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WelcomeWelcome

Governance WorkshopGovernance Workshop

20092009Presenters

Elise Mann

Loukisha Smart-Pennix

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Possible Governance Possible Governance DefinitionsDefinitions

• Method or system of government or Method or system of government or management of the organization management of the organization

• The way in which an organization is The way in which an organization is run and controlled run and controlled

• ..defines the model to ensure optimal ..defines the model to ensure optimal reuse of services and enforcement of reuse of services and enforcement of corporate policies corporate policies

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GovernanceGovernance

• --The means in which the leading The means in which the leading authority, often the board of authority, often the board of directors in a CBO / non-profit directors in a CBO / non-profit organization, guides and monitors organization, guides and monitors the values and goals of its the values and goals of its organization through policy and organization through policy and proceduresprocedures. .

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What are your What are your organizational values organizational values

and goalsand goals• Do your board members ascribe to Do your board members ascribe to

them?them?• Does your mission statement reflect Does your mission statement reflect

your organization’s current values your organization’s current values and goals?and goals?

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Who is your leading Who is your leading authority?authority?

• Board of Directors ??Board of Directors ??• Policy Group???Policy Group???• Youth Council??Youth Council??• Advocates??Advocates??• Combination of bodiesCombination of bodies• Just You!!!!!Just You!!!!!

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Written board Written board proceduresprocedures

• Board members should have a copy Board members should have a copy of the current policies and of the current policies and proceduresprocedures

• Policies should be reviewed annuallyPolicies should be reviewed annually• How will the Board make decisions How will the Board make decisions

between meetingsbetween meetings• Adhering to Human Rights Adhering to Human Rights

Ordinance of the City of ChicagoOrdinance of the City of Chicago

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Annual trainingAnnual training

• Board members receive annual Board members receive annual training ontraining on– ProgramsPrograms– PoliciesPolicies– Budgeting and understanding fiscal Budgeting and understanding fiscal

reportsreports– Roles and ResponsibilitiesRoles and Responsibilities

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The Board MeetsThe Board Meets

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Active membersActive members

• Active membersActive members• Do your members attend meetings Do your members attend meetings

regularly?regularly?• Does your board share responsibility Does your board share responsibility

for your agency’s development?for your agency’s development?

– What types of resources are brought to the tableWhat types of resources are brought to the table• FundraisingFundraising• In kind servicesIn kind services

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Board CommitteesBoard Committees

• Do you have a finance committee?Do you have a finance committee?– What types of reports go to the committee?What types of reports go to the committee?– What type of recommendations does the committee What type of recommendations does the committee

make?make?

• Do you have an audit committee?Do you have an audit committee?– Who sees the Single Audit?Who sees the Single Audit?– Helps to select your auditorHelps to select your auditor– Who overseas audit finding resolution?Who overseas audit finding resolution?

• Do you have an Personnel committee?Do you have an Personnel committee?– Who assures that that personnel procedures are Who assures that that personnel procedures are

updated and reviewed regularly (i.e. Labor Law updated and reviewed regularly (i.e. Labor Law updates)?updates)?

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Board committeesBoard committees

• Do you have an Nominating committee?Do you have an Nominating committee?– Who reviews new candidates for Board of Directors?Who reviews new candidates for Board of Directors?– Who recommends candidates to the Board of Directors?Who recommends candidates to the Board of Directors?

Thoughts: Thoughts: – Qualified fiscal Board Member (note: Head Start Qualified fiscal Board Member (note: Head Start

Requirement)Requirement)– Resumes for Board Members readily availableResumes for Board Members readily available

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Knowledge of the Knowledge of the organization and its organization and its

programsprograms• Does your Board understand the Does your Board understand the

programs that you operate?programs that you operate?• Does your Board know the Does your Board know the

performance metrics for your FSS performance metrics for your FSS funded programs?funded programs?

– Sub Grant Agreement (certifications, staffing patterns )Sub Grant Agreement (certifications, staffing patterns )– Fair Housing and Human RightsFair Housing and Human Rights– EnrollmentEnrollment– Performance Measures and OutcomesPerformance Measures and Outcomes– Expenditure levelsExpenditure levels– Close out deadlinesClose out deadlines

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Stick to policy making Stick to policy making not day-to-day issuesnot day-to-day issues

• What role does your Board have with What role does your Board have with policy?policy?

