Appendix
Tools and Resources
Tools
Team and Group Dynamics
Tuckman and Jensen (1977) used a rather limited research study to describe a five-part model of team building that—while not necessarily predictive or linear in all cases—has become enormously popular with both educators and practitioners. The stages of forming, storming, norming, performing, and adjourning capably describe the challenges that team members face as they learn to work together. Boards of directors, similarly, must learn the elements of good team dynamics. Although the Tuckman model is presented here in stage sequence, it is important to note that teams will work on all elements of all stages and sequential movement may occur both in a forward (developmental) and backward (regressive) direction.
Forming
During the forming stage of a team, there is an orientation to the model being used, identification of customers, and analysis of customer needs. The team leader and team facilitator also work to resolve dependency issues through team building activities. The overall emphasis is one of awareness. The stage concludes when team members understand and are committed to the goal of continuous quality improvement (commitment) and relate to each other in a friendly, concerned, and professional manner (acceptance).
Storming
Conflict is the general theme of the storming stage. Defining and measuring a process to improve provides an early opportunity for different perspectives and alternatives to emerge. Task resistance and relationship hostility are common. These behaviors and attitudes will not always be loud and obvious; resistance and hostility may appear as silence, missed meetings, reduced focus, or stubbornness. The second stage ends when team members acknowledge and confront conflict openly (clarification) and listen with understanding to others (belonging).
Norming
By the beginning of the norming stage, the process for continuous improvement has been selected, stated in measurable terms, and measured prior to any attempt to improve it. The general theme of cooperation appears as open communication increases concerning the task and team relationships become more cohesive. Teams explore the process more thoroughly using a variety of quality tools (i.e., Pareto charts, fishbone diagrams, flowcharts, etc.) in order to gain a deeper understanding before developing solutions. Frequently teams will encounter additional conflicts during this stage and regress to storming behavior that must then be resolved for movement into the norming stage again. The norming stage concludes when team members include others in the decision-making process (involvement) and recognize and respect individual differences (support).
Performing
In the performing stage, the team works interdependently and engages in problem solving. The productivity theme involves the development of a solution and a plan of implementation that includes a measurement of progress toward the goal of improving a process. This stage ends when team members contribute ideas and solutions to the problem (achievement) and value the contributions and ideas of others (pride).
Adjourning
The final stage of adjourning brings the team to closure and results in a theme of separation. The team terminates the task of process improvement and disengages from the relationships formed during the life of the group. Celebration and summarization, as well as some publicity concerning task accomplishment, are common activities during this time. This stage concludes when team members recognize and reward team performance (recognition) and encourage and appreciate comments about team efforts (satisfaction).
| Stages of Team Development | |||
| Stage | Potential Behaviors | Feelings | Potential Productivity |
| Forming | Attempts to define the task Attempts to determine team norms Focus on the “self” as opposed to the team Polite High-level discussions Team members testing the leader Complaints Discussions about why “it” won't work |
Nervous Pride for being selected Excitement Optimism Fear Anxiety |
Low |
| Storming | Arguing Differences of opinion Defensiveness Quietness Interruptions Team members not listening Round-and-round discussion |
Resistance Fluctuations and shifts in attitude toward the team or task Frustration |
Low |
| Norming | Attempts to reduce conflict More personal sharing and confiding in each other Team norms are respected A shift in the focus from the self to the team |
A sense of team spirit camaraderie Acceptance as a team member Relief that work will get done |
Medium |
| Performing | Individuals begin looking at their behaviors and self-adjusting Team solves problems together Supportiveness and attachment within the team |
Satisfaction with work Energized Sense of belonging |
High |
| Adjourning | Closure Celebration |
Sadness Pride of accomplishment |
|
| Source: B. W. Tuckman and M. A. Jensen, “Stages of Small Group Development Revisited,” Group and Organizational Studies 2, no. 4 (1977): 419–427. Reprinted by permission of SAGE. | |||
Team Ground Rules
Ground rules are important because:
- Behaviors are a significant component that create team culture.
- Norms bring context in which to discuss productive and nonproductive group behaviors.
- Common understanding and agreement up front of how the team will behave together can prevent misunderstandings, conflict, and disagreements.
Team Ground Rules Worksheet
| Ground Rule | What does the behavior look like? | How will we ensure that it happens? |
| Source: Elise Yanker, Collaborative Consulting, Inc. | ||
Sample Communications Guidelines
- Today's gathering is to help us explore and develop consensus about where we are and where we are going.
- We intend for this gathering to help strengthen relationships within the board team, reconfirm our commitment to NAME, and build our understanding of our governance.
