Head Start

If a member of the Policy Council completes three years of service on a Policy Council for one program, it should prevent the individual from serving on another Policy Council if that individual should relocate to another area.

The Head Start Program Performance Standards at 45 CFR 1304.50(b)(5) has determined that Policy Councils and Policy Committees must limit the number of one-year terms any individual may serve on either body to a combined total of three terms.

Requirement

45 CFR 1304.50(b)(5)

July 11, 2006

Programs have flexibility when deciding Board and Policy Council membership procedures and rules. The regulations state that the Board and Policy Council cannot have identical membership but that does not mean that a member of the Board is prohibited from being a voting member of the Policy Council and conversely a Policy Council member could also be a voting member of the Board as long as such an arrangement is in the by-laws of the Board and the Policy Council.

Informal Guidance

March 15, 2007

With the increase of Head Start – State Pre-Kindergarten partnerships, there have been numerous instances of shared human, fiscal and material resources by Head Start agencies and local school districts. In some cases, these partnerships pose new challenges for the implementation of shared governance.

The Head Start philosophy and regulations support the participation of parents through shared governance in decisions about their local Head Start program. For example, the Policy Council must approve decisions to hire or terminate any person who “works primarily for the Early Head Start or Head Start program of the grantee or delegate agency”. If a Head Start agency pays the school district for the services of the district’s employees (or claims the value of their services as non-federal share), the Head Start agency should determine whether the dollar amount constitutes more than half of the particular individual’s compensation. If it does, the Policy Council shares approval authority with the governing body and key management staff over the hiring and termination of the school district employee’s employment, in so far as it involves working in the Head Start program.

In addition, whether or not the employee meets the “works primarily for” criteria, a Policy Council still has a role to play in participating in decisions about the status of school district employees playing significant roles in the Head Start program. When a Head Start agency transfers the performance of substantive programmatic work, such as teaching or administration, to a third party, such as a school district, that transfer constitutes a “change in scope”. A “change of scope” requires the prior approval of the Regional Office. In order to obtain prior approval, a grantee must submit to the Regional Office in its annual grant application (or proposed modification) a description of proposed collaboration. Consistent with the provisions of 45 CFR Part 1304.50(d), this grant application must be approved by the Policy Council. Grantees that are pursuing cooperative relationships with school districts are encouraged to involve the Policy Council early on in any discussions with the school so that issues can be addressed as the agreement is being developed and all parties involved will have a clear understanding of the nature of the collaboration.

Informal Guidance

April 23, 2007

A decision by a Head Start grantee (or delegate agency) to hire or terminate any person who works primarily for the Head Start program requires the approval of the program’s Policy Council (or Policy Committee). However, there may occasionally be situations that necessitate a program finding a suitable replacement for an important staff position before it is possible to obtain Policy Council approval. For example, a key member of the staff who performs critical functions for the program might be involved in a serious accident during a weekend. Such situations, although uncommon, do occur and pose risks to the continuing capacity of the Head Start program to provide uninterrupted services to children and families. The Office of Head Start expects all Early Head Start and Head Start grantees and delegate agencies to develop policies and procedures for the emergency hiring of personnel. These policies and procedures should be included in the agency’s personnel policies or bylaws, or both. The policies and procedures should address emergency hiring procedures, including a discussion of how to assure the Policy Council is afforded a timely opportunity to fulfill their staff hiring and termination approval responsibilities.

Head Start agencies are reminded that before employing an individual they are required to obtain a criminal background check.

See ACF-PI-HS-08-04.

Informal Guidance

April 23, 2007
Revised September 25, 2008

This Policy Clarification is currently under review.

No. Programs are mandated to provide reimbursement only to low-income families. Programs, at their discretion, may, however, provide reasonable reimbursement to all members.

Requirement

45 CFR 1304.50(f)

June 19, 2007

This Policy Clarification is currently under review.

No. If a parent alternate does not actually cast a vote during a program year, that individual did not actually serve as a Policy Council member. He/she would be allowed to serve up to three terms as a Policy Council member if elected or re-elected.

Requirement

45 CFR 1304.50(b)(5)

July 3, 2007

45 CFR 1304.50(g)(1) requires the governing bodies of Head Start grantees and delegate agencies to have written policies that define the roles and responsibilities of the governing body members. However, neither the Head Start statute nor regulations govern such issues as limitations on the number of terms an officer or member of the governing body may serve. Such term limits remain an internal organizational matter.

