INCA Board & Head Start Policy Council Joint Governance Training & ERSEA—Final Rule

1. INCA Board & Head Start Policy Council Joint Governance Training & ERSEA—Final Rule Presented By: Kathy Castleberry , INCA H.S. Director Information taken from “Understanding the role of the Board/Head Start Policy Council” 2nd Edition. Patricia McClellan & “ERSEA—The Final Rule” Office of Head Start

3. ……We can work together and use the experiences of each other to provide useful services for our community. Board of Directors + Policy Council + Management + Staff Teamwork = SUCCESS

4. Shared Governance: The Board of Directors and Policy Council Working Together • INCA Head Start is a division of INCA Community Services, which is a non-profit organization. Every non-profit corporation has a Board of Directors. It is important to understand that all decisions regarding policy for the program requires approval of the Board of Directors.

5. INCA Community Services is a Community Action Program and operates several different programs under the non-profit corporation. • Head Start, JAMM Transit, RAVE, Housing & Weatherization, RSVP (Retired Senior Volunteer Program), RX Oklahoma, VITA (Volunteer Income Tax Assistance) Emergency & Homeless Services are a few of the departments that make up INCA Community Services.

6. Understanding The Organizational Structure of INCA Community Services

7. We work toward goals set by the Board of Directors. INCA Community Services Board of Directors is charged with the ownership responsibility of the non-profit corporation. This means the Board of Directors is ultimately responsible for all of the actions of INCA Community Services and is responsible for establishing and maintaining policy for all the programs that INCA operates.

8. Shared Governance: The Board of Directors and Policy Council Working Together • The Head Start Staff &/or Policy Council do not have authority to set policy on their own, unless the Board of Directors has specifically delegated this authority to them. INCA Head Start Staff & Policy Council have not been given this authority, therefore everything we do has to be approved by the Board of Directors.

9. Responsibilities of the Board of Directors—connecting the programs. The Improving Head Start for School Readiness Act, which was signed into law on December 12, 2007, spells out the responsibility of the Board in other activities. The Act clarified the Board’s responsibility for these activities. These requirements will ensure that the Board participates fully in the Head Start Program.

10. Responsibilities of the Board of Directors • The Board of Directors has legal, fiscal, and fiduciary responsibility of the non-profit agency. • Legal Responsibility: Requires that the Board assure that the agency is operating in compliance with all federal, state, and local laws. • Fiscal Responsibility: Requires the Board to account for the funds received by the agency in accordance with standard accounting principles, and in compliance with the rules and regulations of the funding source.

11. Responsibilities of the Board of Directors • Fiduciary Responsibility: Is one of public trust—in essence the Board is responsible to the community at large to ensure that funds are being utilized for the purpose for which they were received, and that the agency is being operated in an ethical manner.

12. Responsibilities of the Board of Directors according to the Improving Head Start for School Readiness Act • Setting policy is not limited to establishing personnel policies or enrollment policies. The Board is also required to: • Establish the mission statement for the agency. • Determine the clientele that will be served. • Decide what grants or other funds the agency will apply for. • Formulate a system to ensure that the targeted clients are receiving the services offered.

13. Responsibilities of the Board of Directors according to the Improving Head Start for School Readiness Act • Establish long-range strategic plan for the agency. • Determine goals for the agency. • Fully participate in the annual Self-Assessment of the Head Start Program. • Fully participate in any financial audits of the program. • Determine procedures for recruitment, selection, and enrollment of children.

14. Responsibilities of the Board of Directors according to the Improving Head Start for School Readiness AcT • Review all funding applications. • Review & approve personnel policies regarding hiring, termination, evaluation, and compensation of all Head Start Staff. • Hiring & Firing the Executive Director, Head Start Director, Director of Human Resources, Chief Financial Officer, and other key staff.

15. Board of Director Membership Requirements under the Improving Head Start for School Readiness Act • At least 1 member will have fiscal management or accounting background & expertise. • At least 1 member will have an early childhood education and development background and expertise. • At least 1 member will be a licensed attorney familiar with issues that come before a governing body.

16. Board of Director Membership Requirements under the Improving Head Start for School Readiness Act • If a Board is not able to find the individuals listed above, they may use a consultant with the expertise required. The consultant will work directly with the board.

17. Board of Director Membership Requirements under the Improving Head Start for School Readiness Act • Lorinda Chancellor, Superintendent of Mill Creek Schools, is our Educational Consultant, whose credentials include: A double Bachelor’s Degree in Early Childhood and Elementary Education, Master’s Degree in Education and is highly qualified in a number of fields. She also holds an Elementary Administration , Secondary Administration, and a Superintendent’s Certificate. Mrs. Chancellor is a former INCA Head Start Student. • Sarilea Combs worked for INCA for approximately 3 years at Tushka INCA Head Start. And is currently a Board Member, and Chairman of the Board.

