head start 101: the big picture -...

Head Start State-Based T/TA Office for California

A member of the National Head Start Training and Technical Assistance Network

Head Start 101: The Big Picture

CHSA Manager and Director InstituteJuly 28 and 29, 2010

Cris Cochran, FCP/ERSEA SpecialistTerry Cornelius, PDM Specialist

Jennifer Senechal, Manager


A member of the National Head Start Training and Technical Assistance Network2

Participants will:

• Be provided an overview of Head Start Systems and Services

• Understand how the Performance Standards support quality early childhood systems and services

• Receive tools to support that support management of Head Start programs

Objectives



• Welcome & Introductions

• History of Head Start

• Overview of Head Start Systems and Services

• Review of Head Start Performance Standards/Regulations:

– Part 1304 Subpart D: Program Design and Management

– Part 1305: ERSEA

– Key Fiscal Requirements

• Wrap Up

Agenda: Day 1




• Overview of Head Start Performance Standards:

– Part 1304 Subpart B: Early Childhood Development and Health Services

– Part 1304 Subpart C: Family and Community Partnerships

– Part 1308: Services for Children with Disabilities

– Part 1310: Transportation

• Tools/Resources for Getting the Job Done

• Wrap Up

Agenda: Day 2



History of Head Start

In 1965, the Office of Economic Opportunity launched Project Head Start, an eight-week summer program as part of the War on Poverty, which embodied a basic belief in education as the solution to poverty.

HS was designed to help break the "cycle of poverty" by providing preschool children of low income families with a comprehensive program to meet their emotional, social, health, nutritional, and psychological needs.

In 1969, HS was transferred from the Office of Economic Opportunity to the Office of Child Development in the U.S. Department of Health, Education, and Welfare. It has now become a program within the Administration for Children and Families in the U.S. Department of Health and Human Services.

Head Start serves many American Indian, migrant farm worker, urban and rural children and families in all 50 States, the District of Columbia, Puerto Rico, the Virgin Islands and Pacific Insular Areas.

Adapted from http://www.ilheadstart.org/hgv.html

5



History of Early Head Start

Launched in 1995 to provide comprehensive child and family development services for low-income pregnant women and families with infants and toddlers ages birth to three years.

Established to provide early, continuous, intensive and comprehensive child development and family support services on a year-round basis.

The purpose of the program is to enhance children’s physical, social, emotional, and intellectual development; to support parents’ efforts to fulfill their parental roles; and to help parents move toward self-sufficiency.



U.S Congress

U.S. Department

of Health and Human Services

Office Of

Head StartHead Start

Where does HS/EHS fit in the big picture?

Delegate

Partner



Federal Regulations & Guidance

Head Start Act • December 12, 2007-President Bush signed Public Law 110-134

"Improving Head Start for School Readiness Act of 2007" reauthorizing the Head Start program

• Contains significant revisions to the previous Head Start Act • Authorizes Head Start through September 30, 2012

Head Start Performance Standards • Mandatory regulations• Defines objectives and features of a quality Head Start/EHS

program• Articulates vision of service delivery to pregnant women, young

children and their families

8



Other Sources of Guidance

• Program Instructions (PI)

– A document by which the federal government provides grantees instruction on regulation or policy

• Information Memorandum (IM)

– A document by which the federal government provides grantees with general information other than a proposed regulation or policy

• Policy Clarifications (PC)

– Issued by the federal government in response to questions posed to OHS with regards to regulation or policy

• Note: Policy clarifications will specify whether answers are required by providing regulatory citations or are informal guidance.

9



Child/ Family Focused Services

Community

Family

Child



Comprehensive Services

Community

Family

Child

Head Start

Child Development

and

Health Services

Family

and Community

Partnerships

Program Design

and

Management



Comprehensive Services

“The Head Start program has a long tradition of delivering comprehensive and high quality servicesdesigned to foster healthy development in low-income children…

The entire range of Head Start services is responsive and appropriate to each child and family’s development, ethnic, cultural and linguistic heritage and experience.”Head Start Program Performance Standards and Other Regulations

12



Management Systems

• Enable management teams to meet their responsibilities

• Support each program’s ongoing and organized approach to managing the delivery of quality services

• Are connected and inter-related with each impacted by the others

• Influence and are influenced by program services

Children

and

Families

Grantee

Agency

Delegate

Agencies

Community

Partners

Staff

Policy

Groups

Governing

Bodies

Plannin

g

Mo

nit

ori

ng

Self-AssessmentRecord

-Keepin

g

Rep

ortin

g

Communication

13



What Hat Do You Wear?

Program

Design &

Management



How Will I Remember It All???

Take Home Plan:

• What would you like to focus on?

• What would you like more information about?

• What resources do you need?



