CHAPTER 5

POLICY MAKING

WHAT IS A POLICY?

            A policy is a statement of the board’s intent to guide present and future actions and decisions. Policies are broad directives establishing a course of action, guidelines for students, staff, councils, community members and the board itself. They usually specify what is required, who is responsible and to what degree. The purpose of a policy is to provide a framework for the programs and actions of board employees and board operations. A policy establishes limits on actions of those carrying out the board’s directions – think of it as a guide for discretionary action.

            A policy should:

• Balance focus with broad applicability.
• Recognize limitations, such as legal constraints and available resources.
• Direct action by answering the questions of what is to be done, why and how much.
• Assign responsibility – who is responsible and to whom, in what manner and when?
• Provide information for stakeholders, including staff, students and community.
• Address accountability. This includes monitoring, reporting and evaluating student achievement and reviewing and revising reports when necessary.
• Reflect the community’s vision.

ADVANTAGES OF WRITTEN POLICIES

            Effective board team governance encompasses a wide range of actions that fall under the broad umbrella of policy implementation. Therefore, it is crucial that key policies be translated into a written framework to promote understanding, stability, consistency and fairness.

Up-to-date and practical board-formulated and published policies give boards the following benefits:

• Helping the district build a framework supporting improved student achievement.
• Clarifying school operations and board functions for school staff, parents and citizens.
• Helping the superintendent and staff by providing a clear guide for their actions.
• Providing information, interpretation and orientation for school staff, citizens and new board members.
• Improving public relations and reducing pressures on the board from individuals and groups.
• Facilitating an orderly review of board practices.
• Giving the board a sense of direction.
• Making possible the development of more specific rules and regulations.
• Improving efficiency by delineating responsibilities, duties and working relationships.

LEGAL REQUIREMENTS

            Not only are written policies a good administrative practice, but they are required of school boards by Kentucky law, which states that each board shall have on file at its office policies relating to the following areas:

• Pupil transportation.

• Discipline and conduct of pupils.
• Limitations or restrictions on use of school facilities.
• Conduct of board meetings, including policies on the calling of executive sessions.
• Personnel matters that apply to certified employees, including evaluation, fringe benefits, salary schedules, non‑classroom duties, professional growth of staff, and pupil-teacher ratio.
• Selection of textbooks and instructional materials.
• Expenditures and accounting for school funds, including all special funds.
• School‑based decision-making.
• School safety and student discipline.

            The board’s policies cover areas within its discretion and those not otherwise required by state law or regulations. They must be updated annually and are public records.

POLICY AND PROCEDURE: THE DISTINCTION

            New board members are sometimes confused by the terms policy and procedure. Policy-making means not only developing policies, but also providing the means by which policies are carried out. A policy is a statement that describes an objective to be met. Policy statements may be specific or broad. The ideal policy statement is one broad enough to include all (or most) cases likely to occur, yet specific enough to apply to a particular situation. Obviously, it is difficult for one statement to meet both of these criteria.

            Therefore, policy statements are usually supplemented by administrative procedures. Administrative procedures specify particular courses of action within the guidelines of policy. It is useful to distinguish between policies and procedures, to the extent that it is possible. The board can then view the policies as more basic and check proposed administrative procedures to see if they are in accord with policy. Most boards review administrative procedures, but do not formally adopt or approve them. To help distinguish between policies and procedures the following example is offered:

The board adopts a policy that the schools will charge a fee for the use of cafeterias by approved non‑school groups. The superintendent prepares a useage application form and schedule of fees for board review. The board reviews, but does not adopt, the fee schedule and proposed application form.

            It is important to develop a well‑organized, indexed policy manual. Boards can get assistance in developing a format for policy manuals from universities, KSBA, or commercial firms. It is good practice to keep at least one copy of the official board policy manual in a loose‑leaf notebook so that revisions can be easily inserted and to separate policies from administrative procedures by means of color-coding.

            The local board of education has a duty to study proposals presented by the superintendent, regardless of whether the proposals are classified as policies or procedures. The important point is that the board should emphasize its broad policy-making role and leave implementation details and technical aspects of public education to the superintendent and professional staff. However, this does not mean that the board and the community should not be kept aware of how the schools are being operated.