- We will agree up front that we may not all always agree with everything by the end of today's process or beyond. But we also agree up front that our common desire, as members of a governance team and as volunteers who guide and provide support for NAME, that we will commit to finding a way for consensus to emerge and, that once consensus has been developed, such consensus will be supported by the entire board to each other, to _________________, and to the public.
- We move anything that will require future discussion by the board to a “parking lot” and charge NAME's board president to follow up as needed and on a timely basis by placing these on future board meeting agendas.
- I will turn off my cell phone and agree not to use it during our gathering today.
- I will speak in the first person and from personal experience.
- I may share my first-person experience only at the appropriate time.
- I will take a moment of silence if I feel disturbed. This is to find my own inner peace.
- I will work to avoid judging or arguing.
- No Zingers. Zingers are sideways communications in an attempt to create humor that are statements that appear to be funny or friendly teasing, that are sarcastic, or that are self-deprecating. The conscious may see this just as humor but the subconscious sees this as an “ouch.” This is because your subconscious cannot make the difference between fact and fantasy. When there is a Zinger, there is no need for the group to discuss it. Someone should just say, “Zinger” and then everyone can clear the air by saying together, “Out of Here,” by gesturing hands over the shoulders.
- I listen actively to whomever is speaking, sending my respect and compassion. This includes a commitment that I will not interrupt other speakers, I will not conduct other tasks while listening, and I will work to ensure my understanding of what is being said. If needed, I will take notes to later ask clarifying questions.
- I allow one person to speak at a time, without interruption.
- I do not engage in side conversations or ask questions of any other group member when someone else is speaking.
- When I want to speak, I agree to raise my hand and wait to be acknowledged by the designated facilitator.
- I will not leave the room while someone else is making a point and will only leave the room if absolutely necessary. This is so that I can have the same understanding as the rest of the group by hearing and participating in all discussion.
- I respect the confidentiality of what people may share and agree to honor it.
- I recognize that I am not here to learn how to exert my power and personal perspectives to change others. I am here to listen, try to understand other viewpoints, share my viewpoints, and work with this team to find the most positive and constructive path forward to develop consensus for governance, which is part of my fiduciary responsibility as a nonprofit board member.
- There are times when the guidelines are not followed by the group. I am free to mention this to the group. I will raise my hand and say, “I am noticing that the communication guidelines are not being followed.”
Source: Adapted from Gerald G. Jampolsky, PhD
Board Member Agreement
As a Board member serving on behalf of the NAME OF ORGANIZATION, my signature below indicates my highest commitment to our patients and community, a passion for the stated mission, the agreement to ensure that the business of NAME OF ORGANIZATION is conducted with the highest level of integrity, and my willingness to be an enthusiastic, involved, and positive Board team player.
As a reminder, by agreeing to serve on the board of a nonprofit organization, a board member owes a fiduciary duty to the nonprofit he or she is serving. Board members are required to take off their personal or “constituent member” hat and put on their “board member” hat. In performing his or her duties, a director must act in the best interests of the nonprofit organization for whom he or she is serving (i.e., work to fulfill the nonprofit's tax-exempt purposes and maintain its tax-exempt status).
In general, the duties that a director owes the nonprofit are:
Duty of Loyalty
As a Board member and representative of NAME OF ORGANIZATION, I understand that I am required to act solely in the best interests of NAME OF ORGANIZATION rather than in my own interests, or those of my personal and professional associates. One important aspect of the duty of loyalty is to retain the confidentiality of information that is explicitly deemed confidential by NAME OF ORGANIZATION, as well as information that appears to be confidential from its nature or matter. The duty of loyalty also encompasses a Board member's obligation to avoid conflicts of interest.
Duty of Obedience
As a Board member and representative of this Board, I agree to refrain from engaging in any acts that may compromise NAME OF ORGANIZATION's charter and bylaws, that are against the law, or that are prohibited or beyond the scope of NAME OF ORGANIZATION's power.
Duty of Care
As a Board member and representative of this Board, I agree to demonstrate the level of attention required of a Board member in all matters related to NAME OF ORGANIZATION, i.e., the “duty to be informed.” I understand that as a Board member, I have the responsibility to be informed about an issue before making a business decision relating to the issue. I will fulfill the duty of care if, prior to making a decision, I consider all material information reasonably available to me. To fulfill the duty of care, I will follow deliberate procedures and consult with appropriate committees, officers, and administrators of NAME OF ORGANIZATION as appropriate, or other outside experts in making corporate decisions. I understand that duty of care extends to the oversight of financial management obligations.