Implementation of Systems and ServicesEFFECTIVENESS

OF

SYSTEMS

IMPLEMENTATION OF SERVICES

CHILD DEVELOPMENT & HEALTH SERVICES FAMILY & COMMUNITY

PARTNERSHIPS

PROGRAM

DESIGN

Prevention

& Early

Intervention

Individ-

ualization

Mental

Health

Disabilities

Services

Curriculum

&

Assessment

Family

Partnership

Building

Parent

Involvement

Community

Partnership

Facilities,

Materials,

Equipment,

Transportation

Program

Governance

Planning

Communication

Record-keeping

& Reporting

Ongoing

Monitoring

Self

Assessment

Human

Resources

Fiscal

Management

ERSEA



Performance Standards-Systems

1304.50- Program Governance

1304.51- Management Systems & Procedures

Planning

Communications

Record-Keeping and Reporting Systems

On-going Monitoring

Self-Assessment

1304.52 - Human Resources Management

1304.53 - Facilities, Materials, Equipment

1305 - Eligibility, Recruitment, Selection, Enrollment, and Attendance (ERSEA)

Part 74 & 92 - Fiscal Management



Performance Standards-Services

1304.20- Child Health & Developmental Services

1304.21- Education and Early Childhood Development

1304.22 - Child Health and Safety

1304.23 - Child Nutrition

1304.24 - Child Mental Health

1304.40 - Family Partnerships

1304.41 - Community Partnerships

1308 – Disabilities

1310 - Transportation

18



Program Options

• 1306.32 Center-Based Program Option

• 1306.33 Home-Based Program Option

• 1306.34 Combination Program Option

• 1306.35 Family Child Care

*ACF-IM-HS-09-04-Services to Pregnant Women Participating in EHS

19



Program Options Defined

1306.3

(a)Center-based services provided to children primarily in classroom settings..

(b)Combination services provided to children in both center setting and through intensive work with the child’s parents and family at home

(j) Home-based services provided to children, primarily in the child’s home, through intensive work with the child’s parents and family…

(o)Family child care …services provided to children receiving child care primarily in the home of a child care provider or other family-like setting…

20



Program Governance

21



Governance

1304.50 Program Governance a) Policy Council/Committee and Parent Committee

Structure

b) Policy Group Composition and Formation

c) Policy Group Responsibilities

d) The Policy Council or Policy Committee

e) Parent Committee Responsibilities

f) Policy Group and Parent Committee Reimbursement

g) Governing Body Responsibilities

h) Internal Dispute Resolution

22



Types of Parent Policy Groups

1304.50(a)(1-5): Must be established as early in the program year as possible:

• Policy Council– Established at the grantee level

• Policy Committee– Established at the delegate agency level

• Parent Center Committees– Comprised exclusively of the parents of currently enrolled children

– For center based only programs - established at the center level

– For programs operating more than one option – established at local level combined at the same site or separate Committee for each option

23



Policy Council & Policy Committee Composition

1304.50(b)

• Parents of currently enrolled children

– membership must comprised of at least 51%

• Community representatives:

– drawn from the local community

– familiar with resources and services for low-income children and families

– may include parents of formerly enrolled children

24



Program Governance Regulations

Appendix A: Governance & Management Responsibilities

Describes Program Governance Functions in: I. Planning

II. General Procedures

III. Human Resource Management

Outlines the interactions of governing bodies, policy groups and management staff



Appendix A



Program Governance

642.(c)(1) Governing Body

• Board Composition

• PC and Board By-Laws

• Reporting Schedule

• Conflict of Interest

• Personnel Policies

27



Board Composition

Sec. 642(c)(1)(B)(i-vi)

• Must be composed of the following:– Financial management or accounting

– Early Childhood Education

– Licensed attorney

• Additional members:– Reflect community served and include parents of current or

formerly enrolled children

– Members with expertise in education, business or community affairs

• Exceptions apply:– Individual holds position as a result of public election or political

appointment

28



Management Systems and Procedures

29



Management Systems and Procedures

1304.51a) Planningb)Communications –Generalc) Communications with Familiesd)Communications with Governing Bodies and Policy Groupse) Communications Among Stafff) Communications with Delegateg) Record-Keeping h)Reporting Systemsi) Program Self-Assessment and Monitoring

30



Program Planning

31



Program Planning

1304.51

(a)(1) Grantee and delegate agencies must develop and implement a systematic, ongoing process of program planning that includes consultation with the program’s governing body, policy groups, and program staff, and with other community organizations that serve Early Head Start and Head Start or other low-income families with young children.



Program Planning cont.

1304.51 (a) (1) Program Planning must include

(i) An assessment of community strengths, needs and resources through completion of the Community Assessment…

(ii) The formulation of both multi-year (long-range) program goals and short-term program and financial objectives that address the findings of the Community Assessment, are consistent with the philosophy of Early Head Start and Head Start, and reflect the findings of the program’s annual self-assessment

(iii) The development of written plan(s) for implementing services in each of the program areas covered by this part

33



Program Planning cont.

1304.51 (a)(2)

All written plans for implementing services, and the progress in meeting them, must be reviewed by the grantee or delegate agency staff and reviewed and approved by the Policy Council/Committee at least annually, and must be revised and updated as needed.

34



Program Planning Rationale

• Critical for setting clear program goals

• Defining an organized approach to program services

• Driven by the specific priorities of the community

• Occurs in a continuous cycle

• Involves key members of the HS community including governing body, policy group, staff, parents, advisory committees and community representatives

• Results in written plan or series of plans that describes an agency’s approach to serving children and families

– Serves as a roadmap for governing body, policy groups, management, staff, volunteers, parents and community representatives

– Answers what will be done, how it will be done, who will do it and when it will be done

35



Community Assessment

36



What is a Community Assessment?

