Key Concepts
     Major responsibilities of Governing Bodies
     Expectations of Governing Bodies
     Examples of Shared Decision-Making
          Planning
          Monitoring and Assessing Performance
          Addressing Human Resources
          Setting Staff Boundaries and Limits
          Designing Governance Processes
          Integrating Governing Body and Policy Group Membership
Learning Activities
     What is Shared Decision-Making?
     Sorting Roles: Who Does What?
     Sharing in Decision-Making
Next Steps: Ideas to Extend Practice

Key Concepts

• Strong governing bodies are aware that they are only one part of an integrated whole. They understand that to implement a high-quality Head Start program, they must work in partnership with the policy group and program leaders.
  
  
• In order to share governance responsibilities with the policy group, the governing body must have procedures and responsibilities for a formal structure of governance.
  
  
• Once the major responsibilities of the governing body are understood, it is important that this organization and the Head Start policy group describe how they will share the decision-making processes prescribed in the Head Start Program Performance Standards.
  
  
• The governing body's relationship to the policy group has many facets: mentor, coach, partner, and peer. When viewed and used appropriately, these relationships help the organization achieve its goals and objectives.
  
  
• In Head Start, the concept of shared governance applies to both grantees and delegate agencies. Although some initial strategic planning must be done solely by the grantee, all other planning activities required by the Head Start Program Performance Standards apply to both grantees and delegates. The only exception is the selection of delegate agencies, which is reserved for the grantee's governing body and policy group.

Background Information

The Head Start Performance Standards related to governance reflect the responsibilities of the governing body. The major responsibilities of governing bodies are:

• 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 the goals that have been adopted.
  
  
• Design governance processes that 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.

When performing these responsibilities, governing bodies are expected to seek opportunities for creative partnerships with the policy group and staff. The Head Start Program Performance Standard that establishes a foundation for how these groups will relate requires the development of written procedures that describe how the governing body and the policy group will implement shared decision-making. Both bodies participate in developing and approving these procedures.

Agencies that have effective operating systems are able to identify how different parts of the organization—board, policy group, leaders/ managers, and other staff—affect and play a role in each system. In [these activities], we focus primarily on the roles of the governing body and policy group in agency systems. We also address the importance of staff support and the need for clear descriptions of roles, particularly for shared decision-making.

The Head Start Program Performance Standards have identified management systems that each agency operating a Head Start or Early Head Start program must develop and maintain. Among these systems are governance, planning, communication, record-keeping and reporting, ongoing monitoring, self-assessment, human resources, and fiscal management. The governance system relates directly to the roles and responsibilities of the governing body and policy group. The governance system is dependent on and is an integral part of each of the other systems.

The following discussion explains how the process of shared decision-making between the governing body and the policy group relates to the major responsibilities of a governing body.

Examples of Shared Decision-Making

Shared decision-making in planning is required in the Head Start Program Performance Standards. While it is common for the board and staff to share the responsibilities for planning in most organizations, in Head Start organizations this process is also shared with the Head Start Policy Council or Policy Committee. The Planning section of the Governance and Management Responsibilities Chart (Appendix A) in the Head Start Program Performance Standards specifies that the governing body and the policy group must jointly approve the majority of products that result from agency planning.

Planning

Planning process in Head Start includes developing such products as a procedure for planning a philosophy for the program (if one does not already exist), goals, objectives and strategies, operational plans and procedures for monitoring ongoing operations and assessing and program impact.

The governing body and policy group must understand and agree on the planning activities that they need to perform and the timeframes for conducting these activities. Therefore, the first critical planning step is to establish how and when planning activities will occur—a procedure for planning. Because staff cannot commit either body to carry out these functions, the two groups must agree on the procedure before it is implemented. The governing body and the policy group must be consulted about any item that requires their approval during the developmental process and before approval is sought. It is imperative that the planning process describes not only when approval will occur but also when prior consultation and involvement in each planning activity will occur.

Monitoring and Assessing Performance

The governing body is responsible for ensuring that the program is meeting its goals and objectives. The results of ongoing monitoring of both program and fiscal activities provide information for the governing body and policy group to keep them appraised of program progress. The annual self-assessment results describe accomplishment of program goals and objectives and outcomes for children as well as proposals to correct any identified problems.

