and that's the right approach for our organization the board chair serves indefinitely, but it would be better if we had regular turnover we have planned turnover at regular intervals, but it would be better if the board chair could serve indefinitely we have planned turnover at regular intervals, and that's the right approach for our organization


Does your organization have a written succession plan for Board leadership?

Yes No Don't know

Does your organization have a written succession plan for executive leadership?

Yes No Don't know

Does your organization have a regular systematic process for evaluating the executive(s) performance?

Yes No Don't know

Does your organization's board have a regular systematic process for evaluating the organization's governance performance?

Yes No Don't know


How many top executives are there in your organization?

One executive answers to the board, and that's as it should be. One executive answers to the board, but it would be better if there were dual leaders. Two executives answer to the board, and that's as it should be. Two executives answer to the board, but it would be better if there was a single leader.

Is any executive in your organization a voting member of the board? Should he/she be?

Yes, the executive is a voting member, and yes, I think that's appropriate. No, the executive is not a voting member, but yes, I think he/she should be. Yes, the executive is a voting member, but no, I don't think that's appropriate. No, the executive is not a voting member, and no, I don't think he/she should be.


Please grade your organization's performance in these areas of leadership succession and development:

don't know poor fair good excellent

succession planning for board leadership

a regular businesslike process for winnowing out board members who are unproductive or a bad fit

regular opportunities for education of board members

regular performance reviews for the board

the opportunity for all board members to give input into the selection/hiring of the executive(s)

regular performance reviews for professional leaders

the opportunity for all board members to give input to performance reviews for the executive(s)

regular opportunities for professional development for the executive(s)


The questions in this section are about the relationship between the board of directors and the executive(s) in your organization.

Please give up to five words that best characterize the relationship between the executive(s) and the board of directors in your organization.

-----

In some organizations the executive(s) is/are regarded by the board as their leader. In other organizations the executive(s) is/are expected to implement board decisions. Where is your organization along this spectrum?

executive(s) as implementer(s)

executive(s) as leader(s)


The questions in this section are about your organization's overall direction, including its mission and strategy.

How often do you refer to your organization's written mission statement (to refresh your memory, use it to help make a decision, bring it up in conversation, or think about its meaning)?

daily weekly monthly annually almost never

Does your organization have a written mission statement?

Yes No

If you have a written mission statement, does it describe your organization's purpose (the impact it wants to have in the world)?

Yes No


If you have a written mission statement, does it describe your organization's core values (the principles it will not compromise)?

Yes No

What are your organization's core values?

-----

If you have a written mission statement, does it set a big over-arching goal?

Yes No

If your organization has set a big over-arching goal, how much of a stretch will it be to accomplish it (on a spectrum between "it's a sure thing" to "it may be beyond reach")?

sure thing

may be beyond reach


In your opinion, what proportion of your organization's board members are aware of its purpose and core values?

0% 25% 50% 75%

100%

Can you recall an instance or instances in which your organization endured criticism, lost support, or passed up a substantial opportunity in order to adhere to the purpose and core values?

Yes No

-If yes, please describe briefly:

To what extent does the mission statement motivate you in your work on your organization's behalf?

The mission statement is inspirational. I agree with the mission statement, but it doesn't really describe the ways in which my organization is important to me. My motivation comes from something other than the organization's mission


Does your organization have a written strategy statement?

Yes No Don't know

If you have a written strategy statement, does it specify your organization's competitive advantage?

Yes No Don't know

What is your organization's competitive advantage? (A single phrase or sentence should suffice.)

If you have a written strategy statement, does it specify your organization's scope in terms of geography, segment, and vertical integration?

Yes No Don't know


To what extent does your organization evaluate the fit of a gift/grant, program, project, or other opportunity with its strategy before deciding to proceed?

Always Usually Sometimes Rarely Never

In your opinion, is your organization driven primarily by strategy or by opportunity?

Highly strategic Somewhat strategic Equally strategic and opportunistic Somewhat opportunistic Highly opportunistic

Generally there are two choices of direction when an organization reaches a strategic "fork in the road." Which of these views of your organization's situation is the correct one to guide its next phase of development?

