来源 | NCFP
美国家族慈善中心(National Center for Family Philanthropy)主席弗吉尼亚·埃斯波西托(Virginia Esposito)曾经对60位家族基金会首席执行官(即:秘书长)进行过采访调查，其中大多数人表示，理事会没有对他们做过正式的绩效评估。
但当理事会主席被问到他们是否每年评估首席执行官时，大多数人回答“是的”。为什么会出现这种脱节？
部分原因在于人们如何理解“正式”绩效评估。
是对理事会成员进行年度调查，让理事会成员根据一系列预先确定的业绩目标对首席执行官进行评估，并以口头和书面形式提供集体反馈吗？
还是介于两者之间的某种形式？
家族基金会首席执行官(薪酬最高的员工)的绩效考核可以采取多种形式。它不必是一个复杂、耗时的过程。最基本的问题是如何取得成效。
首席执行官需要知道理事会的目标，理事会需要知道首席执行官如何通过有效的领导实现这些目标。理想情况下，考核的重点是目标的进展，而不是具体行为。
埃斯波西托报告称:“大多数受访首席执行官认为，如果有比目前更正式的交流方式，沟通会得到改善。”她补充说，“大多数人认为绩效和优先级的设定与评估一样重要。”
年度评估是评估基金会发展状况、理事会愿景和首席执行官作用的重要方式。
已经有很多文章探讨了如何进行绩效评估。大多数人在工作中都经历过评估。这些程序通常是为营利性部门设计的，因为在这些部门中，进展情况更容易衡量，这些方法也被运用于非营利部门。
但有关如何具体评估家族基金会首席执行官的文章却很少。首席执行官承担着一系列独特的角色和责任，包括一些与家庭相关的角色和责任，例如支持有效的理事会治理、在家族文化氛围中工作、在社区中代表家族以及在家族传承的背景下参与捐赠。
理事会进行绩效评估的理由
理事会有责任对他们的首席执行官定期进行某种形式的绩效评估。以下是一些主要原因:
职责:这是理事会工作的一部分。非营利组织理事会的主要职责之一是聘用首席执行官并评估他们的表现。
专注:这是确保首席执行官专注于理事会优先事项和基金会目标的一种方式。还需要理事会为基金会设定一些目标，这也是一种好做法。
反馈:大多数首席执行官都需要反馈。这个过程也给首席执行官们提供了一个提出问题、寻求帮助和向理事会反馈的机会。
指导:起到了预警的作用。首席执行官们更愿意在事情进展不顺的时候提前听到消息，这样他们就可以在事情偏离轨道之前进行调整。
团结:使理事会以集体声音与首席执行官对话。如果有一个以实现目标为重点的客观过程，个别理事会成员就不太可能提供相互矛盾的反馈意见，并使首席执行官对优先事项产生不同的看法。
发展:这是一个首席执行官和理事会就职业发展计划达成一致的机会，每个员工都可以从中受益，这样他们就可以保持新鲜感，在自己的岗位上不断成长。
了解:这是理事会了解首席执行官工作职责的一种方式。理事会成员对首席执行官与理事会的合作有第一手的了解，但对管理层和首席执行官肩上的资助责任了解较少。
法务:如果理事会不得不解雇首席执行官，书面的业绩评估可以帮助基金会防止或应对不当解雇诉讼。
不愿意进行绩效考核的原因
既然有这么多好的理由进行绩效考核，为什么基金会很少进行绩效考核？在美国家族慈善中心的访谈调查中，大多数首席执行官表示，如果不是首席执行官主动提出，他们的理事会就不会进行绩效考核。理事会不愿意进行绩效考核的原因有以下几点：
有大量更紧迫的事情要处理，考核要花的时间太多了;
很难衡量成效。一位首席执行官说，她之前担任非营利组织发展官时的工作是以筹款目标为衡量标准的，而在家族基金会中情况不同，无论是从个人层面还是从组织层面，都很难衡量她的成功。
理事会不愿意提供反馈。他们不喜欢评判像家人般相处的首席执行官。(当首席执行官是家族成员时，就更尴尬了！)
埃斯波西托说:“首席执行官和理事会之间的关系非常亲密，人们在评估自己关心的人时会感到尴尬。对于家族成员担任的首席执行官来说，情况更是如此。”
一位首席执行官描述了她试图建立正式绩效考核程序时发生的事情。她制作了一份评估表，交给了三位理事会成员，请他们给她打分。结果并不是她所希望的:“我父亲给我送花，我母亲打电话告诉我工作做得有多棒，而我弟弟却把表格丢了。”
除了访谈调查，美国家族慈善中心还与伟谷州立大学约翰逊慈善中心(The Johnson Center forPhilanthropy at Grand Valley State University)合作，对200名首席执行官进行了在线问卷调查。
其中一个问题是:你的理事会是否对你的工作进行年度绩效评估？只有大约37%的创始人家族成员首席执行官得到了年度评估。
莱蒂基金会(The Leighty Foundation)执行理事简·莱蒂·贾斯蒂斯(JaneLeighty Justis)鼓励家族成员每年对她进行一次评估。她从自我评估开始。
“我把工作描述中的每一点都写下来，然后就每一点写两句话，说明我认为自己做得如何。然后我把它提上了年会的议程，我们讨论这个问题，我询问他们的反馈意见。”
她从这个过程中得到的反馈非常笼统，但她认为，最近将第三代成员纳入理事会，将为扩大这个过程提供一个机会，使其对所有人都有帮助。
即便是一些非家族成员的首席执行官，也难以说服理事会相信评估的价值。
“我从来没有得到过评估，”一位任期很长的首席执行官哀叹道，“我喜欢评估。”她对为什么创始人和他的家人不愿评价她感到困惑。“他们在经营家族企业上不会这样。”
一位管理着庞大员工队伍的首席执行官表示，基金会“对每个人都有正式的评估程序，除了他自己。而他每年都会对每位员工进行“绩效评估”，包括为下一年设定目标和衡量标准。首席执行官的捐赠者不想对他进行评估。“她说，‘为什么我需要对你做评估?在我每天都和你说话的情况下?’”这位首席执行官还是填写了自己的绩效评估表，然后交给了理事会，他表示“如果我不把它给我的捐赠者，她可能也不会开口要。”
一位推动理事会进行评估的首席执行官说:“就我个人而言，没有评估是导致问题的原因。如果没有评估，我就没有职业发展的路线图，也没有他们对我资助工作的预期。道听途说的反馈通常没有帮助。他们需要反思我和基金会的表现。”
另一位首席执行官表示，她的年度评估“是唯一能和理事会回顾工作成就的时候。”
（点击链接“https://www.ncfp.org/2012/06/15/getting-started-with-CEO-performance-review-nows-the-time/”查看英文原文）
