Key Concepts
The Constituency
Major Responsibilities
Specific Responsibilities
Responsibilities of Each Member
Key Documents
Learning Activities
Understanding All Governing Bodies
Responsibilities of Governing Bodies in Head Start
What are the Major Responsibilities of Our Governing Body?
Next Steps: Ideas to Extend Practice

Key Concepts

• Governing bodies must be clear about their obligation to represent the communities they serve as well as their responsibility as Head Start grantees to guide a quality program that effectively serves children and families.
  
  
• A governing body must understand the organizational mandates, legal documents, and other instruments that created the organization, and the processes and practices required to conform to them.
  
  
• In the world of nonprofit and public agencies, service to the public is not a strategy but an end in itself.¹ This underscores the need to have internal systems that ensure accountability, measure the effectiveness of programs, and determine whether the activities of the organization and its programs are geared toward the people who are eligible for its services.
  
  
• The Head Start Program Performance Standards clearly state the roles, functions, and responsibilities of governing bodies and policy groups in relation to the Head Start and Early Head Start programs. Effective governing bodies understand their own responsibilities as well as the responsibilities of the policy group, the Head Start and Early Head Start program directors, and the Agency director.

Background Information

Governance is the tool that empowered groups use to create and shape their future. Governing bodies provide the support and direction that chart the course to that envisioned future.

The Constituency

The governing body of a Head Start organization is responsible for the stewardship—the legal and fiduciary oversight—of the organization. The empowered governing body exists on behalf of persons who are not seated at the governance table. The governing body represents the children and families that Head Start serves, the community and other stakeholders. (The mission of a particular Head Start organization may include serving constituencies other than Head Start-eligible families.)

Often, governing body members are appointed because they provide specific experience or the perspective of a particular group or segment of the organization's constituency. The entire governing body must be attuned to the issues and concerns of Head Start-eligible families in order to plan and oversee the delivery of quality services.

Public agencies that choose to serve as Head Start grantees often represent Head Start-eligible children and their families as well as larger constituencies that may include the entire population of a political jurisdiction (such as a city, county, or Indian tribe). In these situations, the public entity may need to take steps to assure that Head Start governance activities can be performed expeditiously. This may require designating a commission or some other entity within the public organizational structure to carry out these functions for the Head Start program. Such structures can provide the focus and specific attention that program planning and other governance activities require.

Governing bodies represent the people receiving the services, rather than the staff managing the program. The people receiving services and the larger community need access to the governing body as a means of holding the program and the agency accountable. Procedures for hearing and resolving community complaints must be established and implemented.

Major Responsibilities

The governing body is responsible for ensuring that the Head Start program operates effectively and responds to issues and concerns in the community. This means the organization must have internal systems to ensure accountability, measure the effectiveness of programs, and determine whether the organization's activities are focused on the Head Start-eligible population. It is important not to confuse the stewardship role of governance with the administrative role of management and staff. Governance refers to general and legal oversight and not to implementing day-to-day operations, which is the responsibility of management and staff.

In Basic Principles of Policy Governance, John Carver and Miriam Mayhew Carver describe four functions of governance. These functions, relevant to both public and private agencies that are funded to operate a Head Start or Early Head Start program, are described below from a Head Start perspective:

• Create a process that leads to defining goals.
  
  
• Establish boundaries and limits that describe management's authority and responsibilities for implementing the Head Start program.
  
  
• Link with staff and assess staff and/or organizational performance to ensure that management and staff are moving toward program goals.
  
  
• Design governance processes to ensure that Head Start-eligible families are receiving quality services and that policies are being followed. The governing body must address broad values in these areas to fulfill its mandate.²

Specific Responsibilities

Richard Ingram, in the National Center for Nonprofit Boards publication. Ten Responsibilities of Nonprofit Boards, and Edgar Stoesz and Chester Raber in Doing Good better! How to be an Effective Board Member of a Nonprofit Organization (see Resources) identify responsibilities of board members that are summarized below from a Head Start perspective:

• Determine the purpose of the organization.

  Organizations represent their constituents and exist for a purpose. Effective mission statements summarize the purpose of the organization. Each board member needs to understand and support the mission statement.

  In Head Start agencies, it is the responsibility of the governing body to work with the policy group and program staff to create the mission statement, understand and support it, and review it periodically for accuracy.