QUESTIONS

v     What power does the school board have to make rules and regulations?

Each board shall make and adopt -- and may amend or repeal – rules, regulations and bylaws for its meetings and proceedings. This is done to govern, regulate and manage the schools and property of the district; to transact the district’s business; and to specify the qualifications and duties of employees and conduct of pupils. 

v     Is a board of education bound to obey its own rules and regulations?

Yes. The rules and regulations of a board of education are binding upon the board itself and all parties dealing with it until repealed or amended by an affirmative vote of a majority of the board.

v     Are local boards of education required to have written policies?

Yes. Each local board of education must have, and keep on file in its office, written policies regarding pupil transportation, discipline, use of facilities, conduct of board meetings, certified personnel, certified employee evaluation, textbook selection, expenditures and accounting of school funds, and school‑based decision making. These policies must be updated annually and are public records.

v     Should the board approve administrative procedures?

The board should review procedures, but approval might be interpreted as micromanaging and, technically speaking, change them to policy status.

v     Is this micromanaging?

No. The board is responsible for controlling the process, not operating it. In other words, the board sets the standards and the professional staff performs the operations to achieve those standards. However, the board does need to know how those standards are being accomplished.

v     Can the board adopt a policy in absence of the superintendent's recommendation?

State law says the superintendent shall prepare, under the board’s direction, all rules, regulations, bylaws, and statements of policy for approval and adoption by the board. If the board wants a policy to be written, it can direct the superintendent to do so, and alter the policy in any way it desires. However, the board should not bypass the superintendent, and he/she should be directly involved in developing all policies.

THE BOARD AND POLICY DEVELOPMENT

A policy statement clarifies the manner in which the board, administration, staff, pupils, and citizens of the community relate to each other to meet their goals and objectives. The board of education has the ultimate responsibility for policy making. Unfortunately, some school boards may become so occupied with agendas full of routine business at board meetings that they take little time to consider policy development. If such boards would take the time to ensure that a full set of consistent, written policies is developed, they would likely find that many problems arising at board meetings and in the daily operations of the schools could be handled more easily and to the greater satisfaction of all parties involved. Therefore, many boards of education reserve specific board meetings throughout the year for working sessions to evaluate current policies and to consider new ones.

The superintendent generally is responsible for developing proposed drafts of new policies. State law requires the superintendent to prepare, under the board’s direction, all rules, regulations, bylaws, and statements of policy for approval and adoption by the board.

            THE PROCESS

            Written board policies should be developed in terms of local needs. They should be a product of local effort by the school board, the staff and the public. The specific process to be used by each board will depend upon the size of the school system, the citizenry served by the schools, the experience of the board members, the professional ability of the superintendent and staff, and the availability of expert consultants. Some of the steps that might be used are:

• Review the minute books and copy all resolutions previously approved by the board that might be considered policy.
• Restate these resolutions in a concise manner and classify them into categories.
• Check each proposed policy against the requirements of state law and the administrative regulations of the state board of education.
• Determine which past policies no longer apply and which the board wants to change.
• Decide which areas of school operation are not adequately covered by existing policy.
• Form committees of school personnel to help the superintendent draft new policy proposals.
• Provide opportunities for interested citizens, employees, and organizations to react publicly to the proposed policies in the board’s presence.
• Review the proposed policies and make any suggestions for change.
• Take formal action to adopt the proposed policies after due public notice.
• Distribute copies of the policy manual (or make it available electronically) to each board member and each school building, and notify all interested groups and individuals in the community of the location of copies for public use.
• Make all employees, and students, where appropriate, aware of the new policies adopted.
• Specify and provide the necessary time and procedure for periodic review of board policies in the future.
• Assign responsibility for continuously updating the policy manual.

            THE HARD COPY

            While districts can format the hard copy of their policy manual as they choose, KSBA has found that it’s helpful if districts keep the manual in a loose-leaf notebook so revisions can be inserted quickly and easily. The table of contents should be based on an indexing system that makes it easy to find topics, with index tabs on each section giving further assistance.