• A product that contains critical information for HS/EHS programs to use as a tool for: program planning; decision-making; advocacy of services and community education

• A systematic process for conducting a targeted assessment of the HS/EHS community by collecting, reviewing and analyzing data on its strengths, needs and resources

• Community Assessment is where planning begins

37



Community Assessment Process

• Plan & Organize

• Design Data Collection

• Collect Data

• Review & Analyze Data

• Make Recommendations

• Develop Community Assessment Report

• Make Decisions

• Integrate into Grant Application and Program Planning Process

38



Required Community Assessment Data Elements

1305.3 (c)(1-6)

• Demographic Data

• Existing Programs that serve HS/EHS eligible children

• Children with disabilities • Education, Health, Nutrition, Oral Health, Mental

Health & Social Service needs of eligible children and families

• Community Resources

39



Integrate into Program Planning

1305.3(d)(1-6) • Program philosophy • Program Goals• Long & short-range objectives• Types of services & program options • Locations for service delivery & program

options• Recruitment area • Selection criteria

40



Integrate into Service Area Planning

• Early Childhood Education• ERSEA• Community Partnerships• Disabilities Services• Health, Nutrition, Mental Health,

Oral Health Services• Family Partnership Services• Training/Education for staff,

parents, Policy Council, Board and community

41



CommunicationSystem

42



Communication

1304.51

(b) Communications – general

(c) Communication with Families

(d) Communications with Governing Bodies and Policy Groups

(e) Communications Among Staff

(f) Communications with Delegate Agencies

43



1304.52(b)(4): Human Resources

1304.40(a)(2): Family Partnership Process

1304.40(i) & 1306.33: Home visits

1304.40(e)(5): Staff-Parent conferences

1308.19: IEP development (See PI: ACF-PI-HS-09-04)

1304.20(c)(1): Health follow-up

1304.40(e)(3): Parent involvement opportunities

Staff-Parent CommunicationRelated Performance Standards

44



An effective communication system ensures:

• The exchange of information that allows individuals to:

– become fully involved in program activities

– make group decisions that promote a quality program

• Information flows to and from parents, staff, governing bodies, delegate agencies, and community groups

Communication System

45



• What information is important to members of the HS/EHS community?

• Who should communicate the information?

Who should receive the information?

• When do people need to receive information?

• How should the information be communicated?

Establishing a Communication System

46



Record-Keeping & Reporting Systems

47



Record-Keeping Systems

1304.51(g) Record-keeping systems

Grantee and delegate agencies must establish and maintain efficient and effective record keeping systems to provide accurate and timely information regarding children, families and staff and must ensure appropriate confidentiality of this information.



Developing a Record-Keeping System

• What information needs to be collected?

• When does the information need to be collected?

• Where is the information collected? (across all service areas - Avoid unnecessary paperwork and files associated with information duplication)

• Who needs to collect and receive the information?

• How the information is stored? (computer)

– Confidentiality Policy

– HIPPA



Tracking: The Bridge

Source Documents • Physical exam, Screening results• Sign-in sheets, class roster, contact log• Purchase Order, Receipts, Invoice Statement, Payment Ledger

Tracking & Follow-Up Mechanism• Classroom Health Tracking Sheet: 45 Day Requirements• Attendance Tracking Sheet (daily, weekly, monthly); Absence Report• Expenditure Report, Projected vs. Actual Expenditures

Outcome Reports• Director’s Report:

– 45 Day Requirement Percentages – Monthly ADA Percentages– Budget report

• Policy Council & Board: Monthly Budget Report

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Reporting Systems

(1) Generate periodic reports of financial status and program operations in order to control program quality, maintain program accountability, and advise governing bodies, policy groups, and staff of program progress; and

(2) Generate official reports for Federal, State, and local authorities, as required by applicable law.

1304.51(h)(1)&(2) Reporting Systems Grantee and delegate agencies must establish and maintain efficient and effective reporting systems that:



Annual Report

Sec. 644. (2) …Make available to the public a report published at least once in each fiscal year that discloses …:

(A) Public and private funds received

(B) Budgetary expenditures and proposed budget

(C) Total number of children and families served, the average monthly enrollment, and the % of eligible children served

(D) Results of most recent review by the Secretary and financial audit

(E) % of enrolled children that received medical and dental exam

(F) Information about parent involvement activities

(G) Efforts to prepare children for kindergarten

(H) Any other information required by the Secretary

52



Reports to Governing Bodies and PC

642.(d)(2)

(A) Monthly financial statements, including credit card expenditures

(B) Monthly program information summaries

(C) Program enrollment reports

(D) Monthly reports of meals and snacks provided through USDA

(E) Financial audit

(F) Annual self-assessment

(G) Communitywide strategic planning and needs assessment

(H) Communication and guidance from the Secretary

(I) Program information reports

53



Reporting System Guidance

• Identify critical reports

Consult with funding sources, state and local licensing agencies for complete lists of reports i.e.

