Partners in Success: Perspectives on Achieving and ......Partners in Success: Perspectives on Achieving and Demonstrating Compliance in Early Head Start Birth to Three Institute Presenters:

Mary Guertin, Thames Valley Council for Community Action, Inc.

Larissa Zoot, MPH, Administration for Children and Families, Region 1 J. Zoë Beckerman, Esq., Feldesman Tucker Leifer Fidell LLP

Partners in Success: Perspectives on Achieving and Demonstrating

Compliance in Early Head Start

15th Annual Birth To Three Institute

CONTENTS:

Copyright Permission

Slides

FELDESMANTUCKERLEIFER

FIDELL LLP

1129 20th Street, NW 4th Floor Washington, DC 20036

MEMORANDUM TO: Zero to Three FROM: J. Zoë Beckerman, Esq. Partner SUBJECT: Copyright Holder’s Permission DATE: May 9, 2011 In accordance with Zero to Three’s (“ZTT’s”) policy of requiring a copyright holder’s permission to reprint previously published information, on behalf of my firm, Feldesman Tucker Leifer Fidell LLP, I hereby provide ZTT permission to use and distribute to its Birth to Three Institute’s participants the copyrighted information contained in slides 6-14 of the slide set for “Partners in Success: Perspectives on Achieving and Demonstrating Compliance in Early Head Start.” The other slides in our slide set are not copyrighted. With this permission, ZTT may provide these slides to the participants of its upcoming Birth to Three Institute on June 20-23, 2011, for them to download or print for their personal use only. Any other use or disclosure by ZTT or its Birth to Three Institute’s participants is a violation of federal copyright law. Should you require any additional information from me regarding this copyright, please do not hesitate to be in touch. My email is [email protected] and my additional contact information is below.

tel 202.466.8960 fax 202.293.8103 www.FTLF.com

mailto:[email protected]

June 22, 2011 1

Partners in Success: Perspectives on Achieving and Demonstrating

Compliance in Early Head Start

Birth to Three Institute

Presenters:Mary Guertin

Larissa Zoot, M.P.H.J. Zoë

Beckerman, Esq.

2

Presenter: Mary Guertin

• Head Start Director at the Thames Valley Council for Community Action, Inc.

– Program: HS/EHS program serving 539 children in New London County, CT. Uses EHS HB option, Preschool HB option, single session centerbase and extended day

options– Role: oversee a management team of 12 and a staff of 90– Held position for 23 years with a background in public

and private preschool education • [email protected], phone: 860‐425‐6516


3

Presenter: Larissa Zoot, M.P.H.

• Head Start Program Specialist/Federal Review Team Leader at the Administration for Children and

Families – Region 1, New England– Role: funding, monitoring and leadership for Head Start

and Early Head Start programs

• [email protected]– Note: grantees are encouraged to contact their own

Program Specialist


4

Presenter: J. Zoë

Beckerman, Esq.

• Partner at Feldesman Tucker Leifer Fidell LLP– Focusing on Head Start and Federal Grants Law

• Managing Principal of FT Solutions LLC

• Has counseled associations and many HS/EHS programs across the country on legal, regulatory

compliance and government affairs matters– Assists programs in a variety of matters including

clearing monitoring findings

• [email protected]; telephone: 202‐466‐8960FELDESMANTUCKERLEIFERFIDELL LLP


5

Perspective from a Lawyer

© Feldesman Tucker Leifer Fidell LLP. All rights reserved. 6

My Role in Compliance

• Advice and Counsel• Helping to “keep programs’

noses clean”

– As a federal grants attorney, I work with Head Start/Early Head start programs to understand the laws

and regulations and advise whether they are in compliance and if not…

– I help to investigate and analyze risk areas and/or problems;

– I also help to develop compliance programs, corrective action plans/steps, edit and review policies and

procedures, etc.– Also teach about hotspot areas and compliance

programs


Why Focus on Compliance?

• Preventing, deterring and fixing problems is a part of striving for excellence

• Draft OIG Compliance Program Guidance for Recipients of PHS Research Awards includes elements to a good compliance program (70 Fed

Reg. 71312) http://oig.hhs.gov/fraud/complianceguidance.asp

• OIG Recommends a Seven Step Program for Compliance

http://oig.hhs.gov/fraud/complianceguidance.asp


1. Assigning Oversight to a Compliance

Officer/Contacts

• Compliance Officer manages compliance program on a day‐to‐day basis

– Implementing and operationalizing Board‐established polices

– Establishing compliance program procedures– Hiring compliance staff– Allocating and operating within available resources– Overseeing/monitoring effectiveness of compliance

program– Coordinating resolution of compliance issues– Visible to employees, contractors and board members– Periodic reporting to board of directors and PC on

compliance program activities


2. Developing/Implementing Written

Policies and Procedures

• Purpose: to promote quality and to provide a structured approach for reducing errors, fraudulent activity and other

non‐compliant behavior within the organization• Have written policies and procedures that:

– Describe compliance expectations• e.g., Standards of Conduct or Code of Ethics

– Implement the operation of the compliance program– Provide guidance to employees and others on dealing with

potential compliance issues

– Identify how to communicate compliance issues to appropriate

compliance personnel and

– Describe how potential compliance problems are investigated and

resolved

• Required: HS Regulations; See, e.g.