We are not at a fork in the road. We should maintain the present direction, raising more money to support it if we need to.

We should broaden our activities to appeal to a broader range of buyers and users, even if it means a somewhat less focused and specific public identity.

We should focus more selectively on the activities that best represent our public identity, even if it means that the organization will get somewhat smaller.


The questions in this section are about how your organization makes important decisions.

Please rank the following in order of their influence over important decisions. (Click the button in column 1 under the most influential person or group, the button in column 2 for the next most influential person or group, and so forth until you've clicked a button in all eight columns.)

1 2 3 4 5 6 7 8 full board executive committee relevant board committee board chair president senior staff other than the president major donors non-official faction of the board

In what ways, if any, should the distribution of influence over important decisions change?


What is your opinion about the composition of the board with respect to the range of the members' perspectives?

The composition of the board is too homogeneous; other useful perspectives are missing.

The range of board members' perspectives is about right.

The composition of the board is too heterogeneous; too many perspectives slow us down.

In your opinion, what proportion of your organization's board members agree with the organization's purpose?

0% 25% 50% 75%

100%

In your opinion, what proportion of your organization's board members share its core values?

0% 25% 50% 75%

100%


Please rate the atmosphere for your work on behalf of your organization in the following areas:


confidential matters remain confidential disagreements stay inside the room information is shared with all who need it our decision making processes are transparent decision makers do what's best for the organization, putting their other interests aside we deal with problems in a timely way, rather than letting them fester policies and procedures are well understood communication is clear and timely expectations of me are clear I am encouraged to take initiative

I am able to get things done without a lot of red tape

What are the greatest sources of personal satisfaction you get from working on behalf of your organization?

-----


Are there any aspects of working on behalf of your organization that you find dissatisfying or annoying?

-----

The questions in this section are about the information that is available to your organization's decision makers.

Board members and executives review a formal analysis of your organization's competitive environment:

More often than annually Annually Less often than annually Rarely Never


The area of most serious concern in your organization's competitive environment is:

too few buyers and users to support our field the buyers and users don't have enough time and money to support our field too much time and money is diverted away from our field by other kinds of activity (substitutes) too much similarity (insuffiecient differentiation) among organizations in our field too many new organizations entering our field too few suppliers don't know

Please rate the extent to which your organization's important decisions are based on:


the collective knowledge of all board members and executives

systematically collected data about the impact of your programs

timely and informative operational and financial reports

thorough knowledge of the values and characteristics of your organization's field

thorough knowledge of the economic and legal conditions in your organization's field


The questions in this section are about the effectiveness of top-level implementation in your organization.

Please rate your organization's performance in the following areas:


quality of programs

number/extent of programs

anticipating and planning for change

managing change productively

board giving

board fundraising from others

managing resources efficiently

making the best use of assets

communicating important decisions about organizational direction to internal and external stakeholders communicating about programs with audiences and public