• health, safety, and sanitation

• personnel qualifications

• facilities and property

Consult with governing bodies and policy groups to determine discretionary reports

• Report content and structure

Prepare reports that are clear, accurate, and readable

• Frequency of reports

Establish a time schedule for the release of reports



Analysis: What does the data tell us?

• Demographic Information Children

Families

Staff

Program

• Service Provision Status & Completion

Upcoming Deadlines

What’s working/what’s not working

• Service Integration Impact of services to systems; system to system; services to

services

55



Why is the PIR such a big deal?

• A primary source of programmatic data

• PIR Audiences Congress

Office of Head Start (National and Regional Offices)

HS/EHS Grantees & Delegates

T/TA System

State Collaboration Offices

National & State Associations

Researchers

• Increasing focus

56



Understand PIR Reporting requirements Consistent data interpretation Formulas & calculations = performance indicators

Ensure your record-keeping and reporting system incorporates PIR data elements

Utilize a database for reporting and analysis

Generate and review your program’s PIR on a monthly basis

Use PIR as a management tool

Aligning Record Keeping & Reporting Systems with PIR: Being Strategic

57

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Ongoing Monitoring

58



Ongoing Monitoring

45 CFR 1304.51(i)(2) Grantees must establish and implement procedures for the ongoing monitoring of their own EHS and Head Start operations….

SEC. 641A(g) (3) On-going MonitoringEach Head Start agency (EHS agency) and each delegate agency shall establish and implement procedures for the ongoing monitoring of their respective programs…

45 CFR 74.51(a) -- Recipients are responsible for managing and monitoring each project, program, sub-award, function or activity supported by the award. Recipients shall monitor subawards to ensure that subrecipients have met the audit requirements as set forth in Sec. 74.26.

59



Monitoring Objectives

– Health & Safety

– Deadlines (e.g. 45 & 90 day requirements)

– Fiscal Management (e.g. budgetary needs)

– Disabilities Services – Required 10%

– ERSEA System and Full Enrollment

– Ongoing Assessments and Child Outcomes

Identify potential issues before they escalate and become problems such as:



Related Performance Standards

45 CFR 1304.51(h)(1)Concerning the maintenance of reporting systems to control program quality and maintain program accountability

45 CFR 1304.51(d) and (e) On the maintenance of regular and effective communication with governing bodies and policy groups and among staff



Ongoing Monitoring

IS NOT JUST a Checklist62



Monitoring Process

1) Use multiple methods to gather data (qualitative & quantitative) such as: Interviews

Observations

Document reviews

2) Interpret/analyze data

3) Plan and implement corrective action

4) Evaluate impact

63



Common Errors…….

Mistake Results for Personnel Disciplinary Issue

Identify Potential Issues Too Late

Use a Deficit Model or Overlook Strengths

Miss Opportunities For Partnership and Trust Building

Focus Only on Portions of a Process or System i.e.:

Forget to Put Follow-up Mechanisms In Place

Use Single Source of Data

Look Only at Classrooms

64



Self-Assessment

65



Program Self-Assessment and Monitoring

1304.51(i)(1)

( i ) Program Self-Assessment and Monitoring

(1) At least once each program year, with the consultation and participation of the policy groups and, as appropriate, other community members, grantee and delegate agencies must conduct a self-assessment of their effectiveness and progress in meeting program goals and objectives and in implementing Federal regulation.

66



Self-Assessment vs. Ongoing Monitoring?

Self-Assessment

• Is an annual event generally conducted within a focused time frame

• Includes participation of Governing body, Policy groups, Community Representatives, staff and parents

• Is overseen by the Governing Body and approval of Policy Council is required

• Is a snapshot of services and systems at a single point in time

• Uses cumulative data reflecting completed activities

• Includes results of ongoing monitoring

• Illustrates how program is viewed by customers

67



Program

Plans

Audits

Grant

Application

Child

Outcome

Data

Program

Records

& Reports

Self-

Assessment

Data Collection

Tools

Summary

of

On-going

Monitoring

Community

Assessment

Self

Assessment

Data

Self-Assessment ProcessInterpret the

DataAnalysis of:

strengths,

weaknesses,

patterns, underlying

causes, priorities

Develop

Program

Improvement

and Training

Plans

Strengthening

Your

Program

68



Interpreting the Information

Identify:

• Program strengths and accomplishments

• Areas to strengthen

• Underlying causes

• Strategies to strengthen program

69



Program Improvement Plan

• Health and Safety

• Short-Term Improvements

• Long-Term Improvements

70



Process Purpose Responsibility/

Participants

Frequency

Ongoing Monitoring

Internal and ongoing process for ensuring program quality and compliance with HS Performance Standards and other federal & local regulations (internal)

Grantee Management Staff

Delegate Management Staff

Board of Directors

Policy Council / Policy Committee

Ongoing Throughout Program Year

Program

Self -Assessment

Examines grantee management systems & agency capacity to fully implement HS Performance Standards and other federal regulations (internal)

Board of Directors

Policy Council/Committee

Grantee Staff

Delegate Staff

Community Representatives

HS/EHS Parents

Annual

OHS Monitoring

Examines grantee management systems & agency capacity to fully implement HS Performance Standards and other federal regulations (external)

-Federal staff

-Peer reviewers

-Coordinated by Office Of Head Start & DANYA

Triennial

At the discretion of the Office of Head Start or Regional Office

71



Human Resources Management

72



Human Resources

1304.52 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) Family Child Care Providers(i) Standards of Conduct(j) Staff Performance Appraisals (k) Staff and Volunteer Health(l) Training and Development

73



Organizational Structure

1304.52(a)(1)

Grantee and delegate agencies must establish and maintain an organizational structure that supports the accomplishment of program objectives. This structure must address the major functions and responsibilities assigned to each staff position and must provide evidence of adequate mechanisms for staff supervision and support.