Addressing Human Resources

The Human Resources Management Section of the Head Start Program Performance Standards states that the governing body and the policy group must approve personnel policies and decisions to hire or terminate the Head Start or Early Head Start director. The policy group does not carry the legal and fiscal responsibility for the agency as the governing body does; consequently, the governing body may be far more involved in determining personnel policies to assure that risk to the agency is minimized. These policies form the basis of an agency's human resources system.

Setting Staff Boundaries and Limits

For all of the items that require shared approval by the policy group and the board, it is imperative that the role of staff in each item be clearly described and agreed to. In addition to the limits personnel policies place on staff, other limits or boundaries are needed to help staff understand expectations. For example, if the procedure for planning is to be initiated by staff as a draft working paper for the board and the policy group, the timeframe for receiving and acting on the draft as well as completing approvals ought to be detailed in the procedure for planning.

Boundaries for staff are needed in numerous areas. An example is the amount of flexibility staff have in making changes to the budget (which may also require changes in work plans to be detailed in agency procedures). This and other policies and directives should be part of the procedures that are adopted for governance. If a staff boundary or limit affects an area that is covered by shared decision-making, then the boundary must be approved by both groups. For example, the director has discretion to move the established percent of a budget category without the prior approval of the governing body and the policy group. The established percentage becomes the boundary that staff must follow.

Designing Governance Processes

There are three very important aspects of designing governance processes and procedures that are shared between the policy group and the governing body.

The first is to ensure that there are clearly written procedures for each item that requires shared decision-making. Because many of the individual items are part of the ongoing systems of the agency, it is imperative that policymakers (policy group and governing body) understand how action on one item must be taken before action on others can occur. For example, the funding application is not developed before goals and objectives have been adopted. Procedures must be established using the "givens" that the agency must respond to, including the cycle of funding for the Head Start program.

The roles of agency leaders and staff are an integral part of the written procedures. For example, if the governing body and policy group expect staff to present their analysis of community issues and concerns from the Community Assessment (CA) as the preliminary information for establishing goals, this needs to be described in the procedures and timetable for planning. The activities staff perform as support to the governing body and policy group help to clarify how the systems of the organization function.

The second consideration when designing a governance system is the need for a procedure to resolve disputes between the governing body and the policy group. The dispute resolution process must be developed and approved by both the governing body and the policy group. The process must describe when an impasse exists and how the process is activated. The procedure is required in the event that there is a dispute between the two bodies. Many agencies are able to avoid such conflicts if their procedures for shared decision-making are supported by a good communication system that provides thorough and timely information to both groups. In addition to quality information, both groups must respect and support the shared decision-making process.

The third consideration when designing governance procedures is to assure that a procedure for hearing and resolving community complaints about the program exists. Both the governing body and the policy group are given operating responsibility for developing and implementing the community complaint procedure. This procedure allows both bodies to hear about issues that arise from within the community and to ensure that steps are taken to respond in a timely and thorough manner.

Integrating Governing Body and Policy Group Membership

Open communication and access to information are important ingredients of shared decision-making. Many programs enhance communication between the groups by having at least one representative from the governing body serve on the policy group and at least one representative from the policy group serve on the governing body. In public agencies for which governing body membership is limited to elected members, other solutions, such as board and policy group liaisons, may help to accomplish similar results.

Exchanging members has many advantages. Each group stays abreast of what the other is doing. Relationships develop that help to personalize and demystify the groups and their members. Cooperation is fostered as relationships develop, making it easier to face challenging decisions. Most important, the two groups are better able to link their procedures when there is a linkage between the membership of the two groups.

To accomplish this purpose, it is necessary to define how the two groups relate to each other.

In summary, the governing body and the policy group are always operating with a common purpose: to improve the lives of children and families. Both groups are important contributors to the Head Start program in their community. They are both interested in making the best decisions they can for the benefit of the program and the families served. They are both parts of the systems that integrate many facets to deliver high-quality services to eligible children and families.

