Transcript PROGRAM GOVERNANCE

PROGRAM GOVERNANCES
Laurie Gan Leiner, MPA
Director, Head Start
Capital Area Community Action Agency, Inc.
Head Start
Director
HS Policy Council
Board of Directors
Governing Body
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The governing body shall be composed of:
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One member must have a background and expertise in fiscal
management or accounting.
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One member must have a background and expertise in early childhood
education and development.
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One member must be a licensed attorney familiar with issues that come
before the governing body
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Board members shall reflect the community they are severing and
include parents of children who are currently, or were formerly, enrolled
in Head Start programs;
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Members are selected for their expertise in education, business
administration, or community affairs.
Exceptions to 642 (c)(1)(B)(v)(vi) Reauthorization Head Start Act:
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Members of a governing body that oversee a public entity and are
selected to their positions with the public entity by public election or
political appointment.
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Governing body that is not able to have the expertise of an attorney,
fiscal and accounting, and early childhood and development may use a
consultant , or an individual with relevant expertise, with the
qualifications to work directly with the governing body.
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Assume legal and fiscal responsibilities for administering and overseeing
all programs under its authority, including the safeguarding of Federal
funds;
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Adopt practices that assure active, independent, and informed
governance of the corporation, including the resolution of internal
disputes and the facilitation of meaningful consultation and
collaboration about decisions of the Board of Directors and Policy
Council, and fully participate in the development, planning, and
evaluation of the Head Start program;
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Ensure compliance with applicable Federal, State and local laws and
regulations; and
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Select delegate agencies and their service area as appropriate;
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Establish procedures and criteria for recruitment, selection and
enrollment of children;
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Review applications for Head Start funding and amendments to such
application;
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Establish procedures and guidelines for accessing and collecting accurate
and regular information for use by the Board of Directors and the Policy
Council about program planning, policies and Head Start agency
operation;
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Approve personnel policies and procedures, including those regarding
the hiring, evaluation, compensation and termination of the Executive
Director, Head Start Director, Director of Human Resources, Chief
Financial Officer; and any other person in an equivalent position within
the agency;
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Approve financial management, accounting, and reporting policies and
compliance with laws and regulations relating to financial statements,
including the approval of all major financial expenditures of the agency;
 annual approval of the agency’s operating budget;
 selection of independent financial auditors who shall report all critical
accounting policies and practices to the Board of Directors; and
 monitoring the corporation’s actions to correct any audit findings and
of other action necessary to comply with applicable laws and
regulations governing financial statement and accounting practices;
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Review results from monitoring conducted under section 641c of the
Head Start Act, including appropriate follow up activities;
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Establish, adopt and periodically update written standards of conduct
that establish standards and formal procedures for disclosing, addressing
and resolving any conflicts of interest or appearance of conflicts of
interest by Directors, Officers and employees of the corporation, and
consultants and agents who provide services or furnish goods to the
corporation; and complaints, including investigations, as appropriate;
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Develop procedures for how members of the Policy Council are selected;
and
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As practicable and appropriate establish advisory committees to oversee
key responsibilities related to Head Start program governance and
improvement.
Head Start
Director
HS Policy Council
Board of Directors
Governing Body
Policy Council is responsible for making decisions that
guide and direct the Head Start Program. They work in
partnership with the Governing Body to govern the
programs.
The Policy Council shall be elected by the parents of children who
are currently enrolled in the Head Start/Early Head Start Program.
51% must be parents of current Head Start Children.
posed of:
 Parents of children who are currently enrolled in the program, who shall
constitute a majority of the member of the policy council; and