• Select the Executive director. Support and review her/his performance.
  
  Governing bodies must reach consensus on the Executive director's job description and undertake a careful search process to find the most qualified individual for the position. At least annually, the governing body must evaluate the Executive director's performance and identify any areas that require improvement. In addition, a new focus or direction that will be used for the subsequent year's performance evaluation must be developed. Head Start Program Performance Standards require the governing body to approve the selections of the Head Start director as well.
  
  
• Ensure that effective organizational planning occurs and that resources are available to implement planning goals and objectives.
  
  As stewards of their organizations. Head Start governing bodies must actively participate in a strategic planning process with the policy group, program staff, and other community organizations. This process includes determining the program's philosophy and long-and short-range goals and objectives, and securing adequate resources for the agency to implement its goals and fulfill the mission.
  
  
• Settle grievances from staff (when disputes cannot be resolved at lower levels of the organization).
  
  
• Resolve complaints from the community.
  
  The governing body often serves as the court of appeals in grievances between management and other employees. The body establishes the policies and procedures that staff must follow. The governing body must ensure that there is a formal process that allows community residents to express concerns about the Head Start program. This process ensures that complaints are heard and resolved expeditiously.
  
  
• Assess the performance of the governing body.
  
  The first step a governing body must take to assess the performance of the organization is to evaluate its own performance in fulfilling its responsibilities. It must analyze its achievements and reach consensus on the areas that need improvement.
  
  
• Determine new services and monitor ongoing programs and services.
  
  The governing body is responsible for overseeing a process to assess the performance of the organization. It determines which programs and services are the most consistent with the organization's mission and monitors their effectiveness.
  
  
• Act as liaison between the organization and the community.
  
  The governing body is the organization's main link to the community. To be a successful liaison between the organization and the community, the governing body must clearly articulate the organization's mission, goals, and accomplishments to the community. In addition, it must get support from other key players in the community. If complaints from the community arise, the governing body's responsibility is to assure that those issues are resolved expeditiously. The community includes Head Start-eligible children and families, public and private community partners, the general public, and the media.
  
  
• Safeguard the organization's assets.
  
  As elected or appointed representatives of the community to watch over a federally funded program, governing body members must ensure that appropriate internal controls are established and implemented to safeguard the organization's assets.
  
  
• Provide accountability to members.
  
  Members of the governing body must strive to understand the expectations of the organization they oversee and communicate with its members. They will provide periodic reports about the agency's progress in an appropriate format.

The Head Start Program Performance Standards describe what is expected of a governing body operating a Head Start program. They clearly define how the governing body and policy group partner with program staff to ensure that high-quality services are provided to children and their families.

While the majority of organizations that administer Head Start are also engaged in other activities and programs in addition to Head Start, there is an expectation that the governing body and policy group will carry out the policymaking responsibilities detailed in the Head Start Program Performance Standards as shared functions. Governing bodies are expected to share decision-making about program direction with the policy group, with support from the staff. They are also expected to hear and resolve community complaints about the Head Start program and develop (with the Head Start policy group) dispute resolution procedures for conflicts that arise between the two groups. The governing body can offer an opportunity for the groups and communities served by Head Start to have a voice in its governance. In this context, written procedures need to be adopted to ensure that there are consistent guidelines to aid decision-making.

Responsibilities of Each Member

Each member of the governing body has a set of responsibilities. Individual members must exercise the duty of care (meaning they must attend meetings, read material that is pertinent to making decisions, and carry out their duties in a reasonable and responsible manner). They are responsible for understanding the organization's policies and how services are implemented; staying abreast of developments that impact the organization; advocating for the organization, as well as informing others about it; suggesting nominees that could contribute to the organization and the governing body; adhering to conflict of interest and confidentiality policies; participating in programmatic and fiscal reviews of performance; and serving on committees and taking on special assignments that fit with their expertise.

Key Documents

It is also important that the governing body understand the legal documents and other instruments that created the organization and provide the tools for its maintenance. Several key documents and materials help governing bodies meet their responsibilities.

For all organizations, these include the annual report (if one is produced), the audit and financial statements, the strategic or long-range plan, organizational charts, and, for nonprofit agencies, articles of incorporation and bylaws. In addition, periodic reports of program and financial status are typically provided to the governing body. Other important documents include organizational brochures, newsletters, materials that describe the program and organization, and any published newspaper or journal articles about the organization.