What Is Shared Decision-Making? Purpose: Participants use a scenario to identify how a governing body, a policy group, and agency leaders are involved in addressing a critical issue to introduce the concept of shared decision-making in Head Start.

Materials:
Handout 6: Wellspring Head Start Scenario
Chart paper and markers

1. Introduce Activity
   
   State that shared decision-making is a process that requires continuous communication among the governing body, policy group, Agency director, and Head Start director. In addition, these organizations need to understand the responsibilities that each of them has in making a Head Start program work.
   
   Explain that the purpose of this activity is to have participants apply their understanding of how a Head Start governing body, a policy group, and an agency's management staff work together. They will need to determine how shared decision-making might be implemented in the situation described in the scenario.
   
   
2. Review Scenario
   
   Divide participants into groups of four to six persons and distribute Handout 6: Wellspring Head Start Scenario. Read the questions at the end of the scenario to the group, asking participants to focus on how to answer the questions as they hear the scenario.
   
   Read the scenario to the participants or ask them to read it individually, depending on their literacy and language skills.
   
   
3. Analyze Scenario
   
   Distribute chart paper and markers to each group. Explain that a member of each group is to act as a facilitator and lead a discussion to answer the questions on Handout 6, recording responses on the chart paper. Allow 30 minutes for the groups to complete this activity.

   Assemble all the participants and discuss each group's responses to the questions. After all the responses have been given, ask if the groups think Wellspring wants to implement shared decision-making if it is funded for Head Start services.

4. Conclude

   Conclude with the following key points:

   • Shared decision-making is both an opportunity and a mandate for governing bodies and policy groups in Head Start agencies.
     
     
   • To effectively implement shared decision-making, members of governing bodies, policy groups, and agency management teams need to:
     
     
     • Adopt a holistic view of all systems of program design and management.
       
       
     • Understand how these systems are integrated to assure implementation of all Head Start Program Performance Standards.

Sorting Roles: Who Does What? Purpose: Participants will use the Head Start Program Performance Standards to describe the responsibilities of the governing body and how these responsibilities relate to those of the other decision-making organizations in Head Start.

Materials:
Handout 7: Sample Planning Calendar.
Copies for each participant of 1304.50, Subpart D-Program Design and Management, Program Governance, pp. 158-174, and 1304.50 Appendix A: Governance and Management Responsibilities, pp. 175-177, Head Start Regulations and Program Guidance for Parts 1304 and 1308
Deck of cards as described in the Trainer Preparation Notes
Chart paper and markers

1. Introduce Activity
   
   State that strong governing bodies understand that they are one part of an integrated whole. Emphasize that effective governing bodies understand that to implement and guide high-quality Head Start programs they must work in partnership with policy groups and program leaders.
   
   Explain that governing bodies are expected to seek opportunities for creative partnerships with the policy group and program leaders while carrying out their responsibilities.
   
   Tell participants that this activity will give them an opportunity to identify how the Head Start Program Performance Standards explain the ways that the governing body, policy group, and program leaders share in the decision-making process.
   
   
2. Discuss Shared Decision-Making
   
   Begin with an example of shared decision-making. Distribute and discuss Handout 7: Sample Planning Calendar.
   
   
3. Review Standards
   
   Distribute and review 1304.50, Subpart D-Program Design and Management, Program Governance, pp. 158-174, and 1304.50 Appendix A: Governance and Management Responsibilities, pp. 175-177, Head Start Regulations and Program Guidance for Parts 1304 and 1308.
   
   Note the four entities listed at the top of the chart in Appendix A: the governing body, the Policy Council or Policy Committee, the Head Start Program director, and the Agency director for a grantee agency; for a delegate, all of these entities except the Policy Committee. Review the definitions given to the letters A, B, C and D to determine the governance and management responsibilities for each entity. Explain that although the chart does not include all the requirements, it is still a good tool for reviewing shared decision-making.
   
   Explain that participants will use a deck of cards in this activity. Each card lists a number of one of the management and governance functions from the Head Start Program Performance Standards. Their first task is to answer the questions posted on the chart paper for the functions described on their cards.
   
