Section 642(c)(1)(B) of the Head Start Act describes the required composition of a Head Start governing body.

The governing body shall be composed as follows:

(i) Not less than 1 member shall have a background and expertise in fiscal management or accounting.

(ii) Not less than 1 member shall have a background and expertise in early childhood education and development.

(iii) Not less than 1 member shall be a licensed attorney familiar with issues that come before the governing body.

(iv) Additional members shall—

(I) reflect the community to be served and include parents of children who are currently, or were formerly, enrolled in Head Start programs; and

(II) are selected for their expertise in education, business administration, or community affairs.

(v) Exceptions shall be made to the requirements of clauses (i) through (iv) for members of a governing body when those members oversee a public entity and are selected to their positions with the public entity by public election or political appointment.

(vi) If a person described in clause (i), (ii), or (iii) is not available to serve as a member of the governing body, the governing body shall use a consultant, or another individual with relevant expertise, with the qualifications described in that clause, who shall work directly with the governing body.

The HSPPS at Governing body, 45 CFR §1301.2, states:

(a) Composition. The composition of a governing body must be in accordance with the requirements specified at section 642(c)(1)(B) of the Act, except where specific exceptions are authorized in the case of public entities at section 642(c)(1)(D) of the Act. Agencies must ensure members of the governing body do not have a conflict of interest, pursuant to section 642(c)(1)(C) of the Act.

The Head Start Act of 2007 does not define or describe "a background and expertise" in educational qualifications or credentials. It is reasonable, however, 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.

The HSPPS at Purpose, 45 CFR §1301.1, states:

"An agency, as defined in part 1305 of this chapter, must establish and maintain a formal structure for program governance that includes a governing body, a policy council at the agency level and policy committee at the delegate level, and a parent committee. Governing bodies have a legal and fiscal responsibility to administer and oversee the agency’s Head Start programs. Policy councils are responsible for the direction of the agency’s Head Start programs."

Section 642(c)(1)(C)(iii) of the Head Start Act prohibits staff members from membership in the 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 ensure board members are provided with accurate, objective, and complete information.

The public entity governing body exceptions listed in Section 642(c)(1)(B)(v) of the Head Start Act apply 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.

Section 642(c)(1)(C)(ii) of the Head Start Act states that governing body members cannot be compensated for serving on the governing body or for providing services to the Head Start agency. An exception to this is described in the next question.

Section 642(c)(1)(D) of the Head Start Act states that 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.

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

Section 642(c)(1)(E)(iv)(XI) of the Head Start Act describes how the governing body can establish and use advisory committees to support its responsibilities:

(E) RESPONSIBILITIES - The governing body shall—

(iv) be responsible for other activities, including—

(XI) to the extent practicable and appropriate, at the discretion of the governing body, establishing advisory committees to oversee key responsibilities related to program governance and improvement of the Head Start program involved.

In addition, Governing body, 45 CFR §1301.2, states:

(c) Advisory committees. (1) A governing body may establish advisory committees as it deems necessary for effective governance and improvement of the program.

(2) If a governing body establishes an advisory committee to oversee key responsibilities related to program governance, it must:

(i) Establish the structure, communication, and oversight in such a way that the governing body continues to maintain its legal and fiscal responsibility for the Head Start agency; and,

(ii) Notify the responsible HHS official of its intent to establish such an advisory committee.

Section 642(c)(1)(C) and (D) of the Head Start Act defines conflict of interest for governing body members as follows:

(C) CONFLICT OF INTEREST - Members of the governing body shall—

(i) not have a financial conflict of interest with the Head Start agency (including any delegate agency);

(ii) not receive compensation for serving on the governing body or for providing services to the Head Start agency;

(iii) not be employed, nor shall members of their immediate family be employed, by the Head Start agency (including any delegate agency); and

(iv) operate as an entity independent of staff employed by the Head Start agency.

(D) EXCEPTION - 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 such individual has any conflict of interest described in clause (ii) or (iii) of subparagraph (C)—

(i) such individual shall not be prohibited from serving on such body and the Head Start agency shall report such conflict to the Secretary; and

(ii) if the position held as a result of public election or political appointment provides compensation, such individual shall not be prohibited from receiving such compensation.