In addition, my signature below indicates my understanding of and willingness to comply with the following during my term(s) of service:
Orientation and the Basic Understanding of the Mission for New Members
I understand that in order to be an effective and productive Board member, it is my responsibility to have a thorough knowledge of NAME OF ORGANIZATION. By agreeing to serve on this Board, attendance at a formal orientation to NAME OF ORGANIZATION and Board membership is required prior to my first meeting.
Continuing Education
I understand that in order to be an effective and productive Board member, it is my responsibility to participate in board leadership continuing education provided by board development or leadership training programs with expertise in trustee education training. My certificates of attendance will be kept on file. I understand that continuing education may be provided at Board meetings and special sessions, such as retreats, and that I should also seek out additional opportunities as they arise. By agreeing to serve on this Board, I will participate fully in continuing education as requested and needed.
Board Meeting Attendance
I understand the expectation that all Board members will attend all Board meetings (highly preferably in person, but at times it may be telephonically) and to be an active participant. Additionally, it is my duty to fully understand and engage in the roles and responsibilities of this Board as a member. It is clear that I cannot miss more than the number of meetings stated in the by-laws each year, or I may automatically be removed from the Board.
Committee Meeting Attendance
I understand that because part of my role on this Board is to provide critical input and support through a participative committee structure, I am expected to attend all committee meetings upon which I serve (highly preferably in person, but at times it may be telephonically). Additionally, it is my duty to fully understand and engage in the activities and responsibilities of Committees as a member of this Board. I also understand and accept that my failure to be an active participant may result in my removal from the Board.
Communications
I understand the expectation that all Board members will be responsive to emails and voicemails in a timely manner.
Personal Giving
I understand that my personal giving sends an important message to the community of my belief in NAME OF ORGANIZATION as a worthy investment and that it demonstrates in a concrete manner my commitment to this organization. I will also open doors to affluence or influence for the CEO, Board members, or its Executive Director as often as possible or at a minimum as stated by the Governance Committee in order to develop the long-term relationships necessary to provide NAME OF ORGANIZATION with increased resources.
Ambassadorship and Advocacy
I understand that because Board members are among the most natural and primary ambassadors and advocates of the organization for which they serve, attendance at NAME OF ORGANIZATION and community events is an important articulation of those roles. As a member of this Board, I agree to annually attend at least as stated by the Governance Committee organizational functions per year and attend as many outside events as possible or a minimum of as stated by the Governance Committee to represent this organization in my community, business, and social activities. I will also serve as an advocate through an awareness of the legislative, ethical, cultural, and social issues that impact our mission. I will provide staff with a record of my attendance at such events.
Confidentiality
Access to information as required by law notwithstanding, I understand that Board members are often privy to information that is deemed confidential to protect the integrity of business planning and implementation. As a member of this Board, I understand that I am not an official spokesperson for the organization (unless specifically delegated by the Board), I will honor the confidentiality of information learned within the confines of Board or committee meetings, I will not distribute any organization documents other than public relations materials to anyone, and will return documents upon request. I will sign a confidentiality agreement annually signifying my understanding of and agreement with this condition and agree that my violation of the confidentiality of organizational documents or knowledge will result in my immediate removal from the Board.
Conflict of Interest
I agree to sign a conflict of interest statement annually. In addition, between the times that I sign the conflict of interest statement, I agree to notify NAME OF ORGANIZATION immediately should a real, potential, or perceived conflict of interest arise, as soon as it may arise.
- Agreed this _________ day of ____, 20__ as a member of theNAME OF ORGANIZATION Board of Directors.
- __________________________________________________
- Signature of Board Member:
- __________________________________________________
- Name of Board Member (print)
- __________________________________________________
- Signature of Governance Committee Chair
- __________________________________________________
- Name of Governance Committee Chair (print)
Source: Katha Kissman.
Board Orientation
An emerging best practice is the formal orientation of the new members of the board:
- To the organization:its programs, history, pressing issues, finances, facilities, organization chart
- To the board:board member responsibilities, committee structure, bylaws, recent minutes, and list of board members
A good Board Leadership Manual for incoming board members is the strong foundation to a formal orientation process. The Manual should be comprehensive and contain the basic documents and most recent strategic plan, which are needed to fully acquaint and inform new board members of basic organizational information so that they can perform their fiduciary duties. It is recommended that the Board Leadership Manual also include:
- A copy of the organization's most recent IRS 990 filing
- The most recent audited financial statement
- Current and past year organizational budgets
- Copies of the past year board and committee meeting minutes
- Any other currently relevant documents
- All materials dated with revision dates
- Procedure for updating the board manual
It is also recommended that the organizations consider the development of a password-accessed board portal on its website. In this “board members only” section, all organizational documents (by-laws, meetings schedules, calendars of organizational events, can be posted (and easily updated by staff as necessary) via .pdf files.