Informal Guidance

July 13, 2007

In accordance with 45 CFR 1350(b)(6), an individual may not serve on the Policy Council and also be hired as a temporary or regular employee of the Head Start agency.

However, there is one exception permitted. A parent member of the Policy Council may "occasionally substitute for regular Early Head Start or Head Start staff."

Requirement

45 CFR 1350(b)(6)

July 13, 2007

Any allegations of misuse of Head Start grant funds or concerns about the use of such funds should be addressed to the Regional Office and should include as much factual detail and specificity as possible.

Informal Guidance

July 13, 2007

The terms "policies", "plans" and "procedures" are all concerned with directing or guiding present and future action by the governing body and Policy Council, management, and staff of the Head Start program. These terms are not interchangeable. Although they have some similarity, the three terms are progressively more specific in their focus.

The governing body and Policy Council have responsibility for developing or approving policies for a Head Start program. When the program leadership decides what organizational goals to achieve and chooses a definite course of action, they explain through policy what the program’s course of action is and will be. Policy determines or guides future decisions important to the Head Start mission. Policies are statements of ways that an organization intends to achieve its mission and various goals.

Plans may be the responsibility of the governing body and Policy Council, management or staff. Plans are concerned with breaking down what needs to be done to accomplish a goal into a series of steps to be carried out over a specified period of time, by particular assigned individuals, in a particular location(s). Plans typically include schedules of events or activities. They tend to focus on when, where and who will carry out the series of steps necessary to achieve the goal.

Procedures may be the responsibility of the governing body and Policy Council, management or staff. Procedures focus on how individuals and groups are to perform their responsibilities, in carrying out specific steps or protocols. A set of instructions may detail the sequence, timing and execution of specified actions necessary to complete a task(s) or step(s). Procedures are a particular way to get something done for the organization.

A particular policy may require a plan(s) and procedures. The Program Performance Standards do not prescribe that these be separate or integrated documents. Written policies, plans, and procedures may be separate documents, or they may be integrated, at the discretion of each program.

Informal Guidance

July 31, 2007

Child abuse and neglect training for Head Start staff is particularly important due to the serious consequences for Head Start children when it occurs, and also when it goes undetected or unaddressed by the adults who are involved with those children directly impacted. The individual(s) who trains Head Start staff must be qualified to train on the local, state, and federal requirements concerning child abuse and neglect. The knowledge, skills and experience in the field of child abuse and neglect generally resides in the local child protective services agency. Head Start programs should collaborate with child protective services agencies to determine the appropriate training content and qualifications of trainers. The child protection agency may directly provide the training to Head Start staff, or they may co-train with appropriate Head Start staff trainers. If a particular child protection agency is over-burdened, the Head Start program should request referral to another qualified training resource(s) available in the community. For example, in some areas the local school district has qualified social workers to train school personnel on child abuse and neglect identification and reporting. These trainers may be made available to Head Start through partnership agreements. There may be other qualified trainers available as well. The Head Start program must document agreements and decisions concerning training content, and trainer qualifications. Programs should maintain an ongoing record of training conducted, names and qualifications of trainers, and names and positions of trainees.

At a minimum, the content of training should include identification and reporting of child abuse and neglect, State statute requirements concerning child abuse and neglect, the Head Start program’s plan, including procedures for responding to suspected or known child abuse and neglect, and any collaborative agreements between Head Start and the child protective services agency. Training should also include policies and procedures for the identification and reporting of child abuse and neglect allegedly committed by Head Start agency personnel.

Since all Head Start staff come in contact with Head Start children and their families in the course of performing their various responsibilities, the training should be provided to all Head Start staff. The governing body and Policy Council should also be provided appropriate training on child abuse and neglect to ensure that they have the necessary knowledge to provide oversight to Head Start management on the implementation of local, State and federal requirements.

Requirement

45 CFR 1304.52(k)(3)(i)

July 31, 2007

This Policy Clarification is currently under review.

Yes. In accordance with 45 CFR 1304.50(d)(1)(xi) Policy Council approval is required for hiring of any person who works primarily for the Early Head Start or Head Start program. This would apply to hiring a current staff person for a new position.

Requirement

45 CFR 1304.50(d)(1)(xi)

August 21, 2007

Staff cannot be fired without Policy Council approval. (The only exception is that if a grantee’s personnel policies permit, a probationary employee can be terminated without Policy Council approval.) If the Board has delegated, in writing, responsibility for decisions related to the termination of staff to the Executive or Head Start Director a staff member can be terminated without explicit authority from the Board. It is expected, however, that even when firing decisions have been delegated, the Board will be regularly apprised of any personnel changes.