            The content of each page should be identified by index number and topic heading, with one policy per page. The adoption date of each policy statement or amendment should be shown. It is helpful to include the rules and regulations that are based upon each policy, using color coding to help the reader distinguish between polices and rules and regulations.

BOARD POLICY AND SCHOOL COUNCIL POLICY

            The Kentucky Supreme Court in Board of Education of Boone County vs. Bushee found the board has no authority to adopt a policy requiring board approval of council policy in an area over which the council has responsibility by law.  A board can still adopt a position on what it believes the standard should be, but at the same time acknowledge that the council can adopt whatever policies it wishes in areas reserved specifically for the council. If there is a difference between the two, the council does not need board approval and by the same token, the board may still address any subject that is a community interest or concern. The board continues to be a platform for addressing the community's interests and views. In line with that, the board has a responsibility to require reports and information from the superintendent and/or council on district and school progress, plans and actions. The board can provide a valuable service by bringing to the community issues that should be discussed and considered by the community as a whole.

QUESTIONS

v     Is there a need for district policy following the Boone decision?

Yes, for a variety of reasons:

• In the areas noted in this chapter, state law requires boards to adopt policies. (In addition, federal law requires boards to adopt policies on issues such as Title I Parent Involvement and district-wide wellness policies.)
• In certain areas such as the bidding process, the district must adopt policies to ensure that the bidding law is followed. Councils have no responsibility in the bidding/purchase area, and thus, district policy must address that process as well as others listed above.
• In some cases, the council, rather than reinventing the wheel, may simply adopt district policy as its own so that it can concentrate on other areas. Boards and councils can collaborate, if they wish, to reach a mutually agreeable policy.
• Not all schools will choose to adopt the state SBDM process. Those schools will still need a general district policy framework.
• The board is responsible for adopting codes of acceptable behavior and discipline to apply to students.

A board may adopt a policy to make a statement about what it considers the standard should be in a particular area. If the policy is in a council-reserved area, the council could, without waiver or approval of the board, adopt what policy it wishes; but, the board is not prohibited from taking a position on what it believes is the appropriate policy. In some instances, the board, for liability or other reasons, may decide that it wishes to clarify what it believes should be the standard.

v     If there is no council policy addressing an area or a situation, must the school and school staff abide by board policy?

Yes. The council is a policy-making body for the school, and as such, is responsible for setting policy in those areas designed by KRS 160.345. However, absent council policy in a designated area, board policy will apply. In areas not specified in KRS 160.345, board policy governs, even if the council has a policy.

v     What should or can a board do if a council indicates that it will take action that is either illegal, legally questionable or raises serious liability questions?

A board can direct the superintendent or district legal counsel to express the board's concerns to the council; however, under the Boone decision, if the action is within one of the council-reserved areas, then the board would not be able to prohibit the council action. The exceptions are for concerns about liability, health and safety, contractual obligations, budgetary limitations, unlawfulness under state or federal statute or regulation, and certain student discipline issues set out in the district’s local code of acceptable behavior and discipline.

v     If a council engages in conduct that results in a lawsuit, will any loss or expense be borne by the council or the district?

Any loss or expense resulting from a lawsuit will be borne by the district.

v     Can a board ever adopt a policy or make a statement concerning what it believes the standards should be if the policy addresses any of the council reserved areas?

Yes, the board can, and should, adopt standards or policy in those areas. The board represents the community and can speak out in favor of community concerns. The board must acknowledge, however, that a council is not bound by board policy in the council-reserved areas and the council is free to adopt what policy it wishes in those areas without the need to seek a waiver or approval from the board.

v     Given that councils act with autonomy in certain areas, can the board and/or the superintendent still be held responsible for district progress, including academic progress?

Yes. Under state law and the federal No Child Left Behind law, boards and superintendents, as well as school personnel, are accountable for school and district academic progress. However, since 1990, all removal actions have focused on superintendents and board members.

Some controlling statutes and regulations for this chapter: KRS 160.290; KRS 160.340; KRS 160.345, KRS 160.370

© 2004 Kentucky School Boards Association.

Home | About KSBA | Site Map | Contact Us | Privacy Policy