Getting Started with Performance Review: Now’s the Time
NCFP
In a 2010 interview study of 60 family foundation chief executives by National Center for Family Philanthropy President Virginia Esposito, most told her they do not receive a formal performance review by their board. But when NCFP interviewed board chairs, most said “yes” when asked if they annually evaluate their CEO.Why the disconnect?
It’s partly a matter of how people interpret the word “formal.” Is it the board chair taking the CEO to lunch at the end of the year and telling her that she’s doing a terrific job? Is it an annual survey of board members who evaluate the CEO against a set of pre-determined performance goals and provide collective feedback orally and in writing? Is it somewhere in between?
Performance review of family foundation CEOs (top paid staff person) can take many forms. It does not have to be a complex, time-consuming process. At its most basic, it’s about asking what you need to know to be successful. The CEO needs to know the board’s goals, and the board needs to know how effectively the CEO is leading the process to achieve them. Ideally, the review is focused on progress toward goals, not on behavior.
“Most of the CEOs interviewed felt that communication would be improved if there was something more formal than what they currently have,” reports Esposito. “Most people pointed to the performance and priority setting being as important as the assessment,” she added. The annual review is an important way to take stock of where the foundation is, where the board wants it to go, and what the CEO’s role in that will be.
Much has been written about how to conduct performance reviews. Most people have experienced an evaluation process at some point in their working lives. Often these processes have been devised for the for-profit sector—where progress can be more easily measured–and adapted by the nonprofit sector. But little has been written about how to review family foundation CEOs specifically. The job carries a unique set of roles and responsibilities including some that are family-related such as supporting effective board governance, working within the family’s culture, representing the family in the community, and engaging in grantmaking in the context of the family legacy.
Every foundation is different, and there are many ways to review a CEO’s performance. If you aren"t doing any kind of formal CEO evaluation now, we hope that the stories, tools, and case studies in the National Center’s new CEO Performance Review guide, and our upcoming Webinar on this topic, will help get you started. If you already have a performance review process, we hope you will find ideas to make it a more productive and satisfying experience for everyone.