74



Purpose of an Organizational Structure

• Provides a foundation for achieving program goals

• Provides a framework of how Head Start may fit into a larger agency

• Establishes clear lines of communication and supervision

• Helps individuals understand their jobs

• Assists staff in the smooth running of the agency

75



Setting Direction for Your Program

Mission

Goals

Program Plans

Objectives

76



Establishing Strategies

Performance

Standards &

Agency/Program

Policies

Program Plans

Tools &

Instructions

Operational

Procedures

77



Defining Functions

Organizational

Structure

Personnel

Policies

Operational

Procedures

Job Descriptions

78



Defining Policies & Procedures

Policy: “the what”• A formal statement of a principle or rule that members of an

organization must follow• Addresses an issue important to the organization's mission or

operations • Written as statements or rules• Typical examples: HR Policies, Confidentiality Policy, and

Communication Policy

Procedure: “the how to”• Tells members of the organization how to carry out or

implement a policy• Written as instructions, in logical, numbered steps that identify

staff responsibilities and timelinesSource: Adapted from the HR Management Toolkit; HR Council for the Voluntary/Non-profit Sector

79



Policies: Essential Content

• Effective date of the policy and date of any revisions

• Purpose of the policy (what it is intended to promote or achieve)

• Main policy statement

• Definitions of any key concepts or terms used in the policy

• Eligibility or scope (what groups of employees are covered by the policy)

• Identifies the positions in the organization responsible for implementing and monitoring the policy (see Appendix A)

Source: Adapted from the HR Management Toolkit; HR Council for the Voluntary/Non-profit Sector

80



Procedures: Essential Content

• Policies often have a related procedure, which may be a section of the policy or a separate document to which the policy refers.

• The procedure gives numbered, step-by-step instructions including timelines for carrying out the policy.

• The procedure identifies staff positions in the organization responsible for implementing and monitoring the procedures.

Source: Adapted from the HR Management Toolkit; HR Council for the Voluntary/Non-profit Sector

81



A Team Approach that Supports Others

Management

Team

(Grantee or

Delegate)

Governing

Body

Center-

based Team

Parents,

Families,

Children

Policy

Council or

Policy

Committee

Grantee or

Delegate

Teams

Home

Based

Team

Community

Agency &

collaboration

teams

HSAC &

Other

Advisory

Committees

82



Understanding the Role of a Management Team

Starts with team members recognizing:

• Who they are as a collective group

• What common goals they want to achieve

• How each member is unique

Based on Essential Practices for Effective Management Teams

83



Staff Qualifications

1304.52(d) Qualification of Content Experts

1) Education and Child Development

2) Health

3) Nutrition (registered dietician or nutritionist)

4) Mental Health (licensed or certified mental health professional

with experience and expertise in serving young children)

5) Family and Community Partnership

6) Parent Involvement

7) Disabilities

8) Qualified Fiscal Officer (scheduled or ongoing)

8484



Degree and Credentialing for EHS Teaching Staff

ACF-HS-IM-08-12

What are the current requirements for EHS teacher qualifications?

• Current CDA credential for Infant and Toddler Caregivers, or an equivalent credential that addresses comparable competencies within one year of hire as a teacher of infants and toddlers.

What will be the requirements for EHS Teachers as of September 30, 2010?

• All EHS teachers must have, at a minimum, a CDA credential and have been trained (or have equivalent coursework) in early childhood development.

What will be the requirements for EHS Teachers as of September 30, 2012?

• All EHS teachers must meet the above requirement and be trained (or have equivalent coursework) in early childhood development with a focus on infant and toddler development.

85


A member of the National Head Start Training and Technical Assistance Network 86

Human Resources: Grants Administration

1301.31 Personnel Policies(a) Written Policies (b) Staff Recruitment and Selection Procedures

• Criminal Record Check• Signed Declaration

– Prior and pending criminal charges and arrests: child sexual abuse

– Convictions related to child abuse and neglect or violent felonies

(c) Declaration Exclusions(d) Probationary Period(e) Reporting Child Abuse or Sexual Abuse

86



Human Resource Requirements

• ACF-PI-09-05: Criminal Background Checks

– No Head Start and Early Head Start staff can be employed until criminal record check has been completed

• ACF-PI-06-01: Regional Office Approval of Key Hires

– Notify the regional office prior to making job offer to any staff identified as key personnel

– Key Personnel: Early Head Start Director and where more than 50% of salary is funded by OHS, the Executive Director and/or Chief Financial Officer

• ACF-PI-08-03 Executive Compensation Cap

– Explains limits on use of Federal funds

– Defines compensation

– Establishes cap

87



Staff and Volunteer Health

1304.52(k)(1) Staff and Volunteer Health

• Initial health examination, including screening for TB

• Periodic re-examination, as recommended by their health provider or as mandated by State, Tribal or local laws

88



Training and Development

1304.52 (l)(1-5) Training and development.