45 CFR§1301.31


3. Conducting Appropriate Training and

Education

• Train and educate all affected employees and persons associated with the agency including executives and

governing body members– Encompass compliance issues, expectations and the compliance

program operation

– Should occur periodically and be made a part of the orientation for

a new employee, appointee or associate, executive and governing

body member

– Need not be formal, classroom‐style training– Standard: effective communication

• Required: HS Regulations; 45 CFR§1304.52(l)(1)‐(3)


4. Developing Open Lines of

Communication

• Develop procedure for employees to seek clarification from compliance officer if question arises

• Require employees to report conduct that a reasonable person would, in good faith, believe to be

erroneous/fraudulent• Include provisions in written standards of conduct stating

that failure to report erroneous/fraudulent conduct is a violation of Compliance Program

• In policies and procedures, also include: assurance of non‐ retaliation for individuals who report in good faith; process

for responding; tracking/routing for investigation/oversight; documentation of resolution

• Partially Required: HS Regulations; 45 CFR§1304.51(b) et seq.


5. Conducting Internal Monitoring and

Auditing

• Conduct comprehensive baseline self‐audit (assessment) of risk area practices

• Audit other functions as appropriate, considering historic high‐risk areas for your program

• Implement follow‐up audits and monitoring• Promptly communicate results to compliance

officer, contacts or committee, as applicable• Required: HS Self‐Assessment; 45 CFR§1304.51(i)(1)


6.

Enforcing Disciplinary Standards through Well Publicized Guidelines

• Establish procedures for disciplining individuals who violate law/applicable standards

• Necessary to add credibility and integrity to your Compliance Program

• Set forth Standards of Conduct in Board and PC policies, personnel policies and contracts including disciplinary

actions that maybe imposed as a result of illegal/unethical conduct

• Disciplinary guidelines must be well publicized in personnel manuals and contracting procedures

• Address guidelines in in‐house training• Required: HS Act and Regulations for Violations of

Standards of Conduct; §642(c)(1)(X) of the Head Start Act


7. Responding Appropriately to

Detected Offenses

• Have systems for responding to compliance issues as they are raised, including:

– Investigating potential compliance problems– Responding to compliance problems as identified in the

course of self‐evaluations and audits– Taking prompt, thorough corrective action on problems

promptly and implementing procedures, policies and systems as necessary to reduce the potential for

recurrence– Reporting if necessary– Required: under HS Act Governance Provisions;

§642(c)(1)(X)(bb) of the Head Start Act

15

Perspective from a Federal Program Specialist

16

My Role(s) in Compliance

• Program Specialist:– Review and negotiate funding applications– Provide ongoing support, troubleshooting and policy

clarification for grantees– Monitor programs via review reports, EOM, Risk

Management, PIR and other data sources– Support State HS Association– Support/Engage State Collaboration Director– Partner with Technical Assistance providers– Offer guidance to program in preparing for review

17

My Role(s) in Compliance, Con’t.

• Federal Review Team Leader:– Evaluate program compliance via management of

review team and review implementation– Ensure accuracy and quality of draft report– Build effective communication/partnership with grantee

being reviewed– Share information with grantee’s home Regional

Office/Program Specialist

18

Resources to Support Programs in Building Compliance

• Office of Head Start• Regional Office program and fiscal staff• State TA offices and Grantee Specialists• National Centers for Technical Assistance• Early Childhood Learning and Knowledge Center,

Head Start Enterprise System, and other web and data resources

• State Head Start Associations, NHSA

or other national associations

• Other grantees/peers!• Consultants

19

Tips for Demonstrating Compliance

• 3 Most Important Items in Preparation for Review:– Attitude– Self Assessment and Ongoing Monitoring– Articulating effective systems– Plan

• then breathe

(Anyone good at counting here?...)

20

Articulating Effective Systems

To articulate effective systems, you need to consider:

• Mechanisms• Responsibilities• Analysis• Action

21

Other Key Points

• My perspective is influenced somewhat by my personal approach, by the characteristics of my Region, and also by

the leadership in my Region• The role of a Program Specialist has changed substantially

over the last ten years• Every grantee/RO relationship is different, despite common

elements• Program Specialist’s role also includes acknowledging

grantees’

success and sharing opportunities• Compliance is not about passing a review; compliance is

about program stability and, ultimately, about children and families

22

Perspective from a Head Start Director

23

What Is Compliance?

• Adherence to all laws, rules and policies• Not a one‐day‐a‐week event

– What is the connection between performance standards and compliance?

• Clear working policies and procedures– Note: Make sure they work for your type of

program, evaluation will focus on their contents

24

Important Questions Regarding Compliance

• Training:– How do we train on policies and procedures?– Who is trained?– How can you involve everyone in the agency?

• Support Systems:– What systems are developed to support

compliance?– How is the Regional Office part of the system?

25

Important Questions Regarding Compliance, Con’t.

• Types– What types of compliance should you focus on?

• Fiscal• Programmatic

• Self Assessment– How important is self assessment and what is its

relationship to compliance?

• Monitoring Findings– Action plans, corrective action, risk management

26

Tips and Items to Keep in Mind

• Know all rules and how they relate to each other in terms of compliance:

– Federal– State– Local

• Consider where your support comes from– Relationship with Regional Office and Program Specialist

• When and how do you communicate with them?

• Know monitoring protocol and be prepared…

27

Questions and Answers

Partners in Success: Perspectives on Achieving and ......Partners in Success: Perspectives on Achieving and Demonstrating Compliance in Early Head Start Birth to Three Institute Presenters:

Documents