Requirement

45 CFR 1304.50(d)(1)(xi)

September 26, 2007

Each Head Start grantee should develop its own policies and procedures that reflect that grantee’s particular needs. However, grantees must assure any such policies and procedures conform to all relevant local, state and federal statutes such as, for example, compliance with the Fair Labor Standards Act.

Requirement

45 CFR 1301.31

September 26, 2007

Head Start regulations governing Parent Committees at 45 CFR 1304.50(a)(1)(iii), 1304.50(a)(2), 1304.50(a)(3), and 1304.50(e) establish standards for Parent Committee structure and minimum responsibilities related to shared governance. However, specific operational procedures governing membership on Parent Committees—and mechanisms for removal—are assigned to the discretion of local programs. In the situation described, it is up to the local program as specified in Parent Committee procedures to determine the grounds for removal of a Parent Committee member or the conditions for serving as a Parent Committee officer. It remains, however, the expectation of ACF as the funding agency that local programs will take every measure to ensure Federal funds are safeguarded and not misused by Policy Councils, Policy Committees, or Parent Committees.

Informal Guidance

October 10, 2007

Head Start regulations at 45 CFR 1304.50(b)(6) do not cover the composition of Parent Committees established at the center level as required by 1304.50(a)(1)(iii). Therefore, parents may serve on center-level Parent Committees even if they are also employed by the Head Start agency or members of their immediate families are so employed. Programs should keep in mind that 45 CFR 1304.50(a)(2) requires that Parent Committees be comprised "exclusively of the parents of children currently enrolled at the center level for center-based programs."

Requirement

45 CFR 1304.50(a)(2)

October 10, 2007

A change in the time a center is open would be considered a change in the program design and, as such, must be authorized by the OHS Regional Office through a revised budget request that requires Policy Council approval.

Requirement

45 CFR 1304.50(d)(i)

November 20, 2007

The governing body membership must include the following:

1. One or more members with a background and expertise in fiscal management and accounting.
2. One or more members with a background and expertise in early childhood education and development.
3. One or more licensed attorneys familiar with Head Start governing body issues.
4. Additional members who reflect the community and include parents of formerly or currently enrolled Head Start children.
5. Other members selected for their expertise in education, business administration, or community affairs.

Note: If a Head Start agency is unable to include members for any of the first three categories (1-3) above, the governing body must obtain the services of a consultant or other individual with the required background and expertise to work with the governing body instead.

Requirement

Sec. 642(c)(1)(B) of the Head Start Act

January 22, 2008

Please refer to OHS – PC – E – 027.

February 6, 2008
Revised February 23, 2009

Section 642(c)(1)(B) of the Head Start Act establishes composition requirements for all Head Start agency governing bodies.  In general, governing body membership should include at least one member with “a background and expertise in fiscal management or accounting” and at least one member with “a background and expertise in early childhood education and development.”  In addition, governing body membership should include “a licensed attorney familiar with issues that come before the governing body.”  It is our expectation that Head Start agencies will take action to include such individuals as members on their governing bodies.  However, section 642(c)(1)(B)(vi) authorizes governing bodies to secure consultants or other individuals with the relevant expertise and qualifications described at section 642(c)(1)(B)(i)-(iii) to “work directly with the governing body” if individuals with the required background and expertise are not available to actually serve as members. 

The Head Start Act does not define or describe “a background and expertise” by reference to educational qualifications or credentials.  It is reasonable, however, for us to expect Head Start agencies to secure the membership or services of individuals with demonstrated experience in fiscal management or accounting, early childhood education and development, and legal issues that routinely come before Head Start governing bodies.  All Head Start agencies should bear in mind that their Head Start governing bodies are required by the Head Start Act to “have legal and fiscal responsibility for administering and overseeing programs” under the Head Start Act.

