[Code of Federal Regulations] [Title 45, Volume 4] [Revised as of October 1, 2007] From the U.S. Government Printing Office via GPO Access [CITE: 45CFR1304.50] [Page 134-138] TITLE 45--PUBLIC WELFARE CHAPTER XIII--OFFICE OF HUMAN DEVELOPMENT SERVICES, DEPARTMENT OF HEALTH AND HUMAN SERVICES PART 1304_PROGRAM PERFORMANCE STANDARDS FOR THE OPERATION OF HEAD START Subpart D_Program Design and Management Sec. 1304.50 Program governance. (a) Policy Council, Policy Committee, and Parent Committee structure. (1) Grantee and delegate agencies must establish and maintain a formal structure of shared governance through which parents can participate in policy making or in other decisions about the program. This structure must consist of the following groups, as required: (i) Policy Council. This Council must be established at the grantee level. (ii) Policy Committee. This Committee must be established at the delegate agency level when the program is administered in whole or in part by such agencies (see 45 CFR 1301.2 for a definition of a delegate agency). (iii) Parent Committee. For center-based programs, this Committee must be established at the center level. For other program options, an equivalent Committee must be established at the local program level. When programs operate more than one option from the same site, the Parent Committee membership is combined unless parents choose to have a separate Committee for each option. (2) Parent Committees must be comprised exclusively of the parents of children currently enrolled at the center level for center-based programs or at the equivalent level for other program options (see 45 CFR 1306.3(h) for a definition of a Head Start parent). (3) All Policy Councils, Policy Committees, and Parent Committees must be established as early in the program year as possible. Grantee Policy Councils and delegate Policy Committees may not be dissolved until successor Councils or Committees are elected and seated. (4) When a grantee has delegated the entire Head Start program to one delegate agency, it is not necessary to have a Policy Committee in addition to a grantee agency Policy Council. (5) The governing body (the group with legal and fiscal responsibility for administering the Early Head Start or Head Start program) and the Policy Council or Policy Committee must not have identical memberships and functions. (b) Policy group composition and formation. (1) Each grantee and delegate agency governing body operating an Early Head Start or Head Start program must (except where such authority is ceded to the Policy Council or Policy Committee) propose, within the framework of these regulations, the total size of their respective policy groups (based on the number of centers, classrooms or other program option units, and the number of children served by their Early Head Start or Head Start program), the procedures for the election of parent members, and the procedure for the selection of community representatives. These proposals must be approved by the Policy Council or Policy Committee. (2) Policy Councils and Policy Committees must be comprised of two types of representatives: parents of currently enrolled children and community representatives. At least 51 percent of the members of these policy groups must be the parents of currently enrolled children (see 45 CFR 1306.3(h) for a definition of a Head Start parent). (3) Community representatives must be drawn from the local community: businesses; public or private community, civic, and professional organizations; and others who are familiar with resources and services for low-income children and families, including for example the parents of formerly enrolled children. (4) All parent members of Policy Councils or Policy Committees must stand for election or re-election annually. All community representatives also must be selected annually. (5) 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. (6) No grantee or delegate agency staff (or members of their immediate families) may serve on Policy Councils or Policy Committees except parents who occasionally substitute for regular Early Head Start or Head Start staff. In the case of Tribal grantees, this exclusion applies only to Tribal staff who work in areas directly related to or which directly impact upon any Early [[Page 135]] Head Start or Head Start administrative, fiscal or programmatic issues. (7) Parents of children currently enrolled in all program options must be proportionately represented on established policy groups. (c) Policy group responsibilities--general. At a minimum policy groups must be charged with the responsibilities described in paragraphs (d), (f), (g), and (h) of this section and repeated in appendix A of this section. (d) The Policy Council or Policy Committee. (1) Policy Councils and Policy Committees must work in partnership with key management staff and the governing body to develop, review, and approve or disapprove the following policies and procedures: (i) All funding applications and amendments to funding applications for Early Head Start and Head Start, including administrative services, prior to the submission of such applications to the grantee (in the case of Policy Committees) or to HHS (in the case of Policy Councils); (ii) Procedures describing how the governing body and the appropriate policy group