   
4. Deal the cards so that everyone has at least one. (If there are more than 16 participants, pair them as needed to share cards. If there are less than 16 participants, they may have more than one.) Ask participants to locate the standard identified on their cards in the text of the Guidance for 1304.50 and Appendix A to 1304.50, read the information, and record their responses to the questions posted on chart paper:

   la. What responsibilities do the governing body and policy group have for making decisions for this function?

   1b. How do they carry out these responsibilities in our program ?

   1c. What do they need to overcome the challenges they face?

   2a. How do the Agency director and Head Start director support this function?

   2b. How do they carry out these responsibilities in our program?

   2c. What do they need to overcome the challenges they face?
   
   Ask the participants holding cards with red ink to answer the questions for the Standards on their cards. Encourage other participants to help answer the questions. Follow the same procedure for participants holding cards with blue and green ink.

5. Conclude
   
   Point out any new insights that participants had during the exercise.

   Suggest that participants continue this discussion by meeting to develop an action plan to overcome the challenges the governing body, policy group, Agency director, and Head Start director face in implementing shared decision-making in their program.

Sharing in Decision-Making Purpose: Participants will use the Head Start Program Performance Standards to describe the shared decision-making responsibilities of responsibilities of the governing body and how these responsibilities relate to policy group and agency leadership.

Materials:
Chart paper and colored markers for each participant
Handout 7: Sample Planning Calendar
Copies for each participant of 1304.50, Subpart D-Program Design and Management, Program Governance, pp. 158-174, and 1304.50, Appendix A: Governance and Management Responsibilities, pp. 175-177, Head Start Regulations and Program Guidance for Parts 1304 and 1308

1. Introduce Activity
   
   State that strong governing bodies understand that they are one part of an integrated whole. Emphasize that effective governing bodies understand that to implement and guide high-quality Head Start programs they must work in partnership with policy groups and program leaders.
   
   Explain that governing bodies are expected to seek opportunities for creative partnerships with the policy group, program leaders, and staff.
   
   Tell participants that this activity will give them an opportunity to identify how the governing body, policy group, and program Using the Tools of Governance in Shared Decision-Making leaders share in the decision-making process for implementing the Head Start Program Performance Standards.
   
   
2. Describe Shared Decision Making
   
   Begin with an example of shared decision-making (see Background Information). Distribute and discuss Handout 7: Sample Planning Calendar.
   
   
3. Distribute copies of 1304.50, Subpart D-Program Design and Management, Program Governance, pp. 158-174, and 1304.50, Appendix A: Governance and Management Responsibilities, pp. 175-177, Head Start Regulations and Program Guidance for Parts 1304 and 1308 and ask participants to skim the text. Note the four entities listed at the top of the chart: the governing body, the Policy Council or Policy Committee, the Head Start Program director, and the Agency director. Review the definitions given to the letters A, B, C and D to determine the governance and management responsibilities for each entity. Explain that although the chart does not include all the requirements, it is still a good tool for reviewing shared decision-making.
   
   

   One by one, write the numbers of the following Standards on chart paper:

   1. 1304.50(d)(1)(iii)
   2. 1304.50(d)(1)(iv)
   3. 1304.50(d)(1)(I)
   4. 1304.50(d)(1)(vi)
   5. 1304.50(d)(1)(ii)
   6. 1304.50(d)(1)(ix)
   7. 1304.50(d)(1)(x)
   8. 1304.50(g)(1)
   9. 1304.50(h)
   10. 1304.50(d)(1)(vii)
   11. 1304.50(d)(1)(viii)
   12. 1304.50(d)(1)(xi)
   13. 1304.50(f)
   14. 1304.50(g)(1)
   15. 1304.50(g)(2)
   16. 1304.50(d)(2)(v)

   For each Standard:
   
   (1) Ask participants to locate the Standard in the text of the Guidance and Appendix A to 1304.50, read the information, and determine the responsibilities for the governing body, policy group. Agency director, and Head Start director.

   (2) Using a marker, ask each participant to go to the posted sheets of chart paper with the headings Governing Body, Policy Group, Agency Director, and Head Start Director. Tell them to write how the responsibilities for the assigned Standard are carried out in their program by the individual/group identified at the top of the chart paper. (Give a different colored marker to each participant.)
   