• What role does your Board have with What role does your Board have with day to day operational decisions?day to day operational decisions?

• How does your staff support the How does your staff support the Board?Board?

• How does the Board support your How does the Board support your staff?staff?

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Avoid conflicts of interestAvoid conflicts of interest

• Arms length transactionsArms length transactions• Disclosure rules in placeDisclosure rules in place• Procurement policiesProcurement policies• Avoid self-serving policiesAvoid self-serving policies

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Regular communicationsRegular communications

• Who reports to the board?Who reports to the board?• Does the board have access to the Does the board have access to the

minutes?minutes?• How do they get copies of the minutes?How do they get copies of the minutes?• Are the minutes approved?Are the minutes approved?• Quorum reached at every meetingQuorum reached at every meeting• Are reports given before meeting?Are reports given before meeting?

– Thought : can members attend via Thought : can members attend via conference calls or the web?conference calls or the web?

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Minutes for meetings Minutes for meetings

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Minutes for meetings Minutes for meetings

• Written Agendas for meetingsWritten Agendas for meetings• Approved minutes Approved minutes

– Who was present?Who was present?– Which committees reported?Which committees reported?– Who voted for what?Who voted for what?

TH

E M

INU

TE

S

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Review key financial Review key financial informationinformation

• Does the board see the annual auditDoes the board see the annual audit• Does the board receive a budget vs. actual Does the board receive a budget vs. actual

on a monthly basis?on a monthly basis?• Does the board see the budget?Does the board see the budget?• Does the board know when new grants Does the board know when new grants

are received and lost / reduced?are received and lost / reduced?• Does the board receive a copy of the FSS Does the board receive a copy of the FSS

fiscal reports and audits?fiscal reports and audits?• Is the Board made aware of disallowed Is the Board made aware of disallowed

grant costs or late tax filings ?grant costs or late tax filings ?

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Annual evaluation of Annual evaluation of CEOCEO

Will they think I’ve been doing a good

job????

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Annual evaluation of Annual evaluation of CEOCEO

• Annual review (written)Annual review (written)• Board expectations of CEO/PresidentBoard expectations of CEO/President• CEO/President expectations of the CEO/President expectations of the

BoardBoard• CompensationCompensation• Other Key personnelOther Key personnel

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InsuranceInsurance

• Do you have Officers and Directors Do you have Officers and Directors insurance?insurance?

• What is Directors & Officers What is Directors & Officers Insurance? Insurance? – Directors & Officers insurance provides Directors & Officers insurance provides

financial protection for the directors and financial protection for the directors and officers of your company in the event officers of your company in the event they are sued in conjunction with the they are sued in conjunction with the performance of their duties as they relate performance of their duties as they relate to the company. to the company.

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IRS FORM IRS FORM 990: New 990: New

Governance Governance SectionSection

23What Does This Mean?

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Legal

Fiscal&

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Essential Playersin Program Governance

• Key Staff

• Board of Directors

• Policy Committees

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http://www.acf.hhs.gov/programs/hsb/hsfa/

http://eclkc.ohs.acf.hhs.gov/hslc

http://cys.mycopa.com/

http://www.ilheadstart.org/

http://www.nhsa.org/

Resources

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3 Essentials Working Together

• 1304.50(d)(1)(i-xii):Policy Groups must work in partnership

with key management staff, and the governing body to review, develop, and approve or disapprove the following policies and procedures:

(Always cf w/1304.50 Appendix A;

Refer to handout)

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Board

FinanceCitywide Parent Policy

Executive Director / Program Director

Human Resources

Policy Committee

Relationship of Governing Bodies

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Part 1301 - Head Start Grants Administration

Part 1302 - Policies And Procedures For Selection, Initial Funding, And Refunding

Of Head Start Grantees, And For Selection Of Replacement Grantees

Part 1303 - Appeal Procedures For Head Start Grantees And Current Or

Prospective Delegate Agencies

Part 1304 - Program Performance Standards For The Operation Of Head Start

Programs By Grantee And Delegate Agencies

CFR 45 1300 Series 1300 to 1311

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Part 1305 - Eligibility, Recruitment, Selection, Enrollment, And Attendance In Head StartPart 1306- Head Start Staffing Requirements And Program OptionsPart 1307- Reserved For Future UsePart 1308- Head Start Program Performance Standards On Services For Children With Disabilities

