Head Start Child Development Council, Inc Head Start/Early Head Start Plan Ongoing Policy Head Start Child Development Council, Inc. (HSCDC) is committed to the continuous improvement of its Head Start and Early Head Start programs through regular and ongoing monitoring of all aspects of its operations. It is the policy of HSCDC to maintain an effective and efficient system of ongoing monitoring that assures both compliance with Federal performance standards and requirements and the delivery of quality services for children and families. Ongoing monitoring encompasses the review and evaluation of services and systems, documentation of results, tracking of issues needing correction, and validation that correction has been achieved. The following description outlines the HSCDC monitoring process: Process Overview HSCDC s monitoring process is comprehensive in scope. It includes all service areas and Program Design and Management. The monitoring process involves key staff at various levels and is designed to ensure that the results from all levels trickle-up through the organization to the very top where planning and policy decisions are made. The following is an overview of HSCDC s ongoing monitoring process incorporating four levels of monitoring: Level 1 Center by Teaching Staff: Classroom monitoring by teaching staff ensures that classroom environments are always welcoming, safe, and ready for children. Any needs for repairs, materials and supplies are promptly reported and corrected. The monitoring tools used by teachers include the Pre-opening safety checks of all classrooms that are conducted annually prior to opening, and the Daily 7 safety and sanitation inspection at all classrooms. Level 2 by Program Supervisors, Supervising Coordinators, & Department Managers: Agency staff members who have supervisory responsibilities monitor their staff s activities to ensure that service delivery, procedures, and recordkeeping are carried out in an 8/6/2010 1
appropriate and timely manner. Involvement in monitoring gives supervisory staff fresh information about agency operations, and helps supervisors identify needs for further procedure development, training or individual supervision. Some Coordinators have supervisory responsibilities and will be involved in level 2 monitoring using tools that have been designed to monitor functions such as Parent Education or Disabilities Services. The Cluster Program Supervisors who have supervision responsibilities for teaching staff, and Family Service Workers, will carry out a schedule of site visits using the Supervisor Quick Quality Checklist, do Child/Family file reviews, and a review of system reports reflecting activities of teachers and Family Service Workers. Departmental managers will monitor key events in their department to be included in the quarterly level 4 report. Level 3 Quarterly by Directors and Coordinators: Quarterly on-site monitoring reviews will be conducted at a sample of centers, and other program options including home-base, and family child care, three times annually. Because the selected sites are known in advance only to the Executive Director and the staff doing the monitoring, all sites are put on notice to be prepared to be monitored. The methods will include child/family file reviews, record reviews of classroom level records such as licensing and volunteer in-kind documentation, classroom observations, environmental inspections, and staff interviews. Level 3 teams will monitor sites and services outside of their normal supervisory assignments. This contrasts with the level 2 monitoring where supervisors monitor their own staff. During the level 3 monitoring events, which are scheduled four times annually, the new HSCDCemonitoring file Review instruments will be used for the collection and data entry of results into the HSCDCe-monitoring database. The period of data collection will be brief and reportable via the standard reports of compliance or non-compliance that will be generated from the database. Directors and managers will oversee the corrections and verification of corrections in their responsible areas. One of the four events for level 3 will be the annual self-assessment. The self-assessment will use the OHS Protocol, but may also be supplemented by the HSCDCe-monitoring tools. HSCDC Parents and HSCDC Board members will be involved in the self-assessment process. 8/6/2010 2