In summary, each governing body must understand whom it represents, and the roles and responsibilities of the governing body and how to best represent the interests of its constituencies. This is key to ensuring that the governing body remains accountable to the children, families, and communities that its Head Start program serves.

Understanding All Governing Bodies Purpose: In this activity participants are introduced to the roles and basic responsibilities of governing bodies.

Materials:

Handout 1: Establishing a Community Institution
Handout 2: Note-Taking Guide for Scenario
Handout 3: Responsibilities of Governing Bodies
Handout 4: Documents and Instruments of Governing Bodies
Handout 5: Using Key Documents
Chart paper, markers, paper, and pens
Four sets of color-coded index cards (one card per participant)

1. Introduce Activity
   
   To emphasize the importance of program governance, introduce the activity with the following remarks:
   
   
   • Governance is the tool that empowered groups use to create and shape their future.
     
     
   • The basic responsibilities researchers identify for governing bodies of all organizations apply to Head Start.

   State that the purpose of this activity is to discuss the roles and responsibilities of all governing bodies.
   

2. Read and Interpret Scenario
   
   Refer to Handout 1: Establishing a Community Institution and Handout 2: Note-Taking Guide for Scenario. Tell participants to refer to the note-taking guide before re-reading the scenario. The note-taking guide may be useful in organizing the information contained in the scenario. After they finish reading the scenario and organizing the information, convene the entire group for a discussion.

   Referring to the scenario, ask:

   • What is your impression of the governing body in the scenario?
     
     
   • How would you describe the constituency that it represents?
     
     
3. Discuss Responsibilities of a Governing Body
   
   Distribute the color-coded index cards. Divide participants into four groups by the color of the index card they receive. (If you have more than nine participants, some of them may need to share cards. If you have less than nine, some may need to address more than one card.) Explain that they are to discuss the activities of Children First (the program in the scenario) that address the board responsibilities on their cards, answering the following questions posted on chart paper:
   
   
   1. To what extent does the governing body in the scenario practice these responsibilities? Give examples.
      
      
   2. How can the members of the governing body improve how they handle these responsibilities?

   Distribute Handout 3 for participants to use to help them answer the questions. Instruct each group to select a recorder and a facilitator for the small group discussion.
   
   When the small groups have completed the task, ask for a report from each one.
   

4. Discuss Documents
   
   State that the responsibilities of governing bodies are also impacted by several key documents. Distribute and review Handout 4: Documents and Instruments of Governing Bodies.
   
   Explain that participants will work in the same groups used in the first exercise. Each group will play the role of a governing body and solve a problem related to an issue identified in a key document. Distribute Handout 5: Using Key Documents, assigning an issue to each group. Ask each group to select a facilitator to record responses.
   
   After 20 minutes, ask each group to explain their solutions.
   
   
5. Summarize

   Summarize by discussing the following questions:

   • What are some of the major responsibilities of a governing body?
     
     
   • Which documents or instruments tell the governing body whether the organization is operating in accordance with its mission and purpose?
     
     
   • How can a governing body ensure that the viewpoints and perspectives of the community stakeholders are heard?
     
     
6. Conclude
   
   Close by emphasizing that the governing body must understand its organizational mandates, the legal documents and other instruments that created the organization, and the processes and practices required to conform to those documents and instruments. In addition, they must be clear about their obligation to represent the interests of the community.

Responsibilities of Governing Bodies in Head Start Purpose: The purpose of this activity is to review the responsibilities of a Head Start governing body as described in the Head Start Program Performance Standards. In addition, participants will consider how to carry out these responsibilities.

Materials:

Extra copies of 1304.50, Subpart D-Program Design and Management, pp. 158-174, and Appendix A: Governance and Management Responsibilities, pp. 175-177, from the Head Start Regulations and Program Guidance/or Parts 1304 and 1308.
Chart paper, tape, and markers

1. Introduce Activity
   
   State that this activity will focus on the responsibilities of a governing body in Head Start as described in the Head Start Program Performance Standards.
   
   Explain that they will be able to see the similarities between the responsibilities that researchers have identified for all organizations that were discussed in Activity 1-1 and the responsibilities for governing bodies that operate Head Start programs.
   
   Tell participants that any questions they have regarding Section 1304.50 of the Standards will be addressed during this activity. (Record and research the answers to any questions that cannot be answered during the training, and provide responses to participants after the workshop.)
   