(1) Orientation to all new staff, consultants, and volunteers

(2) Structured approach to staff training and development

(3) Knowledge and skills necessary to implement the content of the HSPS

(i) Methods for identifying and reporting child abuse and neglect

(ii) Child and family transitions to and from the Early Head Start or Head Start program.

(4) Training or orientation to governing body members and Policy Council

(5) Family child care providers training (i-viii)

89



Professional Development

Section 637.(21)

The term professional development means high quality activities that will improve the knowledge and skills of Head Start teachers and staff, as relevant to their roles and functions, in program administration and provision of services and instruction, as appropriate, in a manner that improves service delivery…

90



Professional Development Plan

Section 648A.(f)

Each Head Start Agency shall create, in consultation with an employee, a professional development planfor all full-time employees who provide direct service to children and shall ensure that such plans are regularly evaluated for their impact on teacher and staff effectiveness.

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Training & Technical Assistance Plan vs. Professional Development Plan

T/TA Plan

• States the program's aims

• Responds to a needs analysis process which identifies overall training needs

• Outline, in written form, the training goals for a specific group of employees

Professional Development Plan

• An individual’s plan to address careeradvancement, employment and professional goals

• A process which addresses an individual’s self-assessment and personal objectives

• An agreement which addresses the needs of the employee and employer and clarifies expectations for both

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Facilities, Materials, and Equipment



Facilities/Materials & Equipment

1304.53

a) Head Start Physical Environment and Facilities

b) Head Start Toys, Materials, and Furniture

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Environment and Facilities

1304.53 (a) Head Start physical environment and facilities.

(1) Conducive to learning and reflective of the different stages of development

(2) Appropriate space for the conduct of all program activities

(3) Organized into functional areas

(4) Indoor and outdoor space used by mobile infants and toddlers must be separated from general walkways and from areas in use by preschoolers.

(5) 35 square feet of usable indoor space per child

(6) Meet the licensing requirements

(7) Maintenance, repair, safety, and security

(8) Environment free of toxins

(9) Outdoor play areas

(10) Safety inspection, at least annually (i- xvii)

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Materials

1304.53 b) Head Start equipment, toys, materials, and furniture

(1) Sufficient equipment, toys, materials, and furniture to meet the needs and facilitate the participation of children and adults.

(2) Infant and toddler toys must be made of non-toxic materials and must be sanitized regularly.

(3) To reduce the risk of Sudden Infant Death Syndrome (SIDS), all sleeping arrangements for infants must use firm mattresses and avoid soft bedding materials such as comforters, pillows, fluffy blankets or stuffed toys.

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EligibilityRecruitmentSelectionEnrollmentAttendance

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Enrollment, Recruitment, Selection, Eligibility, and Attendance (ERSEA)

1305.1-101. Purpose and scope2. Definitions3. Determining community strengths & needs4. Eligibility-Age of children & family income5. Recruitment of children6. Selection process7. Enrollment and re-enrollment8. Attendance9. Policy on fees10. Compliance

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ERSEA: Head Start Act 2007

645.(a)(1)(B)(ii)

Children that are homeless are categorically eligible

645.(a)(1)(B)(iii)(II)

Eligibility may include an additional 35% of participants whose families have incomes below 130% of the Federal Poverty Level

641A(h)(2) and ACF-PI-HS-08-06

Each grantee shall report on a monthly basis

• actual enrollment

• reasons for enrollment shortfall

• Develop plan if under-enrolled

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Income Eligibility

1305.4

a) Child must be three years old by the date used to determine eligibility for public school in the community in which the Head Start is located….

b) 90% must be from low income families (Poverty guidelines)….

c) Family income must be verified by the Head Start Program before determining that a child is eligible to participate…

d) Verification must include examination of income documents…

e) A signed statement by an employee of the Head Start program, identifying which of these documents was examined and stating that the child is eligible to participate in the program…

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2007 Act: Income Eligibility

• Income Eligibility per 2007 Act

– May serve up to 35% of enrollment with children whose family income levels falls between 100-130% of poverty (This is in addition to the current 10% over-income)

– Demonstrate meeting the needs of poverty level population prior to implementing this option (outreach and enrollment policies; selection criteria)

• Homeless Children

– Definition: McKinney Vento Act

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Public Assistance and Eligibility

ACYF-PI-HS-99-06

• Family income before taxes that is below the poverty line (HHS Poverty Guidelines are released in

February on an annual basis)

• Family that is receiving public assistance

– TANF

– SSI

• Children in foster care regardless of family income

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Certifying Eligibility for Enrollment

ACF-HS-IM-09-03

• 1305.4(c) The family income must be verified by the Head Start program before determining that a child is eligible to participate in the program.

