Comprehensive Systems for Ongoing Monitoring in Early Head Start-Child Care Partnership Programs

Transcription

1 Comprehensive Systems for Ongoing Monitoring in Early Head Start-Child Care Partnership Programs

2 Learning Objectives Describe the components of comprehensive ongoing monitoring Identify effective strategies for monitoring of partners and delegates Identify strategies for follow-up of monitoring activities

3 The Ongoing Monitoring Huddle 1. Write YES on the blue post it note. 2. Write NO on the yellow post it note. 3. Form a huddle of I will read a statement. 5. Huddle and decide to agree or disagree with the statement. 6. Place the appropriately colored Post-it note on the magnifying glass. 7. The magnifying glass will ascend from the huddle.

4

5 Systems Are Linked

6

7

8

9

10

11

12

13

14

15 Elements of an Effective Ongoing Monitoring System

16 Elements of an Effective Ongoing Monitoring System Why are these elements important for an effective OGM system?

17 Elements of an Effective Ongoing Monitoring System

18 Elements of an Effective Ongoing Monitoring System

19 Elements of an Effective Ongoing Monitoring System

20 Elements of an Effective Ongoing Monitoring System

21 Elements of an Effective Ongoing Monitoring System

22 OGM: Asking the Right Questions

23

24

25

26 Follow-up Action Plan Data Source: Data: Goal: Expected Outcome: Action/Strategy Person(s) Responsible Timeline Resources

27 A QuickStart to the Head Start Management Systems

28 Table of Contents Introduction... 1 Fiscal Management... 2 Facilities, Materials, Equipment, Technology & Transportation... 4 Self-Assessment... 6 Planning... 9 Ongoing Monitoring Program Governance Communication Record Keeping & Reporting Eligibility, Recruitment, Selection, Enrollment and Attendance (ERSEA) Human Resources Want to Learn More?... 25

29 In troduction The Head Start National Center on Program Management and Fiscal Operations (NCPMFO) has created this QuickStart to familiarize Early Head Start-Child Care Partnership leaders with the 10 Head Start Management Systems designated by the Office of Head Start. Early Head Start and other early childhood directors and managers use the activities and processes in these systems to make sure that teachers and other staff have the supports and resources they need to deliver high quality services. Systems are inter-linked and dependent upon one another. As you read through the description of the 10 systems that follow, you may notice several examples of how the systems intersect. For example, financial managers do not conduct their budgeting and other fiscal management activities in isolation. Instead, they engage in planning with program managers to develop the goals, objectives, and activities on which the budget is based. This QuickStart is organized to be used in conjunction with the Management Systems section (pages 12-22) of the Early Head Start Organizational Readiness & Implementation Guidebook. Each QuickStart section provides a two-page description of a management system including: An Overview Important things to Know Questions for EHS-CC Partners to Consider The Want to Know More? Appendix offers links to related resources for each of the management systems. 1

30 Fiscal Management Overview Effective fiscal management is essential to operating a successful Early Head Start-Child Care (EHS-CC) Partnership. EHS-CC partners that have strong financial leadership, systems, and agreements are better able to use their funding and other resources to support staff in providing high-quality services to the children and families they serve. Important Things to Know Partnership Agreements Strong partnerships are built on clear, comprehensive agreements that articulate the specific components of the relationship. Financial and legal advisors (such as the financial and legal professionals on the EHS program s governing body or outside counsel) can assist EHS CC-partners in developing an agreement that expresses the intent and their understanding of the partnership. Strong agreements include: Policies on roles and responsibilities Goals and objectives that articulate what is to be achieved annually Detailed plans describing funding and other financial arrangements Procedures for communication Fiscal System Components Because virtually every EHS-CC partnership will include the sharing of funds, financial staff from each partner will communicate with their counterparts during the life of the agreement. Partners can facilitate this communication by learning about each other s financial systems and how the partnership will affect them. At a minimum, partners should discuss the following financial system elements: Programming Budgeting Ensuring financial controls Accounting Financial reporting and review Auditing Budgeting Budgeting is an ongoing process in which an organization uses an actionable plan to advance the program. By looking at budgeting as an activity that is regularly discussed, revisited, and revised when needed, EHS-CC partners create a joint understanding about how they will use and maximize the resources available. Projecting revenues and expenditures based on good financial information will allow the partners to plan for spending and monitoring throughout the project year. Comparing projections to actual expenditures throughout the year allows for course corrections and timely budget amendments. 2

31 Financial Controls Financial controls are the checks and balances necessary to safeguard the funds of the program and organization. Procedures that must be in place include the following: Receipts Disbursements Petty cash Cash management Segregation of duties Investments Payroll Financial Reporting and Review Accurate reporting of financial information and ongoing monitoring of the financial system are crucial to long-term sustainability of both partners. Each partner must share timely and accurate fiscal reports with their governance leadership; the partnership grantee must also submit these reports to funders. Providing a culture of transparency that makes financial information available to the public often leads to greater community understanding and support for your organizations and the partnership s mission. Questions for EHS-CC Partners to Consider 1. How does the written agreement articulate the details of the relationship between the partners? Does the agreement read more like a sub-recipient or a contractor agreement and less like an agreement between true partners? 2. How will funds be exchanged between the partners? 3. How will the partners ensure strong financial oversight for federal funds? 4. How will the partners ensure timely and accurate reporting on the use of federal funds? 5. How will the partners ensure that resources are available to maintain subsidies? 3