18. Board of Director Membership Requirements under the Improving Head Start for School Readiness Act • Lowell Wright ,fiscal consultant and has extensive knowledge in fiscal management. He also completes Federal Reviews of other Head Start Programs in the fiscal area. • James Thornley , legal consultant, who is an Attorney, a former Assistant District Attorney, and a former INCA Board Member.

19. Policy Council does not look like the Board and does not act like the Board. But it does have it’s own responsibilities. The Federal Head Start Performance Standards require Head Start Agencies to establish a Policy Council who has shared decision-making authority for the Head Start Program. This means that the Policy Council along with the Board of Directors has responsibility of making all decisions regarding the Head Start Program. The Policy Council has the same legal, fiscal, and fiduciary responsibilities as the Board of Directors.

20. Responsibilities of the Policy Council • The Policy Council has the authority to approve or disapprove the following areas: • All funding applications • Procedures describing how the Board and the Policy Council will implement shared decision-making. • Procedures for Head Start program planning

21. Responsibilities of the Policy Council • The program’s philosophy and long and short range program goals and objectives. • The selection of the Head Start service area. • The composition of the Policy Council and the procedures by which members are chosen. • Criteria for defining recruitment, selection, and enrollment priorities.

22. Responsibilities of the Policy Council • The annual self-assessment. • Program personnel policies and changes to those policies. • Decision to hire or terminate the Head Start Director. • Decision to hire or terminate any person who works primarily for the Head Start program.

23. Responsibilities of the Policy Council The Policy Council must perform the following functions directly: • Serve as a link to the Parent Committees, Board of Directors, public & private organizations, and the communities they serve. • Assist Parent Committees in communicating with parents of enrolled children to ensure that they understand their rights, responsibilities, and opportunities in Head Start and to encourage their participation in the program.

24. Responsibilities of the Policy Council • Assist in recruiting volunteer services from parents, community residents, community organizations, and assist in the mobilization of community resources to meet identified needs. • Establish and maintain procedures for working with the Head Start program to resolve community complaints about the program.

25. Shared Board & Policy Council Information The Head Start Act has specific requirements for information that must be shared with the Board & Policy Council. Each group must receive “accurate and regular information about program planning, policies and Head Start agency operations,” including the following

26. Communication between the Board & Policy Council • Both the Board & Policy Council should have open lines of communication. In order to promote communication between the Board & Policy Council, each group should share its Meeting Minutes with the other group. This allows for shared information about important issues.

27. The Improving Head Start for School Readiness Act and Information Sharing • Monthly financial statements including credit card expenditures; • Monthly program information summaries; • Program enrollment reports • Monthly reports of meals and snacks provided through the Department of Agriculture programs. • Financial Audit

28. The Improving Head Start for School Readiness Act and Information Sharing • Annual Self-Assessment; • Strategic Plan; • Community Needs Assessment; • Communication and guidance issued by the Secretary of Health & Human Services (Information Memorandums & Program Instructions)

29. Communication between the Board & Policy Council • One way that INCA facilitates open communication is to have a liaison from the Policy Council attend Board Meetings and a liaison from the Board of Directors attend Policy Council Meetings. However, all Board & Policy Council Members are always welcome to attend all meetings.

30. Internal Dispute Resolution or Impasse Procedure • The Policy Council & Board of Directors must jointly establish a written Internal Dispute Resolution. INCA has an Impasse Procedure that will be followed in the event that there is a disagreement between the Board & Policy Council that cannot be resolved.

31. IMPASSE PROCEDURE Policy: The impasse procedure is designed to assist the Board of Directors and the policy council to find resolution in a conflict dispute. Procedure: The Executive Director shall oversee and provide guidance in the implementation of the Conflict/Dispute Resolution process. He/She may request the assistance of the chairperson of both the Board of Directors and the Policy Council as deemed necessary. Time-lines: The Executive Director in the appropriate situation as described above will determine the time-line and any subsequent adjustments of time periods for resolution of the conflict/dispute allowing for the following: The best interest of the organization to ensure uninterrupted services to children and families and avoid disruption of the program activities as well as the mental health of the organization personnel. Reasonable time to reach a resolution is within a ninety (90) day period or less.