• 1305.4(e) A signed statement by an employee of the Head Start program, identifying which of these documents was examined and stating that the child is eligible to participate in the program, must be maintained to indicate that income verification has been made.

• Erroneous payment reviews are required by the Improper Payments Act and are conducted on site for each program receiving an annual or triennial review.

• Programs are encouraged to use the Template for determining eligibility.



Income Eligibility for Enrollment

ACF-PI-HS-10-02

• Completion of a signed income verification form is required before a child is accepted and must be retained as part of the child’s official record.

• Currently programs are not required to maintain copies of the documents reviewed to determine income eligibility; however, OHS encourages programs to maintain copies of eligibility documents with the eligibility form in child’s official record.

• If OHS determines that a grantee has contributed to the misrepresentation or falsification of family income, OHS will issue a notice of deficiency and take other adverse actions.



Verification Template



Recruitment of Children

1305.5

(a) In order to reach those most in need of Head Start services, each Head Start grantee and delegate agency must develop and implement a recruitment process …

(b) During the recruitment process … a Head Start program must solicit applications from as many Head Start eligible families within the recruitment area as possible…

(c) Each program… must obtain a number of applications during the recruitment process … greater than the enrollment opportunities that are anticipated …

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Enrollment and Selection

• 1305.2(b) Enrollment means the official acceptance of a family by a Head Start program and the completion of all procedures necessary for a child and family to begin receiving services.

• 1305.6 (a) Each Head Start program must have a formal process for establishing selection criteria and for selecting children and families that considers all eligible applicants for Head Start services.



Disabilities Enrollment

Head Start Act 2007 Sec.640(d)(1):

…not less than 10 percent of the total number of children actually enrolled by each Head Start agency ……will be children with disabilities … determined to be eligible for special education and related services or early intervention services as appropriate as determined under IDEA…

ACF-PI-HS-09-04

The Office of Head Start believes the 10% actual enrollment requirement should be met no later than by the mid-point of agency’s program year.

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30 Day Enrollment Requirement

1305.7(b) Enrollment and Re-Enrollment

A Head Start grantee must maintain funded enrollment level. When a program determines that a vacancy exists, no more than 30 calendar days may elapse before the vacancy is filled.

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Enrollment Reporting Requirements

641A(h)(2) and ACF-PI-HS-08-06

Each grantee shall report on a monthly basis

• actual enrollment

• reasons for enrollment shortfall

• develop plan if under-enrolled

ACF-PI-09-11 ARRA Enrollment Reporting

ARRA expansion grantees are to report monthly enrollment counts separately for ARRA slots. All ARRA grantees are also to report monthly, on a cumulative basis, the number of centers and classrooms acquired to serve these children.

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Attendance

1305.8

(a) When the monthly average daily attendance rate in a center-based program falls below 85 %, program must analyze the cause of absenteeism

(b) If the absences are a result of illness or if they are well documented absences for other reasons, no special action is required. If the absences result from other factors …the program must initiate appropriate family support procedures

(c) In circumstances where chronic absenteeism persists and it does not seem feasible to include the child in either the same or a different program option, the child’s slot must be considered an enrollment vacancy

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Fee Policy

1305.9

Once a child and family is determined to be eligible for Head Start, a program may not solicit, encourage, or in any other way condition a child’s enrollment or participation in the program upon the payment of a fee. Costs incurred by families when purchasing diapers and formula could be considered a fee.

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Fiscal Management

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Fiscal Regulations

Uniform Administrative Requirements• CFR 45 PART 74: Higher Education Hospitals and Non-Profit

Organization• CFR 45 PART 92: State, Local and Tribal Governments

Cost Principles• CFR 220 (OMB A-21):Educational Institutions• 2 CFR 225 (OMB A-87):State, Local & Indian Tribal Governments• 2 CFR 230 (OMB A-122):Non Profit OrganizationsOther Requirements• CFR Part 1301-1310:Performance Standards• OMB A-133: Audits - States, Local Governments and Non-Profit

Organizations• Head Start Act: Legislation on Head Start

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Key Fiscal Management Activities

• Program Governance

• Management Systems and Procedures

• Risk Management

• AccountabilitySee: http://eclkc.ohs.acf.hhs.gov/ fiscal section for in-depth

information

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



FISCAL 101: ECLKC

• The ECLKC Fiscal Section provides current and accurate information for establishing and maintaining financial management systems for Head Start, Early Head Start, and child care programs.

• Detail fiscal requirements and oversight of Federal funds: administrative costs, cost allocation, reporting

• HOT TOPICS: SF-425 Financial Reporting Form, Policy Clarifications, Non-Federal Share, Wage Comparability, Budgets, Developing and Writing Grants, Fundraising

• Useful tools: Fiscal Assistant, Fiscal Glossary, Legislation

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• Overview of Head Start Services

– Early Childhood Development and Health Services

– Family and Community Partnerships

– Services for Children with Disabilities

– Transportation

• Tools/Resources for Getting the Job Done

• Wrap Up

Agenda: Day 2



Activity: Managing Responsibilities

• How did the activity make you feel?

• What were you thinking?

• What did you want to do?