communicating about our impact with donors and the public

managing its relationships with alliance partners

crisis response


How old is your organization: Less than 10 years old: 1025 years old: 2650 years old: 5175 years old: 76100 years old: More than 100 years old: top five: top ten: top twenty: lower than the top twenty: top five_2: top ten_2: top twenty_2: lower than the top twenty_2: I dont contribute: fill_15: fill_16: fill_17: pessimistic: pessimisticRow1: To what extent are you optimistic that your organization will address these concerns effectivelyRow2: pessimisticRow2: To what extent are you optimistic that your organization will address these concerns effectivelyRow3: pessimisticRow3: To what extent are you optimistic that your organization will address these concerns effectivelyRow4: optimistic: How big is your board of directors: 20 or fewer members: 2130 members: 3140 members: 4150 members: 5160 members: more than 60 members: The board is too large: The board is too small: The board is about the right size: No opinion: Never: 12 times a year: 34 times a year: 56 times a year: 710 times a year: more than 10 times a year: The board meets too often: The board doesnt meet often enough: The frequency of board meetings is about right: real work done in committee meetings: real work done in committee meetingsRow1: In some organizations the board meetings are where the real work gets done In other organizations the real work gets done in committees and board meetings are used for formal approvals Where is your organization along that spectrumRow2: real work done in committee meetingsRow2: In some organizations the board meetings are where the real work gets done In other organizations the real work gets done in committees and board meetings are used for formal approvals Where is your organization along that spectrumRow3: real work done in committee meetingsRow3: In some organizations the board meetings are where the real work gets done In other organizations the real work gets done in committees and board meetings are used for formal approvals Where is your organization along that spectrumRow4: real work done in board meetings: Yes: No: Dont know: Please evaluate the composition of your board in these areas: all relevant backgrounds and viewpoints are represented: all relevant backgrounds and viewpoints are represented_2: all relevant areas of expertise are covered: all relevant areas of expertise are covered_2: all important buyeruser groups are represented: all important buyeruser groups are represented_2: a sufficient number of potential future leaders to provide choice: a sufficient number of potential future leaders to provide choice_2: less than 3 years: 34 years: 56 years: 78 years: there is a limit but its greater than 8 years: there is no limit: The average length of service is too short: The average length of service is too long: The average length of service is about right: no standing committees: 4 or fewer standing committees: 57 standing committees: 810 standing committees: more than 10 standing committees: CollectionsAcquisitions: DevelopmentAnnual Fundraising: DevelopmentMajor Gifts: Education: Finance BudgetOperations: Finance Investment: Governance separate from Nominating: Landscaping: Marketing: Nominating: Planning: Plant Equipment: Programming: Other please specify below: fill_16_2: fill_17_2: fill_18: Other than an executive committee which of the following board committees does your organization haveRow15: CollectionsAcquisitions_2: DevelopmentAnnual Fundraising_2: DevelopmentMajor Gifts_2: Education_2: Finance BudgetOperations_2: Finance Investment_2: Governance separate from Nominating_2: Landscaping_2: Marketing_2: Nominating_2: Planning_2: Plant Equipment_2: Programming_2: Other please specify: CollectionsAcquisitions_3: DevelopmentAnnual Fundraising_3: DevelopmentMajor Gifts_3: Education_3: Finance BudgetOperations_3: Finance Investment_3: Governance separate from Nominating_3: Landscaping_3: Marketing_3: Nominating_3: Planning_3: Plant Equipment_3: Programming_3: Other please specify_2: the board chair serves indefinitely and thats the right approach for our organization: the board chair serves indefinitely but it would be better if we had regular turnover: we have planned turnover at regular intervals but it would be better if the board chair could serve indefinitely: we have planned turnover at regular intervals and thats the right approach for our organization: Yes_2: No_2: Dont know_2: Yes_3: No_3: Dont know_3: Yes_4: No_4: Dont know_4: Yes_5: No_5: Dont know_5: One executive answers to the board and thats as it should be: One executive answers to the board but it would be better if there were dual leaders: Two executives answer to the board and thats as it should be: Two executives answer to the board but it would be better if there was a single leader: Yes the executive is a voting member and yes I think thats appropriate: No the executive is not a voting member but yes I think heshe should be: Yes the executive is a voting member but no I dont think thats appropriate: No the executive is not a voting member and no I dont think heshe should be: succession planning for board leadership: a regular businesslike process for winnowing out board members who are unproductive or a bad fit: regular opportunities for education of board members: regular performance reviews for the board: the opportunity for all board members to give input into the selectionhiring of the executives: regular performance reviews for