32. Impasse Procedure, continued Both the Board of Directors and Policy Council with the majority vote of its membership, can call for the implementation of the Conflict/Dispute Resolution Procedure. Both bodies must participate once a call for this implementation has been initiated. Once the formal resolution procedure is initiated, all involved are expected to: Attempt to resolve the problem at the earliest stage, not to exceed 90 days; All discussion should be targeted to the specific concern(s); and All parties should be responsive to the health, safety and welfare of consumers and programs as a primary concern during the entire resolution process. The Executive Director or designee shall be present at all proceedings. In the event a resolution is not achieved, an independent certified mediator will be utilized from an organization such as Early Settlement Services. In mediation, an outside person will facilitate a hearing between the parties and assist both in understanding each other and in reaching an agreement. When the agreement is reach for resolving the dispute, both parties will sign a document to the effect and the decision of the mediator will be final. Records - A record of all proceedings and action of both bodies and the Executive Director.

33. Policy Council members are limited (by Federal Performance Standards) to serve a combined total of three (3) one-year terms. There are no exceptions to the term limits. (New Federal Performance Standards are looking at lengthening this to five (5) years) Board Members shall serve for a term of three (3) years and may be re-appointed or re-elected at the end of the term provided that any such member may not serve more than seven (7) terms for a cumulative total of twenty-one years.

34. TERM LIMITS APPLY TO ALL!!!

35. Conflict of Interest No agency staff or members of their immediate families may serve on Policy Council or Board of Directors. Definition of Immediate Family Members: Wife Husband Child Step Child Mother Father Step Parent Brother Sister Aunt Uncle Niece Nephew Mother-in-law Father-in-law Daughter-in-law Son-in-law Brother-in-law Sister-in-law Grandmother Grandfather Grandchild Or any person residing in the Policy Council or Board Member’s immediate household.

36. Conflict of Interest Policy council members must not be on staff in any full-time, part-time or temporary position. The only exception is that a Policy Council parent my “occasionally substitute”. An occasional substitute would be someone who has worked no more than once every 30 days. Board members are also not allowed to be employed by INCA. The Head Start Act also states that Policy Council Members “shall not have a conflict of interest with the Head Start agency; and shall not receive compensation for serving on the Policy Council, or for providing services to the Head Start Agency”. Conflict of Interest also includes Policy Council & Board members’ families. In most states it is a violation of the not-for-profit corporation laws for members of the immediate family of the governing body to receive any monetary gain from the not-for-profit corporation.

37. Federal Review & You Every Head Start grantee is required to receive an on-site Federal Review yearly, depending upon which type of Review the grantee is under.. Both the Board and the Policy Council will be expected to take part in the Federal Review and answer questions about the program. Some examples of Review Team Interview Questions: • How did you become a member of the Policy Council or Board? • Who is on the Policy Council or Board? • What is the process for communicating with the Board of Directors? • Describe any training that Head Start has offered to you? • What kinds of information or documents does the program provide to the Policy Council and Board?

38. Purpose of the Federal Review The purpose of the Review is to ensure that INCA Head Start is complying with Head Start Performance Standards. Your best preparation for the Review is to understand your role on the Policy Council or Board of Directors and how the governing bodies work in our program. If the program is following the Performance Standards and Board Members & Policy Council are involved in the decision-making process and can explain how decisions are made to the Review Team, each of you will be able to answer all of their questions.

39. We like to think of the Board, Policy Council, and Head Start Staff as the perfect triangle. We all depend on each other for strength, each group is vital to the success of our program, and it takes all of us working together to withstand the load that is placed on all of us Government Rules & Regulations, Budget Cuts, Unstable economy Board of Directors Head Start Staff Policy Council (Parents & Community Members)

40. Head S Head Start Eligibility Final Rule • The Head Start Eligibility Final Rule was published in the Federal Register on February 10, 2015. • Effective on March 12,2015. The new provisions will be in FY2016 Monitoring Protocol, which means it will be used starting October 1, 2015.

41. What does the new rule do? • Provides a roadmap for programs on how to determine eligibility; • Describes documents program may accept to prove eligibility; and, • Requires programs to retain records and to train staff.

42. What does the new rule do? • Except for the following provisions listed, this rule reiterates current requirements in the HSPPS or in the Head Start Act. • New Provisions in the Final Rule on HS Eligibility: • Option for telephone interview • Eligibility determination records • Allowance for serving homeless children • Written declarations

43. What does the new rule do? Other new provisions: 5) Third party verification 6) Program policies and procedures (including actions for violating regulations) 7) Training for Staff and Governing Bodies

44. added vs Revised • Accepted • Enrolled • foster care • homeless children • Migrant or Seasonal Head Start Program • Participant • Relevant time period • Verify

45. Interview Requirements

46. INTERVIEW OPTION

47. Verify Information

48. ELIGIBILITY DETERMINATION RECORDSStaff must create an eligibility determination record for each participant.

49. Eligibility work sheet

50. Income eligibility requirements A pregnant woman or child is eligible IF: The family’s income is equal to or below the poverty line; or, The family is eligible for public assistance.