Members at large of the community served by the Head Start/Early Head
Start Program, who may include parents of children who were formerly
enrolled in the Head Start/Early Head Start
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Member can only be on the policy council for three 1-year terms in a
lifetime 1304.50(b)(5)
Board of
Directors
Policy
Council
The policy council
shall approve and
submit to the
governing body
decisions about
program operation
activities 642(2)(D)
Reauthorization Head
Start Act
Parent
Committee
Approve procedures for program
planning to include the
program’s philosophy and longand short-range goals and
objectives. 45CFR 1304.51 (a) &
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45 CFR 1305.3
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Participate in discussion
concerning program vision
Establish subcommittees as
needed to work with staff
Analyze plans, goals and
objectives
Obtain recommendations from
Parent Committees
Provide input on relevant
community issues
Review financial statements to
ensure resources are available
Approve criteria for recruitment,
selection and enrollment
priorities in accordance with the
requirements of Federal
regulations. 45 CFR Part 1305
(see 1304.50(d)(1)vii)
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Conduct periodic reviews of the
criteria for recruitment, selection
and enrollment priorities
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Examine how the enrollment
process is working to address
the needs of children and
families in the community
Review and approve all funding
applications for Head Start,
including administrative services
prior to the submission of the
applications to the grantee.
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Consider funding applications as
part of an ongoing planning
process
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Get information on the funding
request and provide input before
the application and related
materials are drafted
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Conduct an annual selfassessment of the agency’s
progress in carrying out the
programmatic and fiscal intent
of its grant application,
including planning or other
actions that may result from
review of the annual audit and
findings from the Federal
monitoring review. 45 CFR
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1304.51(i)(1) and 45 CFR 1301.12
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Schedule reasonable time for
self-assessment
Form self-assessment team that
includes parents and
representation from the
community
Define measures for the self
assessment process
Findings are reported to the
Policy Council, Parent
Committees and governing
bodies
Improvement plans should be
appropriate and reasonable
Approve procedures describing
how the governing body and the
appropriate policy group will
implement shared decision
making. 1304.50(d)(1)(iii)

Develop written procedures for
shared decision-making
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Support open channels of
communication to include
exchange minutes of meetings
and joint meetings
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Jointly establish written
procedures for resolving internal
disputes, including impasse
procedures between the
governing body and the policy
group. 1305.50(h)
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Develop and formally adopt
dispute resolution policies
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Ensure that new Policy Council
members are aware of the
dispute resolution process
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Seek outside assistance from
community-based organizations
for the negotiation or mediation
of disputes that threaten to
disrupt services to children and
families
Establish and maintain
procedures for hearing and
working with the agency to
resolve community complaints
about the program.

Establish a process to respond to
all community inquiries
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Develop procedures that
describe specific steps in the
process for addressing
community concerns and
resolving community complaints
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Make copies of procedures
widely available
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Conduct outreach to community
agencies or individuals to solicit
suggestions for improvement
Approve Program Personnel
policies and changes to policies
in accordance with Federal
regulations, to include standards
of conduct for program staff,
consultants and volunteers.

Review personnel policies
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Ensure that personnel policies
are effective in securing and
maintaining qualified staff who
can provide the appropriate
services
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Modify or amend policies as
appropriate
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Focus personnel policy review on
one particular area during any
given year.
45 CFR 1301.31
Approve decisions to hire or
terminate the Head Start.
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Review personnel policies
1304.50(d)(1)(xi)
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Ensure that personnel policies
are effective in securing and
maintaining qualified staff who
can provide the appropriate
services