32 Facilities, Materials, and Equipment Overview The Facilities, Materials, and Equipment (FM&E) system addresses a costly and complex aspect of program operations. Because the careful stewardship of FM&E assets, especially those purchased with public funds, is critically important program leaders will want to examine FM&E activities through three lenses: safe and healthy environments, asset management, and facilities administration. Important Things to Know An effective governing body and Policy Council work with the Head Start director and management team to ensure that all facilities are safe and meet all Head Start, state licensing, local, Tribal, and other regulatory requirements. Regulations, standards, and processes are only effective if every staff member understands, embraces, and consistently follows them. Early Head Start-Child Care (EHS-CC) leaders must look at safe and healthy environments in two ways; one way is focused on the dayto-day operation that includes maintenance, repair, and upkeep; the other is focused on a more strategic approach involving renovation, design, and the search for new facilities. Establishing a system of ongoing monitoring is the lynchpin to ensuring that health and safety issues are immediately addressed. This includes conducting periodic health and safety checks; tracking maintenance and reviewing data to identify trends that may point to a risk to children, parents, and staff; and having the systems in place to remedy any issues discovered during ongoing monitoring. Assets are defined as items of ownership convertible into cash. The stewardship of assets, especially those purchased with public funds, requires the participation of both the organization s governing body and the Policy Council in Early Head Start. EHS-CC partners must be thoughtful and strategic in how they plan to procure, maintain, and dispose of these valuable items, while taking into account the 5-year project period. As EHS-CC partners engage in effective FM&E stewardship activities, they will consider many regulations and guidance in many areas including: Governance, e.g., the oversight role of the governing body in purchasing Uniform guidance (effective December 26, 2014) Decision-making for FM&E o Technology, e.g., purchase, maintenance, and privacy safeguards o Transportation regulations o Equipment purchases, inventory, and disposition Nonfederal share Federal interest 4

33 Planning and Design EHS-CC Partnerships will benefit from facilities and family child care programs that are licensed and meet EHS facility requirements. Because well designed facilities support development, it is important for programs to consider the following areas in the administration of Facilities, Materials, and Equipment: o Child, family, staff, and administrative space Recordkeeping o Program, financial and legal information that would have implications for partners o Licensing standards o Accreditations, QRIS, and other national and state-recognized certifications Lease agreements that include language for terminating the contract with or without cause Questions for EHS-CC Partners to Consider 1. What is the process for ongoing monitoring to ensure safe and healthy environments for children, families, and staff? 2. What types of materials and equipment purchases or upgrades will be necessary to ensure that EHS-CC Partnership requirements are met? 3. How will the governing body and Policy Council participate in FM&E decisions made by the partners? 4. What types, amounts, and levels of insurance will protect the EHS-CC partners? 5

34 Self-Assessment Overview Program managers use the Self-Assessment to take stock. While ongoing monitoring (see page 11) helps programs answer the question, Are we doing the right things? Self-Assessment focuses on the big picture. During the annual Self-Assessment, staff, leaders, parents, and partners reflect on annual and multiyear data. They begin by looking at what is working in the program, acknowledging successes and progress, and to consider how to apply successful practices to other areas of the program. They compare data across content areas to address higher-level systemic issues. Self- Assessment helps the program and the partnership determine if they are doing everything they can to benefit the children and families they serve. Important Things to Know The graphic below, Recommended Practices for Self-Assessment, describes what the Self-Assessment process is, why it is done, who participates in the process, how frequently it takes place, and what the process consists of. 6

35 A. Phases of Self-Assessment serve as a guide for conducting the annual Self- Assessment. Programs typically use a five-phase process to conduct a Self-Assessment. Before they begin, they look at ways that their ongoing monitoring system can inform the Self-Assessment; after phase five, they use the Self-Assessment report to guide program planning. The five phases are described as: 1.) Design the Process: Set a clear direction of what you want to accomplish and by when. Decide what areas of focus would benefit from further dialogue through Self-Assessment. Consult with and obtain approval of the Self-Assessment plan by the governing body and Policy Council. Select and invite partnership staff, parents, governing body, and Policy Council members as well as participants who bring outside perspectives to join the Self-Assessment team. 2.) Engage the Team: Prepare and deliver an overview of the program, including current goals, objectives, and expected outcomes. Outline the Self-Assessment process. Form subgroups as needed. 3.) Analyze and Dialogue: Explore systemic issues and review the program s progress on goals and objectives. Review and analyze current and previous data to uncover trends and patterns. Engage in dialogue about what is going well and why, as well as what could be improved. Formulate discoveries. 4.) Make Recommendations: Reconvene the entire Self-Assessment team. Consolidate discoveries across subgroups and prepare recommendations to inform program planning. 5.) Prepare Report: Create a report based on the results of the Self-Assessment process. Share the completed report with the Policy Council and governing body for approval before submitting it to the Office of Head Start. Use the report in annual planning for the Early Head Start-Child Care (EHS-CC) Partnership program. 7