Directors will monitor key events in the agency for the level 3 process and will include analysis of findings, patterns and trends in their quarterly level 4 reports. Level 4 Agency level by Directors: Level 4 represents the point at which all trends that have been identified from monitoring in levels 1-3 converge and must be considered and analyzed for impact on agency wide operations and planning, including the grant budget, service area plans, training and technical assistance plans, and policy and procedure development. The task for HSCDC Directors, (who are department heads of Fiscal, Human Resources, Facilities, Child & Family Services, and Food Services), will be two-fold: In addition to the information they must consider for levels 1-3, the Directors have developed checklists of critical quality items that will undergo quarterly review and correction. The findings and corrective actions from levels 1-3 and the Director s Departmental checklists will be summarized quarterly for the level 4 reports to the Executive Director. Data Tracking and Follow-Up As shown in the tables below each monitoring level has identified tools. The Responsible Staff for collecting the information is identified (i.e. teachers are responsible for completing the Daily 7 ). The Oversight role is assigned to the supervisory staff responsible for ensuring: 1.) staff received training or a procedure on the use of the forms or tools and is informed about the required schedule for completion; 2.) The Currently approved forms or tools for the monitoring are furnished to the monitor; 3.) Results are reported and follow-up and corrections are timely; 4.) Source documents and corrective action documentation are provided to the Director responsible for the level 4 quarterly report; 5.) The quarterly level 4 report is provided by the responsible Director to the Executive Director; 6.) Summary reports regarding the monitoring will be shared with the HSCDC Board and Delegate Policy Committee. 8/6/2010 3
Procedures Level 1 Center by Teaching Staff Responsible Staff/ Oversight Note: Level 1 action is summarized in Level 4 by CFS Directors Focus Tool Teaching Staff complete pre-opening checklist Oversight: Cluster Program Supervisors oversee Corrective Action Annually - Beginning of school year; prior to classes opening Checks prior to classroom opening at beginning of program year Pre-Opening Checklist Teaching Staff complete daily Oversight: Cluster Program Supervisors Daily Safety and sanitation for indoor and outdoor areas Daily 7 Checklist Procedural Description: The Daily 7 safety and sanitation checklist is done daily by teaching staff. Problems requiring additional follow-up including facilities work orders are reported to the Cluster Program Supervisor. The Daily 7 checklists and related source documents such as work orders are maintained in site binders for tracking and completion of repairs or other issues. The completed annual pre-opening checklist forms are submitted to the Cluster Program Supervisor for development of corrective action plans and work orders. The Directors of Child & Family Services will incorporate the patterns, trends, follow-up status, and related recommendations from these sources into their quarterly level 4 reports to the Executive Director. 8/6/2010 4
Level 2 Ongoing by Program Supervisors, Supervising Coordinators, & Managers Responsible Staff/ Oversight Note: Level 2 action is summarized in Level 4 by CFS Directors for items a. c & f-h a.) Cluster Program Supervisors do Supervisor Quick Quality Checklist Oversight: Child & Family (CFS) Directors Regular schedule of site visits. Each classroom and Home-Based unit is to be reviewed at least every 6-8 weeks Focus Environment, observation of teacher interactions and protocols Tools/System Reports Supervisor s Quick Quality Checklist b.) Cluster Program Supervisors do file reviews Oversight: Child & Family (CFS) Directors c.) Cluster Program Supervisors and Supervising Coordinators do monitoring Each classroom and Home-Based unit is sampled at least 2 times yearly Weekly reports & periodic PIR Child and family services; sampling of children s folders Review electronic reports & data for ERSEA, health, family services, entered by Family services workers & Specialists. HSCDC File Review Form HSFIS Accountability Report ChildPlus Reports PIR Oversight: Child &Family (CFS) Directors Note: Level 2 action is summarized in Level 4 report by CFS Directors for items a. c & f-h Service Area is done by staff using onsite tools 1-9: HAPS entry by teachers with review by specialists HAPS Quarterly for on-site monitoring tools & frequently for analysis of electronic system data & reports The tools are entitled: On-site Tool for each item: d-k d.) Facilities Director = e.) Nutrition Director = f.) ECD & HS Coord. = g.) FCP Coordinators = (4,5,8) -Early Childhood Development & Health Services -Disabilities -Mental Health -Family & Community Partnerships h.) ERSEA Coordinator = -ERSEA Note: Level 2 action is summarized in Level 4 report by noted Dept. Directors for items d, e, i, j, & k Level 2 continues on next page 8/6/2010 5