Overview, 45 CFR §1302.1, reaffirms this prohibition on conflict of interest:

(a) Composition. The composition of a governing body must be in accordance with the requirements specified at section 642(c)(1)(B) of the Act, except where specific exceptions are authorized in the case of public entities at section 642(c)(1)(D) of the Act. Agencies must ensure members of the governing body do not have a conflict of interest, pursuant to section 642(c)(1)(C) of the Act.

The Office of Head Start (OHS) suggests Head Start agencies faced with a conflict of interest situation examine the facts, analyze the issues, and decide how the situation will be handled. OHS advises agencies to keep records of all conflict of interest situations, how they were resolved, and why they were resolved in a particular way.

Section 642(c)(2)(B) of the Head Start Act describes the selection and election requirements for members of a Policy Council:

(i) 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.

(ii) The Policy Council shall be composed of–

(I) parents of children who are currently enrolled in the Head Start program of the Head Start agency (including any delegate agency), who shall constitute a majority of the members of the policy council; and

(II) members at large of the community served by the Head Start agency (including any delegate agency), who may include parents of children who were formerly enrolled in the Head Start program of the agency.

In addition, the HSPPS at Policy Council and policy committee, 45 CFR §1301.3, states:

(b) Composition. (1) A program must establish a policy council in accordance with section 642(c)(2)(B) of the Act, or a policy committee at the delegate level in accordance with section 642(c)(3) of the Act, as early in the program year as possible. Parents of children currently enrolled in each program option must be proportionately represented on the policy council and on the policy committee at the delegate level.

Section 642(c)(2)D)(vii) of the Head Start Act describes the role the Policy Council plays in developing election procedures for the Policy Council:

(D) RESPONSIBILITIES - The Policy Council shall approve and submit to the governing body decisions about each of the following activities:

(vii) Developing procedures for how members of the Policy Council of the Head Start agency will be elected.

Section 642(c)(1)(E)(iv)(VI) describes the role the governing body plays in developing selection procedures for the Policy Council:

(E) RESPONSIBILITIES - The governing body shall –

(iv) be responsible for other activities, including –

(VI) developing procedures for how members of the Policy Council are selected, consistent with paragraph (2)(B).

Section 642(c)(2)(C) of the Head Start Act defines conflict of interest for Policy Council members as follows:

(C) CONFLICT OF INTEREST- Members of the policy council shall –

(i) not have a conflict of interest with the Head Start agency (including any delegate agency); and

(ii) not receive compensation for serving on the policy council or for providing services to the Head Start agency.

Policy Council and policy committee, 45 CFR §1301.3(b), states:

(2) The program must ensure members of the policy council, and of the policy committee at the delegate level, do not have a conflict of interest pursuant to sections 642(c)(2)(C) and 642(c)(3)(B) of the Act. Staff may not serve on the policy council or policy committee at the delegate level except parents who occasionally substitute as 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 administrative, fiscal, or programmatic issues.

Policy council and committee, 45 CFR §1301.3(b), states:

(2) The program must ensure members of the policy council, and of the policy committee at the delegate level, do not have a conflict of interest pursuant to sections 642(c)(2)(C) and 642(c)(3)(B) of the Act. Staff may not serve on the policy council or policy committee at the delegate level except parents who occasionally substitute as 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 administrative, fiscal, or programmatic issues.

The HSPPS at Policy council and policy committee, 45 CFR §1301.3, states:

2. Composition. (1) A program must establish a policy council in accordance with section 642(c)(2)(B) of the Act, or a policy committee at the delegate level in accordance with section 642(c)(3) of the Act, as early in the program year as possible. Parents of children currently enrolled in each program option must be proportionately represented on the policy council and on the policy committee at the delegate level.

There is no current regulation or policy that addresses this issue. To demonstrate their commitment to collaborative decision-making, many programs choose to organize an interim policy group made up of potential Head Start parents and community representatives who are involved in the process of hiring Head Start staff.