Requirement

Section 642(c)(1)(A)(B) and (E)(i) of the Head Start Act

February 6, 2008

Yes, provided the advisory committee (or sub-board) does not supplant the governing body’s legal and fiscal responsibilities related to program governance. Head Start agency governing bodies may, at their discretion, establish advisory committees (or sub-boards) to oversee key responsibilities related to program governance and program improvement, as follows:
 
(a)  A Head Start governing body should have policies and procedures to ensure that, in establishing an advisory committee (or sub-board), it retains legal and fiscal responsibility for the Head Start agency as required under section 642(c)(1) of the Head Start Act (the Act). Such policies and procedures should include:

(1)  a written agreement specifying the specific duties, actions, and obligations the proposed advisory committee (or sub-board) is responsible for in overseeing responsibilities related to program governance and Head Start program improvement;
 
(2)  procedures describing the membership of the advisory committee (or sub-board), the responsibilities of each member, and the process and procedures for their selection; and
 
(3)  procedures describing how the advisory committee (or sub-board) will provide the governing body with sufficient and timely information about its activities and decisions in order to enable the governing body to exercise their legal and fiscal responsibilities for administering and overseeing Head Start programs including safeguarding of Federal funds as required by section 642(c)(1)(E)(i) and (d)(2) of the Act. 

(b) Prior to establishing an advisory committee (or sub-board), the governing body should notify the responsible OHS official in order for OHS to assure that the proposed arrangement is appropriate.

Informal Guidance

July 21, 2008
Revised September 18, 2008

Yes. In accordance with Section 642(c)(2)(B)(i) of the Head Start Act, the policy council members must be elected by the parents of children who are currently enrolled in the Head Start program of the Head Start agency.

Requirement

Section 642(c)(2)(B)(i) of the Head Start Act

October 29, 2008

As long as the individual is licensed to practice law and is "familiar with issues that come before the governing body," including issues under the laws of the state in which the grantee operates, he or she will be considered to have met the requirements of the Head Start Act.

Requirement

Section 642(c)(1)(B)(iii) of the Head Start Act

December 1, 2008

Section 642(c)(1)(B)(i)-(iii) of the Head Start Act requires governing bodies of Head Start agencies to assure that at least one member has a background and expertise in fiscal management or accounting, one member has a background and expertise in early childhood education and development, and one member is a licensed attorney familiar with the issues that come before the governing body.  Should an agency choose to have additional members on its board it must assure that those additional members reflect the community to be served, include parents of children who are currently or were formerly enrolled in the Head Start program and further assure that additional members are selected for their expertise in education, business administration, or community affairs.

If a Head Start agency cannot find an individual with fiscal management expertise, early childhood education expertise or a licensed attorney to serve as a board member, the agency may use a consultant with relevant expertise to work with the Board.  In addition, if an individual is holding a position on the governing body of a public entity as the result of public election or political appointment, the individual is not required to have a background and expertise in fiscal management or accounting, early childhood education and development and law (a licensed attorney familiar with the issues that come before the governing body) or meet the other requirements for membership under section 642(c)(1)(B)(iv), as required under section 642(c)(1)(B)(vi).

Can a staff member of a Head Start agency serve as a member of a governing body?

No, Section 642(c)(1)(C)(iii) prohibits staff members from membership in the governing body.

Can a staff member serve as a consultant to a governing body?

There is no legal prohibition against a staff member of a Head Start agency serving as a consultant to the governing body. Each Head Start governing body must make its own choice about which, if any, consultants to use in order to assure that board members are provided with accurate, objective and complete information.  

Do the public entity governing body membership exceptions apply to Indian Tribes?

The public entity governing body exceptions in Section 642(c)(1)(B)(v) of the Head Start Act applies to governing bodies of Federally-recognized Indian tribes whose members are publicly elected or politically appointed when the tribal governing body also serves as the governing body for the tribe’s Head Start program. 

Can governing body members be compensated for serving on the governing body or for providing services to the Head Start agency?

Governing body members, with the exception discussed below, cannot be compensated for serving on the governing body or for providing services to the Head Start agency, as required by Section 642(c)(C)(ii).

What exceptions are allowed for governing body member compensation?

In accordance with Section 642(c)(1)(D), if an individual holds a position as a result of public election or political appointment, and such position carries with it a concurrent appointment to serve as a member of a Head Start agency governing body, and the position held as the result of public election or political appointment provides compensation, that individual shall not be prohibited from receiving compensation.

Can consultants be compensated for providing services to the governing body or for providing services to the Head Start agency?

If an individual with the required background and expertise is not available to serve as a member, a grantee may compensate a consultant or another individual with the relevant expertise for providing services to the governing body or for providing services to the Head Start agency. If the consultant or other individual with relevant expertise contributes their services, the agency may claim that contribution as non-federal share.

Requirement

Section 642 (c) (1) (B), (C) and (D) of the Head Start Act

February 17, 2009

The governing body is responsible under section 642(c)(1)(E)(iv)(VI) for developing procedures for how all members of the policy council are selected, consistent with section 642(c)(2)(B). Section 642(c)(2)(B) states that all members of the policy council shall be elected by the parents of children who are currently enrolled in the Head Start program of the Head Start agency.