professional leaders: the opportunity for all board members to give input to performance reviews for the executives: regular opportunities for professional development for the executives: fill_9: fill_10: fill_11: fill_12: fill_13: executives as implementers: executives as implementersRow1: In some organizations the executives isare regarded by the board as their leader In other organizations the executives isare expected to implement board decisions Where is your organization along this spectrumRow2: executives as implementersRow2: In some organizations the executives isare regarded by the board as their leader In other organizations the executives isare expected to implement board decisions Where is your organization along this spectrumRow3: executives as implementersRow3: In some organizations the executives isare regarded by the board as their leader In other organizations the executives isare expected to implement board decisions Where is your organization along this spectrumRow4: executives as leaders: daily: weekly: monthly: annually: almost never: Yes_6: No_6: Yes_7: No_7: Yes_8: No_8: What are your organizations core values: fill_14: fill_15_2: fill_16_3: fill_17_3: fill_18_2: Yes_9: No_9: sure thing: sure thingRow1: If your organization has set a big overarching goal how much of a stretch will it be to accomplish it on a spectrum between its a sure thing to it may be beyond reachRow2: sure thingRow2: If your organization has set a big overarching goal how much of a stretch will it be to accomplish it on a spectrum between its a sure thing to it may be beyond reachRow3: sure thingRow3: If your organization has set a big overarching goal how much of a stretch will it be to accomplish it on a spectrum between its a sure thing to it may be beyond reachRow4: may be beyond reach: 0: 25: 50: 75: 100: Yes_10: No_10: If yes please describe briefly: The mission statement is inspirational: I agree with the mission statement but it doesnt really describe the ways in which my organization is important to me: My motivation comes from something other than the organizations mission: Yes_11: No_11: Dont know_6: Yes_12: No_12: Dont know_7: What is your organizations competitive advantage A single phrase or sentence should sufficeRow1: Yes_13: No_13: Dont know_8: Always: Usually: Sometimes: Rarely: Never_2: Highly strategic: Somewhat strategic: Equally strategic and opportunistic: Somewhat opportunistic: Highly opportunistic: We are not at a fork in the road We should maintain the present direction raising more money to support it if we need to: We should broaden our activities to appeal to a broader range of buyers and users even if it means a somewhat less focused and specific public identity: We should focus more selectively on the activities that best represent our public identity even if it means that the organization will get somewhat smaller: full board: executive committee: relevant board committee: board chair: president: senior staff other than the president: major donors: nonofficial faction of the board: In what ways if any should the distribution of influence over important decisions changeRow1: The composition of the board is too homogeneous other useful perspectives are missing: The range of board members perspectives is about right: The composition of the board is too heterogeneous too many perspectives slow us down: 0_2: 25_2: 50_2: 75_2: 100_2: 0_3: 25_3: 50_3: 75_3: 100_3: confidential matters remain confidential: disagreements stay inside the room: information is shared with all who need it: our decision making processes are transparent: decision makers do whats best for the organization putting their other interests aside: we deal with problems in a timely way rather than letting them fester: policies and procedures are well understood: communication is clear and timely: expectations of me are clear: I am encouraged to take initiative: I am able to get things done without a lot of red tape: fill_12_2: fill_13_2: fill_14_2: fill_15_3: fill_16_4: fill_6: fill_7: fill_8: fill_9_2: fill_10_2: More often than annually: Annually: Less often than annually: Rarely_2: Never_3: too few buyers and users to support our field: the buyers and users dont have enough time and money to support our field: too much time and money is diverted away from our field by other kinds of activity substitutes: too much similarity insuffiecient differentiation among organizations in our field: too many new organizations entering our field: too few suppliers: dont know: the collective knowledge of all board members and executives: systematically collected data about the impact of your programs: timely and informative operational and financial reports: thorough knowledge of the values and characteristics of your organizations field: thorough knowledge of the economic and legal conditions in your organizations field: Please rate your organizations performance in the following areas: quality of programs: numberextent of programs: anticipating and planning for change: managing change productively: board giving: board fundraising from others: managing resources efficiently: making the best use of assets: undefined: communicating about programs with audiences and public: communicating about our impact with donors and the public: managing its relationships with alliance partners: crisis response:

Governance Self-Evaluation Worksheet · Governance Self-Evaluation Tool v4.25.12 Using this tool: 1. This tool is intended for use in conjunction with "Mission Driven Governance,"

Documents