LEVEL 2 Continued Responsible Staff/ Oversight Note: Level 2 action is summarized in Level 4 by Dept. Directors for items d, e, i, j, & k Focus Tools/System Reports i.) HR/Manager = j.) Finance Staff = 7-Human Resources 9-Fiscal -Program Design & Mgmt. -Fiscal The tools are entitled: On-site Tool for each item: d-k k.) Information Technology Staff 10-Electronic Recordkeeping and Reporting -Electronic Record keeping and Reporting Procedural Description: Responsible staff members who have supervisory or service area responsibility are responsible for quarterly monitoring using the tools specified as on-site monitoring tools. In addition they will utilize systems reports such as the Accountability Report which is available weekly as well as on demand electronic data system reports from the agency s accounting, HR, facilities, inventory, education, and family services and child tracking systems. Their methods will include report analysis, record reviews, interviews and observations in classrooms and work environments, and facility inspections. Cluster Program Supervisors: monitor services, recordkeeping, and operations in their clusters using tools (a-b) & system reports. They will report findings, corrective actions, and validations on the Agency Corrective Action Form to the CFS Directors for inclusion in the quarterly level 4 report. Supervising Coordinators: monitor services provided by staff such as Specialists, Health staff, Parent Educators, and Registration Clerks, using the on-site monitoring tools they have customized for their service areas. Findings, corrective actions, and validation are documented on the Corrective Action Form and reported to the Child & Family Services Directors for inclusion in the quarterly level 4 report. Program Managers in Facilities, Nutrition, HR, Finance, & Information Technology also use the tools they have developed that monitor the most critical record keeping and operational functions of their departments. On a quarterly schedule they will assist Directors in providing level 4reports to the Executive Director. 8/6/2010 6
Level 3 Agency by Directors Coordinators/Managers Staff Level 3 Team consists of 6-10 members. There will be rotation of staff assigned during the 3 cycles * For Self-Assessment team description (See Self- Assessment Plan) November January* May August * Self-Assessment Event using OHS Tool instead of HSCDCemonitor tool Focus File Review Instrument Enrollment Health Information Nutrition Dental Services Mental Health Education Parent Contacts Disabilities Family Partnerships Health &Safety Instrument Sanitation/hygiene Safety Facilities Layout Emergency Provisions Med Administration Outdoors Classrooms Tool File Review Instrument Health & Safety Checklist Income Eligibility Instrument Income Eligibility HR & Fiscal Instruments review records from classrooms Human Resource Fiscal HR Instrument Fiscal Instrument Procedural Description: Four monitoring events including the annual *Self-assessment in February are scheduled throughout the program year involving coordinator and management staff. A multidisciplinary team of 6-10 HSCDC staff are selected for each monitoring event (not including self-assessment). A sampling of sites, classrooms and child/family files are selected and reviewed using the above tools (and the OHS Protocol during the self-assessment) which are entered into the HSCDCe-monitoring database. Team orientation and regular debriefings are held during the monitoring week for purposes of building consistency. Findings are entered from the two e- tools into the HSCDCe-monitoring data base. Non-compliance reports are generated from the database and are distributed to responsible staff for corrective action and responses. Updates are entered into the HSCDCe-monitoring system, new reports are run, and outstanding issues are tracked for follow-up and resolution. A sample of corrections is reviewed for validation. As with all levels of monitoring, the results and issues identified in level 3 will be included in the reports for level 4. (Refer to Level 3 appendix for more details). 8/6/2010 7
Level 4 Ongoing and Selected by Program Directors Staff Focus Agency Directors with oversight by Executive Director Quarterly reports are generated from ongoing review of agency monitoring including systems reports Critical records in PDM and fiscal areas including HR, Internal Controls, Program Governance Tool All applicable sources from levels 1-3 culminates in quarterly narrative summary reports to Executive Director Procedural Description: Agency Directors will consider all information sources collected and reviewed from levels 1-3 in their development of level 4 reporting. They will ensure that level 1-3 reports provided to them from their staff are comprehensive and timely. The level 4 report will be presented to the Executive Director in a narrative format describing program results, findings, and corrective actions. It is expected that all level 4 reports will be reviewed and discussed by Directors under the guidance of the Executive Director for analysis of agency wide issues which may require planning, training, policy and procedure development and other solutions affecting multiple service areas. Attachment: Level 3 Step-by-Step Process 8/6/2010 8