will implement shared decision-making; (iii) Procedures for program planning in accordance with this part and the requirements of 45 CFR 1305.3; (iv) The program's philosophy and long- and short-range program goals and objectives (see 45 CFR 1304.51(a) and 45 CFR 1305.3 for additional requirements regarding program planning); (v) The selection of delegate agencies and their service areas (this regulation is binding on Policy Councils exclusively) (see 45 CFR 1301.33 and 45 CFR 1305.3(a) for additional requirements about delegate agency and service area selection, respectively); (vi) The composition of the Policy Council or the Policy Committee and the procedures by which policy group members are chosen; (vii) Criteria for defining recruitment, selection, and enrollment priorities, in accordance with the requirements of 45 CFR part 1305; (viii) The annual self-assessment of the grantee or delegate agency's progress in carrying out the programmatic and fiscal intent of its grant application, including planning or other actions that may result from the review of the annual audit and findings from the Federal monitoring review (see 45 CFR 1304.51(i)(1) for additional requirements about the annual self-assessment); (ix) Program personnel policies and subsequent changes to those policies, in accordance with 45 CFR 1301.31, including standards of conduct for program staff, consultants, and volunteers; (x) Decisions to hire or terminate the Early Head Start or Head Start director of the grantee or delegate agency; and (xi) 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. (2) In addition, Policy Councils and Policy Committees must perform the following functions directly: (i) Serve as a link to the Parent Committees, grantee and delegate agency governing bodies, public and private organizations, and the communities they serve; (ii) Assist Parent Committees in communicating with parents enrolled in all program options to ensure that they understand their rights, responsibilities, and opportunities in Early Head Start and Head Start and to encourage their participation in the program; (iii) Assist Parent Committees in planning, coordinating, and organizing program activities for parents with the assistance of staff, and ensuring that funds set aside from program budgets are used to support parent activities; (iv) Assist in recruiting volunteer services from parents, community residents, and community organizations, and assist in the mobilization of community resources to meet identified needs; and (v) Establish and maintain procedures for working with the grantee or delegate agency to resolve community complaints about the program. (e) Parent Committee. The Parent Committee must carry out at least the following minimum responsibilities: [[Page 136]] (1) Advise staff in developing and implementing local program policies, activities, and services; (2) Plan, conduct, and participate in informal as well as formal programs and activities for parents and staff; and (3) Within the guidelines established by the governing body, Policy Council, or Policy Committee, participate in the recruitment and screening of Early Head Start and Head Start employees. (f) Policy Council, Policy Committee, and Parent Committee reimbursement. Grantee and delegate agencies must enable low-income members to participate fully in their group responsibilities by providing, if necessary, reimbursements for reasonable expenses incurred by the members. (g) Governing body responsibilities. (1) Grantee and delegate agencies must have written policies that define the roles and responsibilities of the governing body members and that inform them of the management procedures and functions necessary to implement a high quality program. (2) Grantee and delegate agencies must ensure that appropriate internal controls are established and implemented to safeguard Federal funds in accordance with 45 CFR 1301.13. (h) Internal dispute resolution. Each grantee and delegate agency and Policy Council or Policy Committee jointly must establish written procedures for resolving internal disputes, including impasse procedures, between the governing body and policy group. Appendix A--Governance and Management Responsibilities [A=General responsibility; B=Operating responsibility; C=Must approve or disapprove; D=Determined locally] ---------------------------------------------------------------------------------------------------------------- Grantee Agency Delegate Agency Grantee or Delegate ------------------------------------------------------- Management Staff Function --------------------------- Governing Policy Governing Policy HS* Program Agency Body Council Body Cmte. Director Director ---------------------------------------------------------------------------------------------------------------- I. Planning šššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššš (a) 1304.50(d)(1)(iii) A & C C C C B D Procedures for program planning in accordance with this Part and the requirements of 45 CFR 1305.3. (b) 1304.50(d)(1)(iv) The A & C C C C B D program's philosophy and long- and short-range program goals and objectives (see 45 CFR 1304.51(a) and 45 CFR 1305.3 for additional requirements regarding program planning). (c) 1304.50(d)(1)(v) The A & C C -- -- B D selection of delegate (Grantee (Grantee agencies and their