Performance Standards-Services

1304.20- Child Health & Developmental Services

1304.21- Education and Early Childhood Development

1304.22 - Child Health and Safety

1304.23 - Child Nutrition

1304.24 - Child Mental Health

1304.40 - Family Partnerships

1304.41 - Community Partnerships

1308 – Disabilities

1310 - Transportation

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Child Health & Developmental Services

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Child Health and Developmental Services

1304.20

• Determining Child Health Status

• Developmental, Sensory and Behavioral Screening

• Extended Follow-Up and Treatment

• Ongoing Care

• Involving Parents

• Individualization of the Program

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Important Timelines to Remember

From a child’s entry into the program:• 30 day: (For CA) Health Assessment (or appointment for physical exam)

and TB screen for CCL regulations

• 45 day: screenings for developmental, sensory and behavioral concerns

• 90 day: child health status– Determination of ongoing source of health care– Obtain from health care professional determination whether child is

up-to-date (medical, dental and mental health care)• If child is not up-to-date: assisting the family to bring child up-to-

date• Establish procedures for tracking health services

– Obtain or arrange for further testing, examination or treatment if there is a known health or developmental concern

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Education & Early Childhood Development

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Education & Early Childhood Development

1304.21

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

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Curriculum Defined

1304.3(a)(5) Curriculum means a written plan that includes:• Goals for children's development and learning;• Experiences through which they will achieve the

goals; • Roles for staff and parents to help children to

achieve these goals; and• Materials needed to support the implementation of

a curriculum.

See also: HS Bulletin: Infants Have Their Own Curriculum: A Responsive Approach to Curriculum Planning for Infants and Toddlers March 2000 Issue # 67 pg 6-8

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Child Health & Safety




1304.22a) Health Emergency Proceduresb) Conditions of Short-Term Exclusion & Admittancec) Medical Administrationd) Injury Preventione) Hygienef) First-Aid Kits

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Nutritional Services



Nutritional Services

1304.23 Nutritional Servicesa) Identification of Nutritional Needsb) Nutritional Servicesc) Meal Serviced) Family Assistance with Nutritione) Food Safety and Sanitation

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Mental Health Services



Mental Health Services

1304.24 (a) Mental Health Services

(2) Mental Health Consultants…be on a schedule of sufficient frequency to enable the timely and effective identification of and intervention….

(3) …must include a regular schedule of onsite mental health consultation involving the mental health professional, program staff, and parents…

(4) ….must be supported by staff or consultants who are licensedor certified mental health professionals with experience and expertise in serving young children and their families.

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Family Partnerships

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Family Partnerships Performance Standards

1304.40

a) Family Goal Setting (FPA)

b) Accessing Community Services and Resources

c) Services to Pregnant Women (addressed in options)

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

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Community Partnerships

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Community Partnerships

1304.41

a) Partnerships

b) Advisory Committees

c) Transition Services

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Disabilities Services

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Disabilities Services

Part 1308

• Subpart A - General

• Subpart B – Disabilities Service Plan

• Subpart C – Social Services Performance Standards

• Subpart D – Health Services Performance Standards

• Subpart E – Education Services Performance Standards

• Subpart F – Nutrition Performance Standards

• Subpart G – Parent Involvement Performance Standards

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Transportation Services

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Transportation Services

Subpart B—Transportation Requirements

– 1310.10 General

– 1310.11 Child Restraint Systems

– 1312 Required use of School Buses or Allowable Alternate Vehicles

– 1310.13 Maintenance of vehicles

– 1310.14 Inspection of new vehicles at time of delivery

– 1310.15 Operation of vehicles

– 1310.16 Driver qualifications

– 1310.17 Driver and bus monitor training

Subpart C—Special Requirements

– 1310.20 Trip routing

– 1310.21 Safety education

– 1310.21 Children with disabilities

– 1310.23 Coordinated transportation

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Grantee Profile

1. Review grantee profile.

2. Identify 3 challenges and 3 strengths.

3. What systems can build on the existing strengths and address the potential challenges?

4. Report back.

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Systems and Services Matrix: Sample

l

l

Child Health &

Develop-mental

Services

1304.20

Plan Procedures Data

Collection

Forms/

Tools

Tracking Reports Monitoring

Child Health Status

Screenings

Extended Follow-up and

Treatment

Ongoing Care

Involving Parents

Individualization


1304.22

Plan Procedures Data Collection

Forms/Tools

Tracking Reports Monitoring

Health Emergency

Procedures

Conditions of Exclusion

Medication Administration



ECLKC

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Tools to Get the Job

• Head Start ACT

• Head Start Performance Standards

• ECLKC Website

• PIs, IMs, Policy Clarifications

• State Regulations (i.e. CCL, EPSDT)

• System and Services Planning Matrix

• Sample Service Area Plans

• Sample Record Keeping and Reporting Procedures

• Checklists (i.e. Community Assessment, Annual Report)

• PRISM Framework

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How Will I Remember It All???

Take Home Plan:

• What would you like to focus on?

• What would you like more information about?

• What resources do you need?

• What ideas are you going to take back to your program



Wrap-up and Evaluation

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In our efforts to improve quality, we must work holistically – with

people, systems, processes and structure.

- Stephen Covey