The Policy Council is responsible under section 642(c)(2)(D)(vii) for developing procedures for how members of the policy council of the Head Start agency will be elected. Once the Policy Council has approved the procedures, they submit the procedures to the governing body for its approval.

While the Head Start Act (the Act) requires that Policy Council members be elected by parents of children enrolled in the program, the Act gives the governing body authority over the process of selecting Policy Council members. The Policy Council has a role in recommending how procedures will be developed by the governing body for the election of Policy Council members. The governing body determines the system for election of the Policy Council. This may include, for example, how such individuals are nominated, how elections are conducted and the qualifications for membership.

Requirement

Section 642(c)(1)(E)(iv)(VI) and section 642(c)(2)(D)(vii) of the Head Start Act

May 13, 2009

A conflict of interest refers to a clash between the private interests and the official duties and obligations of a person occupying a position in a Head Start agency. The Head Start Act lists specific conditions as conflicts of interest that, unless eliminated, would prohibit an individual from serving on a governing body. There are some other conditions where a conflict of interest may be of a limited nature and the conflict of interest may be addressed through the individual’s recusal from participation in discussions and votes on matters affected by the conflict.

Can an individual who has a relative who is employed by the Head Start agency serve as a member of the governing body?

Section 642(c)(1)(C)(iii) of the Head Start Act prohibits individuals from serving on the governing body if members of their “immediate family” work for the Head Start agency. The definition of “immediate family” generally includes the spouse, parents and grandparents, children and grandchildren, brothers and sisters, mother-in-law and father-in-law, brothers-in-law and sisters-in-law, daughters-in-law and sons-in-law, and adopted and step family members.

Section 642(c)(1)(D) of the Act allows an exception if the individual holds a position as a result of public election or political appointment, and such position carries with it a concurrent appointment to serve as a member of a Head Start agency governing body. In such cases, the Head Start agency is required to report the conflict of interest to OHS.

Can a member of a governing body provide services to the Head Start agency in return for compensation?

Section 642(c)(1)(C)(ii) of the Head Start Act prohibits members of the governing body from receiving compensation for serving on the governing body and providing services for compensation to the Head Start agency. As a decision-maker, a governing body member is expected to act in the best interest of the Head Start grantee. As a vendor who provides services to the agency, an individual has an interest in continuing a beneficial relationship with the grantee. These interests are in conflict and this situation is prohibited by the statute.

Section 642(c)(1)(D) of the Act allows an exception if the individual holds a position as a result of public election or political appointment, and such position carries with it a concurrent appointment to serve as a member of a Head Start agency governing body. In such cases, the Head Start agency is required to report the conflict of interest to OHS.

Can an individual serve as a member of a governing body if he or she has a “personal relationship” with the Head Start Director or another member of the staff?

Section 642(c)(1)(C)(i) of the Head Start Act prohibits persons with a “financial conflict of interest with the Head Start agency” from serving as a member of the governing body. In the case of a governing body member with a close and continuing relationship with a staff member, the financial interests of the staff member in continued employment with the grantee and possible preferential treatment may be imputed to the governing body member with whom the staff member has the relationship if justified by the circumstances. The conflict can either be addressed through the exclusion of the member with the conflict from the governing body, or the member’s recusal from discussion of, and voting on, issues that would have a direct and predictable effect on the staff member in question. The situation should be evaluated based in part on the staff member’s position in the agency. In cases in which the staff member is not in a managerial position, the grantee should consider whether the situation can be addressed through the governing body member’s recusal, as described in this Policy Clarification.
 
What general advice can OHS provide on procedures a Head Start agency should follow in conflict of interest situations?

OHS suggests that Head Start agencies faced with a conflict of interest situation should examine the facts, analyze the issues, and make a determination about how the situation will be handled. The agency is advised to make a record of the conflict of interest situation, how it was resolved, and why it was resolved in a particular way.

Requirement

Section 642(c)(1)(C) and (D) of the Head Start Act

May 13, 2009

Head Start and delegate agencies may establish policies and procedures for reimbursement of governing body members for reasonable costs actually incurred by members, such as transportation and child care, associated with their participation in board and committee meetings. Reimbursement may be limited to low-income members at the discretion of the agency.

Requirement

2 CFR Part 230, Appendix B(52)(OMB Circular A-122)

September 1, 2009