service only) only) areas (this regulation is binding on Policy Councils exclusively) (see 45 CFR 1301.33 and 45 CFR 1305.3(a) for additional requirements about delegate agency and service area selection, respectively). (d) 1304.50(d)(1)(vii) A C A C B D Criteria for defining recruitment, selection, and enrollment priorities, in accordance with the requirements of 45 CFR Part 1305. (e) 1304.50(d)(1)(i) All A & C C A & C C B D funding applications and amendments to funding applications for Early Head Start and Head Start, including administrative services, prior to the submission of such applications to the grantee (in the case of Policy Committees) or to HHS (in the case of Policy Councils). [[Page 137]] (f) 1304.50(f) Policy A C A C B D Council, Policy Committee, and Parent Committee reimbursement. Grantee and delegate agencies must enable low-income members to participate fully in their group responsibilities by providing, if necessary, reimbursements for reasonable expenses incurred by the members. (g) 1304.50(d)(1)(viii) The A C A C B D annual self-assessment of the grantee or delegate agency's progress in carrying out the programmatic and fiscal intent of its grant application, including planning or other actions that may result from the review of the annual audit and findings from the Federal monitoring review (see 45 CFR 1304.51(i)(1) for additional requirements about the annual self- assessment). šššššššššššššššššššššššššššššš II. General Procedures šššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššš (a) 1304.50(d)(1)(vi) The A & C C A & C C B D composition of the Policy Council or the Policy Committee and the procedures by which policy group members are chosen. (b) 1304.50(g)(1) Grantee and A & C -- A & C -- -- D delegate agencies must have written policies that define the roles and responsibilities of the governing body members and that inform them of the management procedures and functions necessary to implement a high quality program. (c) 1304.50(d)(1)(ii) A & C C A & C C D D Procedures describing how the governing body and the appropriate policy group will implement shared decision-making. (d) 1304.50(h) Internal A & C C A & C C D D dispute resolution. Each grantee and delegate agency and Policy Council or Policy Committee jointly must establish written procedures for resolving internal disputes, including impasse procedures, between the governing body and policy group. (e) 1304.50(d)(2)(v) B B B B D D Establish and maintain procedures for hearing and working with the grantee or delegate agency to resolve community complaints about the program. [[Page 138]] (f) 1304.50(g)(2) Grantee and A -- A -- D D delegate agencies must ensure that appropriate internal controls are established and implemented to safeguard Federal funds in accordance with 45 CFR 1301.13. (g) The annual independent A -- A -- D D audit that must be conducted in accordance with 45 CFR 1301.12. šššššššššššššššššššššššššššššš III. Human Resources Management šššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššššš (a) 1304.50(d)(1)(ix) Program A & C C A & C C D D personnel policies and subsequent changes to those policies, in accordance with 45 CFR 1301.31, including standards of conduct for program staff, consultants, and volunteers. (b) 1304.50(d)(1)(x) A & C C -- -- -- D Decisions to hire or terminate the Early Head Start or Head Start director of the grantee agency. (c) 1304.50(d)(1)(xi) A C -- -- B D Decisions to hire or (Grantee terminate any person who only) works primarily for the Early Head Start or Head Start program of the grantee agency. (d) 1304.50(d)(1)(x) -- -- A & C C -- D Decisions to hire or terminate the Early Head Start or Head Start director of the delegate agency. (e) 1304.50(d)(1)(xi) -- -- A C B D Decisions to hire or (Delegate terminate any person who only) works primarily for the Early Head Start or Head Start program of the delegate agency. ---------------------------------------------------------------------------------------------------------------- KEY AND DEFINITIONS AS USED IN CHART * When a grantee or delegate agency operates an Early Head Start program only and not an Early Head Start and a Head Start program, these responsibilities apply to the Early Head Start Director. A. General Responsibility. The group with legal and fiscal responsibility that guides and oversees the carrying out of the functions described through the individual or group given operating responsibility. B. Operating Responsibility. The individual or group that is directly responsible for carrying out or performing the functions consistent with the general guidance and oversight from the group holding general responsibility. C. Must Approve or Disapprove. The group that must be involved in the decision-making process prior to the point of seeking approval. If it does not approve, a proposal cannot be adopted, or the proposed action taken, until agreement is reached between the disagreeing groups. D. Determined locally. Management staff functions as determined by the local governing body and in accordance with all Head Start regulations. (The information and collection requirements are approved by the Office of Management and Budget (OMB) under OMB Control Number 0970-0148 for paragraphs (f), (g), and (h).) [61 FR 57210, Nov. 5, 1996, as amended at 63 FR 2314, Jan. 15, 1998]