   (3) Discuss responses, referring to 1304.50, Subpart D-Program Design and Management, Program Governance, pp. 158-174, and 1304.50, Appendix A: Governance and Management Responsibilities, pp. 175-177, Head Start Regulations and Program Guidance for Parts 1304 and 1308 as needed for clarification.

4. Summarize Responsibilities
   
   After everyone's functions have been described, ask participants to review the information on the chart paper and identify action words, phrases, or concepts that capture the general roles and responsibilities of each entity. Record responses on chart paper under the appropriate heading. Examples for each entity appear below.

   Action words/phrases/concepts that describe the governing body include:

   • Establishing boundaries
   • Creating a vision and broad goals
   • Guiding
   • Overseeing
   • Ensuring
   • Assessing performance

   Action words/phrases/concepts for the Policy Council include:

   • Approving or disapproving
   • Reviewing
   • Participating
   • Advising
   • Recommending
   • Asking questions
   • Planning
   • Developing

   Action words/phrases/concepts for the Agency director (with respect to Head Start functions) include:

   • Collaborating
   • Encouraging
   • Supporting
   • Supervising
   • Assessing community needs
   • Facilitating
   • Drafting
   • Proposing

   Action words/phrases/concepts for the Head Start director include:

   • Planning
   • Managing
   • Directing
   • Implementing
   • Monitoring
   • Training and coaching
   • Evaluating
   • Drafting
   • Proposing

   Ask participants to review the action words/phrases/concepts and identify shared responsibilities of the governing body, policy group, and agency leadership.
   
   Using the Background Information, discuss examples of when the governing body acts as a mentor, coach, partner, and peer to the policy group.

5. Conclude
   
   Refer to any new insights that participants had during the exercise. Conclude by saying that although the chart does not include all the requirements, it is still a good reference tool for understanding shared decision-making.

Next Steps: Ideas to Extend Practice

Participants working independently or with other staff can build on the skills developed in this Guide by completing the activities below.

Redesign the system for communicating information

Effective governance depends on good decision-making. In Head Start, governing bodies depend on concise, clear, and relevant information to make sound decisions. To enhance information flow to the governing body, it is important that program leaders, staff, and policy groups evaluate how they keep board members informed.

1. Ask policy group members, the Agency director, and the Head Start director to track how they communicate with the governing body. Summarize the findings.
   
   
2. Appoint a facilitator to conduct meetings with the Agency director, the Head Start director, and members of the policy group and governing body. Focus the meetings on working together to design and implement an improved system for communicating with the governing body and policy group. Begin the first meeting by reviewing the data collected on how the policy group. Agency director, and Head Start director communicate with the governing body. Next, ask participants to discuss the following questions:
   
   
   • What types of information do the governing body and policy group need to do their jobs effectively?
     
     
   • How frequently do we need to provide this information?
     
     
   • What format could we use to provide this information?
     
     
3. Develop guidelines for communicating information to the governing body. For example, consider the purpose of the communication, the appropriate time for communicating specific information, how the information relates to the responsibilities of the governing body, and how format and visuals can be used to clarify the information. An example of guidelines to use when communicating information to a governing body can be found on the National Center for Nonprofit Boards' Web site.¹

Assess extent of shared decision-making activities

Arrange a data collection session with the Agency director, the Head Start director, and members of the governing body and policy group to assess the extent to which shared decision-making is used in the organization.

1. Begin by defining how the organization can comply with the Head Start Program Performance Standards to implement shared decision-making.
   
   
2. Facilitate a discussion to answer the following questions:
   
   
   • What are we doing to implement shared decision-making?
     
     
   • What challenges are we facing?
     
     
   • What can we do to overcome these challenges?
     
     
3. Arrange regular follow-up meetings to evaluate how successfully the challenges are being addressed. Use the follow-up meetings to develop new or improved strategies to address the challenges.

¹Frequently Asked Questions About Nonprofit Governance: How do we keep board members informed? (Washington, DC: National Center for Nonprofit Boards, 1998).