In a flatter, more responsive organization, it is not just the CEO who needs feedback on how things are going and what needs fixing. An information system should be able to provide any decision makers, regardless of title, the right information at the right time. Executive Information System (EIS) really means “Everybody's Information System. (Lynch and Cross 1995)
Such a board portal can include tabs covering such information as:
- Home: Basic information—board and staff member contact information, e-mail links, calendar of future meetings and organizational events
- Governance: Bylaws, articles of incorporation, conflict of interest policy, ethics policy, whistleblower policy, board terms, other policies and procedures, strategic plan, duties of directors
- Financial: Financial statements, investment policies, current overview of investments, 990s
- Meetings: All materials for upcoming meetings posted 10 business days in advance of the meeting
- Committees: Committee charters, board member assignments, reports
- Programs: Overview of programs, staff reports, brochures and public relations materials
It is also recommended that organizations provide incoming board members with a well-planned, in-person presentation by other board members and staff for formal orientation. BoardSource is seeing a trend from the informal to formal orientation and onboarding of new board members.
Working as a consultant and researcher with more than 70 not-for-profits, I have found that new board member orientation can strengthen efforts to recruit board members and keep current ones active. Individuals prefer joining a board that helps them understand the organization's mission and challenges. Orientation programs can help board members feel more confident about governing, more empowered to oversee the not-for-profit strategic direction. Responding to the interests of new board members increases their board participation, which in turn results in a more engaged board that is capable of accomplishing more for the organization. (Marabella 2009)
A formal orientation process not only cuts the learning curve down; it also helps to build relationships and a team sensibility, which is a desired aspect of any governing board. Formal orientation also helps to prevent inadvertent misunderstandings about organizational direction and may prevent troublesome behaviors from resulting.
The following board orientation chart, taken from the BoardSource publication The Board Building Cycle, provides an outline for a basic board orientation. It is strongly recommended that current board members be involved in this entire orientation process as a refresher and review. The information presented at the orientation should be honest and the presentations should not be overwhelming. The orientation should take place at the organization's headquarters and include key staff. The Governance Committee should follow up with new board members after the orientation to answer any lingering questions.
Board Orientation Chart
| About the Organization | ||
| Information | Issues | Presentation Options |
| Program | Offer new board members a feel for the work of the organization—what it does, whom it serves, what difference it makes—to get them emotionally and intellectually connected and motivated. |
|
| Finances | Help new board members become informed about where money comes from, how it is spent, and the state of the organization's financial health, including their role in fundraising. |
|
| History | Provide sufficient knowledge about the past so that the present makes sense. Also, help new board members see their own participation as part of the organization's ongoing story. |
|
| Strategic direction | Present a framework for new members to participate effectively. Clarify mission, vision, organizational values, and goals that inform organizational actions. |
|
| Organizational structure | Help new board members understand who does what and lines of accountability. |
|
| Board roles | Ensure that new members understand the roles of the board. |
|
| Board member responsibilities | Ensure that new board members understand their own responsibilities as board members. |
|
| Board operations | Help new board members understand how the board operates so that they may participate effectively. |
|
| Board members | Facilitate new board member integration with other members. |
|
| Skills | Instruct new members on how to read a financial statement. |
|
| Note: Consider including current board members in the entire orientation process as a refresher and review. © 2000, Sandra R. Hughes, Berit M. Lakey, and Marla J. Bobowick, The Board Building Cycle. | ||
Source: Reprinted with permission of BoardSource.
Board of Directors' Meeting Evaluation Form
The purpose of this form is to evaluate overall effectiveness of the meeting process. Please rank the following items on a scale of 1–5 where a “1” does not meet your expectations and a “5” exceeds your expectations. This examination will demonstrate where changes can be made to increase productivity.