Subpart A - GeneralSubpart B - Disabilities Service PlanSubpart C - Social Services Performance StandardsSubpart D - Health Services Performance StandardsSubpart E - Education Services Performance StandardsSubpart F - Nutrition Performance StandardsSubpart G - Parent Involvement Performance Standards

Part 1309 -Head Start Facilities PurchasePart 1310- Head Start TransportationPart 1311- Head Start Fellows Program

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Subpart A - General

1304.1 Purpose And Scope

1304.2 Effective Date

1304.3 Definitions

Subpart B - Early Childhood Development And Health Services

.20 Child Health And Developmental Services

a Determining Child Health Status

b Developmental, Sensory, And Behavioral Screening

c Extended Follow-Up And Treatment

d Ongoing Care

e Involving Parents

f Individualization Of The Program

.21 Education And Early Childhood Development

a Child Development And Education Approach For All Children

b Child Development And Education Approach For Infants And Toddlers

c Child Development And Education Approach For Preschoolers

.22 Child Health And Safety

a Health Emergency Procedures

b Conditions Of Short-Term Exclusion And Admittance

c Medication Administration

d Injury Prevention

e Hygiene

f First Aid Kits

.23 Child Nutrition

a Identification Of Nutritional Needs

b Nutritional Services

c Meal Service

d Family Assistance With Nutrition

e Food Safety And Sanitation

.24 Child Mental Health

a Mental Health Services

Subpart C - Family And Community Partnerships

.40 Family Partnerships

a Family Goal Setting

b Accessing Community Services And Resources

c Services To Pregnant Women Who Are Enrolled In Programs Serving Pregnant Women, Infants, And Toddlers

d Parent Involvement - General

e Parent Involvement In Child Development And Education

f Parent Involvement In Health, Nutrition, And Mental Health Education

g Parent Involvement In Community Advocacy

h Parent Involvement In Transition Activities

I Parent Involvement In Home Visits

.41 Community Partnerships

a Partnerships

b Advisory Committees

c Transition Services

Subpart D - Program Design And Management

.50 Program Governance

a Policy Council, Policy Committee, And Parent Committee Structure

b Policy Group Composition And Formation

c Policy Group Responsibilities - General

d The Policy Council Or Policy Committee

e Parent Committee

f Policy Council, Policy Committee, And Parent Committee Reimbursement

g Governing Body Responsibilities

h Internal Dispute Resolution

Appendix A To 1304.50 Governance And Management Responsibilities

.51 Management Systems And Procedures

a Program Planning

b Communications - General

c Communication With Families

d Communication With Governing Bodies And Policy Groups

e Communication Among Staff

f Communication With Delegate Agencies

g Record-Keeping Systems

h Reporting Systems

I Program Self-Assessment And Monitoring

.52 Human Resources Management

a Organizational Structure

b Staff Qualifications - General

c Early Head Start Or Head Start Director Qualifications

d Qualifications Of Content Area Experts

e Home Visitor Qualifications

f Infant And Toddler Staff Qualifications

g Classroom Staffing And Home Visitors

h Standards Of Conduct

I Staff Performance Appraisals

j Staff And Volunteer Health

k Training And Development

.53 Facilities, Materials, And Equipment

a Head Start Physical Environment And Facilities

b Head Start Equipment, Toys, Materials, And Furniture

Subpart E - Implementation And Enforcement

.60 Deficiencies And Quality Improvement Plans

.61 Noncompliance

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Head Start Performance Standard 1304.50-Program Governance

• 1304.50 is designed to ensure that each grantee and delegate agency have an established policy group and a well functioning governing body that share responsibility for overseeing the delivery of high quality services to children and families.

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Sample Governance Questions 2008 OHS Monitoring Protocol

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Parents

Staff

Community

Board

Management

Policy Groups

QualityBest PracticeResponsiveAccountable

It Takes A Village…..

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Thank you

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Smarter than a 5th Grader?

1 vs 100?

Jeopardy ?

2008 OHS Monitoring Protocol