   
2. Identify Functions
   
   Briefly review Section 1304.50, pp. 158-174, Subpart D-Program Design and Management, identifying the major sections.
   
   Review the format of 1304.50 Appendix A: Governance and Management Responsibilities, pp. 175-177. Explain the key (A: General responsibility; B-Operating responsibility; C-Must approve or disapprove; and D-Determined locally) found on the last page.

   Explain that the chart is a restatement of most of the Standards in 1304.50. In addition, the functions on the chart are not always listed in the same sequence that they appear in the Standards. Pay particular attention to the definitions of item C-Must approve or disapprove.
   
   Divide participants into three groups, with each group representing one of the three categories of functions described in Appendix A: Planning Group, General Procedures Group, and Human Resources Management Group.
   
   Instruct participants to work with the other members of their group on the following assignment posted on chart paper:

   1. In your own words, explain the responsibilities of the governing body identified in your assigned category on chart paper. Put each responsibility on a separate sheet of chart paper.
      
      
   2. Give examples of how each responsibility is carried out by the governing body in your program.
      
      
3. Discuss Responsibilities
   
   Ask each group to explain the charts they have prepared. After each explanation, ask the participants in the other two groups for additional examples of how the responsibility is carried out in their program. Add these additional examples to the chart paper.
   
   Explain that it is important to understand the connection among all the individuals and groups described on the chart. ...
   
   Discuss any questions that participants brought to the workshop about the governing body's responsibility that relate to Section 1304.50. ... Discuss the requirement that the governing body and policy group must be consulted on all items that they must approve. This consultation must occur before either group acts to approve or disapprove. Establish a link between the definition (the actions cannot be taken until agreement is requested) and the internal dispute resolution process that is required (1304.50(h)).
   
   
4. Discuss Challenges

   Ask:

   • What challenges does this governing body face in carrying out
     these responsibilities?
     
     
   • What can you begin to do to overcome these challenges?
     
     
   List suggestions on chart paper.
   
   
5. Develop Group Action Plan
   
   Working with the group, develop an action plan to overcome these challenges. For each suggestion, list tasks to perform, individual(s) responsible for performing each task, and a projected date for completion. Establish a process for evaluating the success of the action plan and, if necessary, revising it.
   
   
6. Conclude

   Conclude with the following statements:

   • The Head Start Program Performance Standards clearly state the roles, functions, and responsibilities of the governing body.
     
     
   • It is important to recognize that a governing body represents both the people receiving services and other constituents, including the staff managing the program.
     
     
   • Members of an effective governing body understand their own responsibilities as well as the responsibilities of the policy group. Head Start program director, and the Agency director. They strive to overcome the challenges involved in implementing their responsibilities.

What Are the Major Responsibilities of Our Governing Body? Purpose: Participants will identify the key roles and responsibilities of governing bodies and relate these responsibilities to the activities of the governing body in their own program.

Materials:

Copies of the Background Information for [Understanding the Role of Program Governance]
Handout 4: Documents and Instruments of Governing Bodies
Handout 5: Using Key Documents
Extra copies of 1304.50, Subpart D-Program Design and Management and Appendix A: Governance and Management Responsibilities
Chart paper, tape, and markers Paper and pens

1. Introduce Activity
   
   Write the following question on chart paper:
   
   Why is the Head Start governing body important?
   
   Seek responses. Avoid discussing the validity of each response.
   
   Explain that this activity will focus on identifying the major roles and responsibilities of a governing body and how these responsibilities apply to Head Start.
   
   
2. Identify Responsibilities
   
   Distribute a copy of the Background Information to each participant. Ask them to read the Background Information and underline the major responsibilities of a governing body.
   
   Discuss the major responsibilities they identify, listing each one on a separate sheet of chart paper. Include the responsibilities of individual members of the governing body. Post each sheet of chart paper on the wall.
   
   Ask the participants to read all the responsibilities posted on the chart paper.
   
   
3. Relate Responsibilities to Standards
   
   Explain that the discussion will now focus on their own governing body and examples of how it implements the major responsibilities listed on the chart paper. State that while the listed activities were identified by researchers as applying to nonprofit organizations, they are relevant to all agencies that operate Head Start programs.