| Exceeds Expectations | Meets Expectations | Below Expectations | |||
| The agenda is clear and sensible, supported by the necessary documents, and circulated prior to the meeting. | 5 | 4 | 3 | 2 | 1 |
| The Board Packet was provided to all meeting participants in a timely manner. | 5 | 4 | 3 | 2 | 1 |
| All board members were present. | 5 | 4 | 3 | 2 | 1 |
| All board members were prepared to discuss materials sent in advance. | 5 | 4 | 3 | 2 | 1 |
| Reports were thorough, clear, and contained needed information. | 5 | 4 | 3 | 2 | 1 |
| Discussions were on target. | 5 | 4 | 3 | 2 | 1 |
| Directors were prepared and involved. | 5 | 4 | 3 | 2 | 1 |
| We avoided getting into administrative/management details. | 5 | 4 | 3 | 2 | 1 |
| Diverse opinions were expressed and issues were dealt with in a respectful manner. | 5 | 4 | 3 | 2 | 1 |
| The chair guided the meeting effectively and members participated responsibly. | 5 | 4 | 3 | 2 | 1 |
| Appropriate board and staff assignments were made; next steps were identified and responsibility assigned. | 5 | 4 | 3 | 2 | 1 |
| The board focused on issues of strategy and policy. | 5 | 4 | 3 | 2 | 1 |
| Objectives for the meeting were accomplished. | 5 | 4 | 3 | 2 | 1 |
| The meeting began and ended on time. | 5 | 4 | 3 | 2 | 1 |
| The meeting room was conducive to work. | 5 | 4 | 3 | 2 | 1 |
| We enjoyed being together. | 5 | 4 | 3 | 2 | 1 |
Please provide further feedback/suggestions here:
______________________________________________________
Source: Adapted from materials written by Lou Benson, PhD and BoardSource's The Board Building Cycle.
Resources
ASAE
ASAE University is a trusted source of vetted, essential information, containing programs in the functional areas of association management, as well as leadership and governance. ASAE University face-to-face programs, certificate programs, and online courses are designed for CEOs, senior and midlevel staff, and future leaders—offered at levels to match knowledge and experience and according to ASAE learning principles with specific content for varied needs, from skilled faculty and leading experts in association/nonprofit management. For more information: www.asaecenter.org/education.
ASAE's bookstore, offering published resources, is at www.asaecenter.org/bookstore, and many models and samples pertinent to association management, accessible by ASAE members, can be found by searching “models and samples” from ASAE's home page at www.asaecenter.org.
The ASAE Foundation is a source of ongoing research in the field, including the study behind this book: www.asaecenter.org/foundation.
BoardSource Learning Center and Store
BoardSource's Learning Center includes a bookstore, hundreds of downloadable resources, and a calendar of live and online training programs on how good governance can shape an organization's missions, finances, and strategic direction.
https://www.boardsource.org/eweb/dynamicpage.aspx?webcode=BDSOnlineStoreLanding
Policy Governance
Policy Governance® is an integrated set of concepts and principles that describes the job of any governing board. It outlines the manner in which boards can be successful in their servant-leadership role, as well as in their all-important relationship with management. Unlike most solutions to the challenge of board leadership, its approach to the design of the governance role is neither structural nor piecemeal, but is comprehensively theory based. The model covers all legitimate intentions of corporate governance codes (including Sarbanes-Oxley), but in a far more comprehensive, theory-based manner. There are no royalties or license fees for use of the model; it is free to all. Service-mark protection is intended only to preserve the complete accuracy of the model.
CompassPoint Workshops
CompassPoint believes that the people who work and volunteer in the nonprofit sector should be invested in and cultivated. In particular, organizations that invest in their leadership, management, and networking capacity are more likely to sustain impact over time and successfully advance their mission. Through their workshop program they work with thousands of nonprofits to support their staff development and provide them with the knowledge and skills needed for success on topics from fundraising and financial management to business planning and board governance.
IFC Global Corporate Governance Forum
While tailored for corporate entities, this organization may be beneficial to nonprofit and association governing boards.
Organizational Websites
- ASAE—The Center for Association Leadership: www.asaecenter.org
- Association Forum of Chicagoland: www.associationforum.org
- Association of Governing Boards of Universities and Colleges: www.agb.org/
- BoardSource: www.boardsource.org
- Case Western Reserve University Weatherhead School of Management: http://appreciativeinquiry.case.edu/
- Council on Foundations: www.cof.org
- Donors Forum of Chicago: www.donorsforum.org
- The Ethics Resource Center: www.ethics.org
- Independent Sector: www.independentsector.org
- National Council of Nonprofit Associations: www.ncna.org
- The National Human Services Assembly: www.nassembly.org/nassembly
- Society of Human Resources Management: www.shrm.org
- Panel on the Nonprofit Sector “Principles of Good Governance and Ethical Practice”: www.independentsector.org/principles_guide_summary
Also see various individual states' nonprofit associations.