Reasons boards should conduct performance reviews
Boards owe it to their CEOs to perform some type of regular performance review. Here are some of the key reasons:
Responsibility: it’s part of the board’s job. One of the key responsibilities of nonprofit boards is hiring chief executives and assessing their performance.
Clarity: it provides regular opportunities for both the board and CEO to get clear about expectations.
Focus: it’s a way to insure that the CEO is focused on the board’s priorities and the foundation"s goals. That also requires the board setting some goals for the foundation, which is another good practice.
Feedback: most CEOs want and need feedback. The process also gives CEOs an opportunity to raise questions, request help, and give the board feedback in return.
Guidance: it serves as an early warning system. CEOs would rather hear early if something isn’t working well, so they can adjust before things go off the track.
Unity: it forces the board to speak with one voice to the CEO. When there is an objective process focused on achievement of goals, individual board members will be less likely to provide conflicting feedback and pull the CEO in different directions regarding priorities.
Development: it’san opportunity for a CEO and board to agree on a professional development plan, something every employee can benefit from, so they can stay fresh and grow in their position.
Learning: it’s a way for the board to learn more about what the CEO’s job entails. Board members know firsthand how well the CEO works with the board, but have less knowledge of the management and grantmaking responsibilities on their CEO’s shoulders.
Legal: in the event the board has to terminate the CEO, written performance reviews help the foundation prevent or defend against a wrongful termination lawsuit.
Why the reluctance?
Given all the good reasons to do performance reviews, why do they happen so seldom? In the National Center’s interview study, most CEOs said their board wouldn’t do a performance review if the CEO didn’t initiate it. Some of the reasons for board reluctance cited are:
The board is very happy with their CEO so they don’t see the need;
It takes too much time when there are so many more pressing matters;
It’s hard to measure effectiveness. One CEO said that, unlike with her previous job as a nonprofit development officer where she was measured against her fundraising goals, it’s harder to measure success in a family foundation, both personally and organizationally.
The board feels uncomfortable giving feedback. They don’t like to judge a person who in many cases feels like a member of their family. (It’s even more awkward when the CEO is a member of the family!)
“The bond between a CEO and the board can be very affectionate, and people feel awkward about evaluating someone they care about personally,” Esposito said, and that goes double for a family member CEO. One described what happened when she tried to institute a formal review process. She developed an evaluation form, gave it to the three board members and asked them to rate her in various categories. The outcome wasn’t what she’d hoped for. “My father sent me flowers, my mother phoned to tell me what a wonderful job I was doing, and my brother lost the form.”
Along with the interview study, the National Center also conducted an online survey of 200 CEOs in conjunction with The Johnson Center for Philanthropy at Grand Valley StateUniversity. One question was: does your board conduct an annual performance review of your work? Only about 37 percent of the CEOs who were members of the founding family received annual reviews.
Jane Leighty Justis, executive director of The Leighty Foundation, has encouraged her family to evaluate her annually. She starts with a self-assessment.
“I take each point in my job description and write a couple of sentences on each of them about how I think I’m doing. Then I put it on the agenda for the annual meeting, we talk about it, and I ask if they have any feedback for me.”
The feedback she has received from this process has been very general, but she believes that the recent inclusion of members of the third generation on the board will offer an opportunity to expand this process and make it more helpful for all.
Even some non-family CEOs have trouble convincing their boards of the value.
“I never get an evaluation,” lamented one CEO with long tenure, “and I’d love one.” She puzzles over why the founder and his family are unwilling to review her. “That’s not how they operate their family business.”
One CEO who heads a large staff and who has a close working relationship with a living donor said his foundation “has a formal evaluation process for everyone but me.” With each staff member, he has an annual “performance reflection” that includes setting goals and measurements for the next year. But the donor doesn’t want to evaluate her CEO. “She says ‘why do I need to do an evaluation of you? I talk to you every day?’” he fills out his own performance reflection form anyway, and gives it to the board, but “if I didn’t give it to my donor, she probably wouldn"t ask for it.”
One CEO who pushed his board to do a review said, “For me personally, not having an evaluation is a recipe for problems. Without one, I don’t have a road map for my professional development and their expectations around grantmaking. Anecdotal feedback isn’t usually helpful. They need to reflect on my performance and the performance of the foundation.”
Another CEO said her annual review “is the only time I ever get to reflect with the board on what we are accomplishing.”
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