Modify or amend policies as
appropriate
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Focus personnel policy review on
one particular area during any
given year.
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Approve bylaws for the
operation of the policy council.
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Participate in the revision, but
not until the policy council
formally changes (amends)
them.
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Responsible for reviewing the
bylaws at least once a year to
recommend changes if
necessary.
642(c)(2)(D)(v) in Reauthorization
Head Start Act
Approve budget planning for
program expenditures, including
policies for reimbursement and
participation in policy council
activities. 642(c)(2)(D)(iv)
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Review and receive monthly
budget updates on grant
expenditures
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Follow up on reimbursements
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Manage and sign off on policy
council budget expenditures
Reauthorization Head Start Act
Head Start/
Early Head Start
Director
Executive
Director
HS Policy Council
Board of Directors
Dynamic and cohesive management systems support continuous
improvement and foster commitment to providing the highest level of
services to children and families in accordance with legislation,
regulations, and policies.
Systems:
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Planning
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Communication
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Record keeping and Reporting
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Monitoring/Self Assessment
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Human Resources
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Fiscal
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ERSEA
Key factors of a shared governance system:
1.
Clearly written procedures
2.
Procedures to resolve internal disputes
3.
Procedures for hearing and resolving community complaints
4.
Staff driving the partnership
5.
Managing and monitoring the governance portion of the standards
Grantee agencies must ensure that the following information is provided
regularly to their grantee governing bodies and to members of their policy council
about:
Program planning, policies, and Head Start/Early Head Start operations;
Monthly financial statements, including credit card expenditures;
Program enrollment reports, including attendance reports for children
whose care is partially subsidized by another public agency;
Monthly reports of meals and snacks provided through the USDA programs ;
Financial audit;
Annual self-assessment, including any findings related to such assessment;
Communitywide strategic planning and needs assessment of the program,
including any applicable updates;
Communication and guidance from the Secretary; and
Program Information Report (PIR)
Grantee agencies are to provide appropriate training and technical assistance
to the members of the governing body and policy council to ensure they
understand the information their receiving; and that they can be effective at
providing oversight and participating in the program.
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New Members Orientation
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Program Governance
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Parliamentary Procedures and Meeting Rules
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Self Assessment
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Budget and Finance
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Program Planning, Objectives , and Goal setting
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Code of Conduct
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Policy council bylaws
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Performance standards
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Shared governance plan
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Conflict resolution (Impasse) Policy
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Vision and Mission Statement
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Summary of program budget
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Meeting minutes from prior policy council meetings
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Policy council meeting dates
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Policy council members directory
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Staff and program site location information
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Shared Decision Making
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Conflict of Interest
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Impasse Procedures
Governing Board and Policy Council
share the responsibility for making
and approving policies and rules for
the Head Start Program.
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Member are to receive a written
plan that outlines the shared
decision making process the
Governing Board and Policy
Council has agreed upon.

Board and Policy Council must
approve the shared governance
plan
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Policy Council is included at all
levels of the decision making
process
Members of the governing body and policy council shall:
642(c)(C)(i)(ii)(iii)(iv)
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Not have financial conflict of interest with the Head Start agency;
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Not receive compensation for serving on any of the boards or for
providing services to the Head Start Program;
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Not be employed, nor shall members of their immediate family be
employed by the Head Start Program;
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Operate as an entity independent of staff employed by the programs.
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The Head Start Act requires that the program have a conflict of
interest policy.
Governing Board and Policy
Council having written
procedures for how to resolve
conflict or impasse for when the
two groups are unable to agree
on a decision regarding the
program.
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Resolving internal conflict in a
constructive and positive
manner
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A required plan that outline the
established steps for how to
resolve any conflicts that arises
between the two groups.

Governing Board and Policy
Council must follow the written
procedures they have
established for resolving
conflicts or impasses
Bond
Parent
Committee
Franklin
County
Parent
Committee
Murat Hills
Parent
Committee
Policy Council
Jefferson
County
Parent
Committee
Bainbridge
Road Parent
Committee
Louise B.
Royal
Parent
Committee
South City
Parent
Committee
1.
Advise staff in developing and implementing local program policies,
activities and services
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Program Policy suggestions
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Volunteering and visiting Head Start site on a regular basis
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Encourage to attend monthly parent center meetings
2.
Plan, conduct, and participate in informal/ formal programs and
activities for parents/staff
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Advise staff in developing and implementing local program policies,
activities and services
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Assist staff in the recruitment of children in the Head Start Program
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Assist staff in developing skits/plays involving children
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Assist in Field trips
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Serve on volunteer committees
1304.50(e)(1)(2)(3)
3.
Participating on Committees
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Parent Volunteer
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Classroom
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Education
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Health Advisory
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Special Projects
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Policy Council