The Policy Council and policy committees are known as policy groups. The Policy Council exists at the grantee level of a Head Start program. If the grantee has delegate agencies carrying out the program, then the Policy Committee must be formed. Section 642(c)(2) and (3) of the Head Start Act describes Policy Council and Policy Committees as follows:

(c) Program Governance - Upon receiving designation as a Head Start agency, the agency shall establish and maintain a formal structure for program governance, for the oversight of quality services for Head Start children and families and for making decisions related to program design and implementation. Such structure shall include the following:

(2) POLICY COUNCIL –

(A) IN GENERAL - Consistent with paragraph (1)(E), each Head Start agency shall have a policy council responsible for the direction of the Head Start program, including program design and operation, and long- and short-term planning goals and objectives, taking into account the annual communitywide strategic planning and needs assessment and self-assessment.

(3) POLICY COMMITTEES - Each delegate agency shall create a policy committee, which shall—

(A) be elected and composed of members, consistent with paragraph (2)(B) (with respect to delegate agencies);

(B) follow procedures to prohibit conflict of interest, consistent with clauses (i) and (ii) of paragraph (2)(C) (with respect to delegate agencies); and

(C) be responsible for approval and submission of decisions about activities as they relate to the delegate agency, consistent with paragraph (2)(D) (with respect to delegate agencies).

Parent committees, 45 CFR §1301.4, describes parent committees as follows:

(a) Establishing parent committees. A program must establish a parent committee comprised exclusively of parents of currently enrolled children as early in the program year as possible. This committee must be established at the center level for center-based programs and at the local program level for other program options. When a program operates more than one option, parents may choose to have a separate committee for each option or combine membership. A program must ensure that parents of currently enrolled children understand the process for elections to the policy council or policy committee and other leadership opportunities.

(b) Requirements of parent committees. Within the parent committee structure, a program may determine the best methods to engage families using strategies that are most effective in their community, as long as the program ensures the parent committee carries out the following minimum responsibilities:

(1) Advise staff in developing and implementing local program policies, activities, and services to ensure they meet the needs of children and families; 

(2) Have a process for communication with the policy council and policy committee; 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.

Parents and other community representatives are limited to a maximum of five one-year terms. Terms are limited to ensure greater numbers of parents have access to the decision-making experience and that new ideas and community representatives are available to the program.

The HSPPS at Policy council and policy committee, 45 CFR §1301.3 address term limits for Policy Council and Policy Committee members:

(d) Term. (1) A member will serve for one year.

(2) If the member intends to serve for another year, s/he must stand for re-election.

(3) The policy council, and policy committee at the delegate level, must include in its bylaws how many one-year terms, not to exceed five terms, a person may serve.

(4) A program must seat a successor policy council, or policy committee at the delegate level, before an existing policy council, or policy committee at the delegate level, may be dissolved.

Policy council and policy committee, 45 CFR §1301.3 addresses reimbursement for Policy Council activities:

(e) Reimbursement. A program must enable low-income members to participate fully in their policy council or policy committee responsibilities by providing, if necessary, reimbursements for reasonable expenses incurred by the low-income members.

Section 642(c)(2)(D)(vi) describes the Policy Council's role in personnel decisions:

(D) RESPONSIBILITIES - The policy council shall approve and submit to the governing body decisions about each of the following activities:

(vi) Program personnel policies and decisions regarding the employment of program staff, consistent with paragraph (1)(E)(iv)(IX), including standards of conduct for program staff, contractors, and volunteers and criteria for the employment and dismissal of program staff.

Terms, 45 CFR §1305.2, defines "parent" as:

Parent means a Head Start child's mother or father, other family member who is a primary caregiver, foster parent or authorized caregiver, guardian, or the person with whom the child has been placed for purposes of adoption pending a final adoption decree.

Section 642(c)(2)(d) of the Head Start Act lists the duties and responsibilities of the Policy Council, including:

(i) Activities to support the active involvement of parents in supporting program operations, including policies to ensure that the Head Start agency is responsive to community and parent needs.

(ii) Program recruitment, selection, and enrollment priorities.

(iii) Applications for funding and amendments to applications for funding for programs under this subchapter, prior to submission of applications described in this clause.

(iv) Budget planning for program expenditures, including policies for reimbursement and participation in policy council activities.