   State that examples can be found in the section of the Standards that describes the responsibilities of governing bodies. Refer to Section 1304.50, Subpart D-Program Design and Management and 1304.50 Appendix A: Governance and Management Responsibilities. Ask participants to review the list of responsibilities and find examples that apply to the responsibilities they listed on the chart paper.

   For example, for the responsibility "Ensure effective organizational planning occurs and resources are available to implement planning goals and objectives," note the general responsibility and approval authority under planning on the chart in Appendix A (b) 1304.50(d)(l)(iv), approve the program's philosophy and long- and short-range program goals and objective and 1305.5(d)(l)(i), which requires approval of all funding applications. The latter is the major source of resources for implementing the Head Start program.

   Discuss responses.
   
   
4. Reflect on Challenges
   
   Distribute paper and a pen to each participant. Ask participants to review the responsibilities from the Standards and identify the two that they feel are the most challenging to implement.
   
   Ask participants to list the challenges they will face when implementing these responsibilities.
   
   
5. Reflect on Documents
   
   Distribute Handout 4: Documents and Instruments of Governing Bodies. Give participants several minutes to read it. Discuss the documents described, emphasizing the ones that are significant to their own program/organization.
   
   Distribute Handout 5: Using Key Documents. Discuss the problems under each issue, brainstorming possible solutions.
   
   Based on the problems under the issues and their own experiences, ask each participant to review Handout 4 and list at least two documents that they feel they use effectively.
   
   Next, ask the group to list two documents or instruments that they would like to learn more about.
   
   Work with the group to develop a strategy for sharing information on the documents with which they are familiar and to enhance the knowledge of all members.
   
   
6. Conclude
   
   Close by emphasizing that the governing body must understand its organizational mandates, the legal documents and other instruments that created the organization, and the processes and practices required to conform to these documents and instruments. State that each member of the governing body has a responsibility to support the work of the organization.

Next Steps: Ideas to Extend Practice

The following activities can help participants apply the concepts discussed in [these activities] to their own programs.

• Observe other governing bodies and policy groups.
  
  Ask each member of the governing body to observe at least one other governing body in the community. Recommend that they note how the organization is structured, its major responsibilities, how they conduct meetings, and how they develop policies and procedures to maintain effective governance.
  
  
• Organize a staff presentation for the governing body.
  
  Arrange for the Head Start director and staff to give a presentation to the governing body. Ask Head Start coordinators to explain the activities they perform and the challenges that they encounter. Encourage staff to use varied techniques in the presentation; for example, they may develop skits or role plays, or show a video that demonstrates their activities. Plan for a question-and-answer period at the end of the presentation. At the conclusion of the presentation, discuss a schedule for continuing the process of updating the governing body.
  
  
• Conduct a board self-assessment.
  
  It is important for a governing body to evaluate how it operates and what it is accomplishing. Develop a self-assessment instrument or use one that is available. Gather data to answer the following questions:

1. How effectively does the governing body participate in the visioning process?
   
   
2. Are the boundaries between staff and governance/policymaking functions clear and understood?
   
   
3. Has the governing body assessed the performance of the Agency director?
   
   
4. Does the governing body know whether goals and objectives are being accomplished?
   
   
5. Do governing body members represent the agency/program in the larger community ?

To help answer these questions, collect information on specific topics. For example, topics may include the orientation of new members, the relationship of the governing body to the Executive director, governing body activities related to approving the mission, plans, and goals or activities related to finances and the performance of managers, and the effectiveness of board meetings.

Ask governing body members to complete the assessment instrument on their own and return it to a designated person at a specified time. Tabulate, summarize, reproduce, and distribute the results to the members. Arrange a meeting to discuss the issues that emerged from the assessment, place them in order of priority, and assign follow-up activities.

Examples of board assessment tools can be found in the books Doing Good better! How to be an Effective Board Member of a Nonprofit Organization by Edgar Stoesz and Chester Raber, The Board Self-Assessment Guide from the Carver Guide Series on Effective Board Governance by John Carver, and Boards at Work: How Corporate Boards Create Competitive Advantage by Ram Charan (see Resources in this Guide for a description of these publications).

¹Wolf, Thomas. Managing a Nonprofit Organization. New York, NY: Prentice Hall Press, 1990.
²Carver, John and Miriam Mayhew Carver. Basic Principles of Policy Governance. San Francisco, CA. Jossey-Bass Publishers, 1996.