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The Monitoring Process 2013 - Part 2


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Evaluator: ________________________________________
Send to Board President by: __________________________

Policy Governance Executive Limitations Evaluation Form

A tool to be used by individual board members as they evaluate the monitoring reports designated in Board-CEO Linkage Version 1

Policy being monitored:
(Insert actual policy)

1. Was this report submitted when due?
Yes
No
2. Did the report lay out the CEO’s interpretation of the policy?
Yes
No
3. Is the interpretation justified?
Yes
No
4. Was I convinced that the interpretation is justified and reasonable?
Yes
No
5. Did the interpretation address all aspects of the policy?
Yes
No
6. Does the data show compliance with the CEO’s interpretation of our policy?
Yes
No

Comments regarding further policy development:

1. Is there any area regarding this policy that you worry about that is not clearly addressed in existing policy?

______________________________________________________________________

______________________________________________________________________

2. What policy language would you like to see incorporated to address your worry?

______________________________________________________________________

______________________________________________________________________

______________________________________________________________________

Evaluator: ________________________________________
Send to Board Chair by: __________________________

Policy Governance Executive Limitations Evaluation Form For Each Policy Level and Item in the Report: (check mark for yes, question mark for undecided, blank if no) Version 2

Questions

Operational definition? What look like, how know working, what target?

Comfortable that it is reasonable?

Data appropriate given the CEO’s operational definition?

Data shows actual achievement?

Policy Number

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

#

 

 

 

 

If no, why?
 

 

 

 

 

For the Report on this Policy as a Whole:

1. Was this report submitted when due?
Yes
No
 
2. Did the interpretation address all aspects of the policy?
Yes
No
Undecided
3. Do you individually believe this monitoring report can be approved as showing
       compliance within the interpretation of the CEO?
Yes
No
Undecided

Other Comments (including any items that you think are missing or inaccurately represented in the policy):

_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________

Options for Assessment

Interpretation:

  • Find interpretation reasonable and find data sufficient; compliance.
  • Find interpretation reasonable on all policy items except 1 or 2 lower level items; non-compliance exceptions noted
  • Find interpretation unreasonable (because…); non-compliance

Data:

  • Find data is appropriate for CEO’s interpretation and sufficient
  • Find data appropriate for CEO’s interpretation and sufficient except for 1 or 2 lower levels; non-compliance exceptions noted
  • Find data inappropriate for CEO’s interpretation and/or insufficient

Note: Keep in mind that the data provides evidence for the interpretation. If the interpretation is assessed as unreasonable, however, it does not matter what sort of data is provided. In that case, the conclusion can only be non-compliance, or possibly partial compliance if the interpretation is reasonable on all policy items except for 1 or 2 lower-level items. Likewise, if the data is inappropriate (not related to the interpretation), it does not matter what the data actually is because it does not apply to the interpretation and so is not worth looking at or judging.

Process Explanation - Two Stages to Compliance Assessment

FIRST STAGE

 

 

Interpretation

OPERATIONAL DEFINITION

1. Description reasonable and justified?

2. Measurement system and expected standard of performance (compliance) appropriate to interpretation?

SECOND STAGE

Data

1. Sufficient to meet standard defined in interpretation?

CEO Evaluation
Because the board has set every expectation it has of the CEO in policy that contains particular criteria (Ends policy for outcomes and Executive Limitations policy for operational decisions and conditions), and because it has monitored each of those policies and all of its parts through the year, it has essentially completed its evaluation. True, it has been done in discrete and focused "mini" evaluations, but if summed together it amounts to the board evaluating everything that is expected of the CEO concerning performance Your policy generally says something to this effect: performance of the CEO is made up of production of sufficient Ends as well as avoidance of violation of any Executive Limitations; CEO performance is synonymous with organizational performance.

Because of this there is practically nothing to do other than what has already been done. If the board does anything besides the individual monitoring assessment, the only likely thing remaining is to summarize the results for the year, noting any non-compliances and the status of corrections required by the board in order to detect any pattern.

A form that illustrates this is included below.

 

Sample CEO Evaluation Worksheet

[Optional] Please review and complete and return to the Board Chair by ________________.

In reviewing and summarizing the CEO’s Monitoring Reports over the year the following is found:

Concerning Ends Achievement:
Percentage of reports found in compliance: _______

Concerning staying within CEO Limitations:
Percentage of reports found in compliance: _______

If there were any out of compliance instances:

 

Yes

No

The compliance problem was corrected?

_____

_____

The correction occurred in the time agreed upon?

_____

_____

In general:

 

Yes

No

The reports were presented as scheduled.

_____

_____

The data provided focused on information relevant to proving compliance on the stated criteria

 

_____

 

_____

 

PLEASE CHECK ONE OF THE BELOW AND SIGN

I have reviewed the reports and the data above and have questions or concerns on the following issues or items:
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________

I have reviewed the following data and have no further questions or concerns.

[Optional] ______________________________________________________________
(Board Member Signature) (Date)

 

Sample Internal Reports with Operational Definitions >>