(v) Bylaws for the operation of the policy council.

(vi) Program personnel policies and decisions regarding the employment of program staff, consistent with paragraph (1)(E)(iv)(IX), including standards of conduct for program staff, contractors, and volunteers and criteria for the employment and dismissal of program staff.

(vii) Developing procedures for how members of the policy council of the Head Start agency will be elected.

(viii) Recommendations on the selection of delegate agencies and the service areas for such agencies.

The HSPPS at Impasse procedures, 45 CFR §1301.6, addresses conflict resolution between the governing body and Policy Council:

(a) To facilitate meaningful consultation and collaboration about decisions of the governing body and the policy council, each agency’s governing body and policy council jointly must establish written procedures for resolving internal disputes between the governing board and policy council in a timely manner that include impasse procedures. These procedures must:

(1) Demonstrate that the governing body considers proposed decisions from the policy council and that the policy council considers proposed decisions from the governing body;

(2) If there is a disagreement, require the governing body and the policy council to notify the other in writing why it does not accept a decision; and,

(3) Describe a decision-making process and a timeline to resolve disputes and reach decisions that are not arbitrary, capricious, or illegal.

(b) If the agency’s decision-making process does not result in a resolution and an impasse continues, the governing body and policy council must select a mutually agreeable third-party mediator and participate in a formal process of mediation that leads to a resolution of the dispute.

(c) For all programs except American Indian and Alaska Native programs, if no resolution is reached with a mediator, the governing body and policy council must select a mutually agreeable arbitrator whose decision is final.

Family engagement, 45 CFR §1302.50, addresses parent participation in Head Start:

(b) Family engagement approach. A program must:

(4) Provide parents with opportunities to participate in the program as employees or volunteers;

For programs providing a home-based option, Education in home-based programs, 45 CFR §1302.35(b) addresses parent participation:

(b) Home-based program design. A home-based program must ensure all home visits are:

(1) Planned jointly by the home visitor and parents, and reflect the critical role of parents in the early learning and development of their children, including that the home visitor is able to effectively communicate with the parent, directly or through an interpreter;

(3) Scheduled with sufficient time to serve all enrolled children in the home and conducted with parents and are not conducted when only babysitters or other temporary caregivers are present;

Section 642(d)(3) of the Head Start Act details who has responsibility for training governing body and Policy Council and committee members:

(d) Program Governance Administration—

(3) TRAINING AND TECHNICAL ASSISTANCE - Appropriate training and technical assistance shall be provided to the members of the governing body and the Policy Council to ensure that the members understand the information the members receive and can effectively oversee and participate in the programs of the Head Start agency.

The HSPPS at Training, 45 CFR §1301.5, states:

An agency must provide appropriate training and technical assistance or orientation to the governing body, any advisory committee members, and the policy council, including training on program performance standards and training indicated in §1302.12(m) to ensure the members understand the information they receive and can effectively oversee and participate in the programs in the Head Start agency.

Determining, verifying, and documenting eligibility, 45 CFR §1302.12(m), also states:

(m) Training on eligibility. (1) A program must train all governing body, policy council, management, and staff who determine eligibility on applicable federal regulations and program policies and procedures. Training must, at a minimum:

(i) Include methods on how to collect complete and accurate eligibility information from families and third-party sources;

(ii) Incorporate strategies for treating families with dignity and respect and for dealing with possible issues of domestic violence, stigma, and privacy; and,

(iii) Explain program policies and procedures that describe actions taken against staff, families, or participants who attempt to provide or intentionally provide false information.

(2) A program must train management and staff members who make eligibility determinations within 90 days of hiring new staff.

(3) A program must train all governing body and policy council members within 180 days of the beginning of the term of a new governing body or policy council.

(4) A program must develop policies on how often training will be provided after the initial training.

Policy councils and policy committees, 45 CFR §1301.3, limits reimbursement to low-income members of the Policy Council or policy committee as follows:

(e) Reimbursement. A program must enable low-income members to participate fully in their policy council or policy committee responsibilities by providing, if necessary, reimbursements for reasonable expenses incurred by the low-income members.