36 B. Questions to Consider When Conducting Self-Assessment 1. What can you learn from last year s Self-Assessment that will help guide this year s process? 2. What is your timeline for the Self-Assessment? 3. Who would be valuable members to invite to join the Self-Assessment team? 4. What topics and issues from ongoing monitoring will you take into the Self-Assessment? 5. How will you orient the team to the process? 6. How will necessary data be prepared and shared with the Self-Assessment team? 7. How will you decide which recommendations to prioritize for your final report? 8. What is the process for presenting the report for approval? Questions for EHS-CC Partners to Consider 1. How will the partners participate in the Self-Assessment process? 2. What data and other information will the Self-Assessment team use to review the operation and effect of the partnership? 3. What quality improvement tools can the partner contribute to the Self-Assessment process? 8

37 Planning Overview Planning is an ongoing process that includes establishing long-term goals and short-term objectives. This process uses program data to inform the process, developing action plans for implementation, and assessing the annual progress of the program s desired outcomes and the long-term impact on children, families and the communities served. Head Start programs engage in a variety of planning activities throughout the life of their grant that articulate what the program will do and how the services for children and families will be delivered. Program planning for EHS-CC Partnerships requires and inspires commitment from many players from both within the organizations, including governing body, Policy Council, and families and between the leaders of the partner organizations. Engaging families in planning strengthens the design and implementation of the program s plans and encourages the development of parents as leaders and decision-makers. Planning strategies include: Orienting participants to the mission, goals, and philosophy of the EHS-CC Partnership Being intentional and inclusive about the planning process Using data to make informed decisions Setting priorities and reviewing established goals Important Things to Know 9

38 Program goals are broad statements that are recognized and accepted as important by all. All stakeholders should be involved in the development of the goals; all stakeholders should understand the purpose and intent of the goals. This understanding will enable everyone involved in the EHS-CC Partnership to work together as a cohesive team with the same focus and ensure a culture of collaboration. Wise programs identify a manageable number of broad, long-term goals, knowing that they are more likely to be accomplished if everyone in the entire program from top to bottom embraces them. Objectives are elements of goals. Like goal statements, they are written as things to be accomplished. Objectives support the attainment of a goal by breaking the goal down into Specific, Measurable, Attainable, Realistic, and Timely elements, often represented by the mnemonic SMART. If goals are your destination, objectives are your mile markers along the way. Annual action plans spell out how a program intends to accomplish its overall goals and objectives from year to year. They outline the steps you will take to achieve your goals and objectives. Action plans are living documents, revisited frequently and kept up to date as changes occur. Formats for action plans vary; but generally they include what, who, and when. Other important elements include the tools for tracking progress, financial supports, and resources needed. Without sufficient resources, goals will never be achieved. Other plans critical to program operations include: School readiness plans Training and technical assistance plans Written service plans Transition plans Emergency preparedness plans Technology plans These plans should align with the action plan to implement goals and objectives. Questions for EHS-CC Partners to Consider 1. How will all stakeholders learn about the goals and objectives from the partnership proposal? 2. How will stakeholders contribute to annual planning processes? 3. How will you ensure that your partnership has allocated sufficient financial and human resources so that you can accomplish your goals? 10

39 Ongoing Monitoring Overview Head Start and Early Head Start programs use Ongoing Monitoring (OGM) to continually assess their progress toward meeting program goals and objectives and program compliance with regulatory requirements. The process involves systematically reviewing internal and external data. The OGM management system will be especially important to EHS-CC partners as they measure their partnership s performance, identify areas of concern, make immediate program corrections, and generate reports. OGM systems are locally designed. Important Things to Know A. The Elements of an Effective Ongoing Monitoring System As EHS-CC partners design a new system or enhance an existing system to monitor their effectiveness in carrying out their partnership grant, they should consider several core elements. Skilled managers who embrace their monitoring responsibilities are managers who: Implement a system of supervision where staff receive feedback Hold team debriefing sessions during monitoring activities Recognize they may not have direct monitoring responsibilities but they manage staff who do Possess the ability to manage conflict 11

40 Quality data is: Relevant. The information is connected to why it is being collected Timely. Timeliness adds credibility to the process of data analysis, and decisions and their effects are captured as quickly as possible Accurate and free from error Complete. No information is missing A culture that understands continuous improvement: Embraces accountability Grows, learns, and contributes to the overall goal Empowers staff Instills commitment Supports problem solving to get things done A process for aggregating and analyzing data: Assigns responsibility for gathering significant data Looks at data that helps see the big picture Uses the data that leads to answers A process for correcting issues and replicating promising practices: Includes follow-up Makes changes to the plan of action Determines what new data needs to be collected Looks at the bright spots Identifies promising practices that can be replicated B. Questions to Think About When Developing an Ongoing Monitoring Process 1. What are you monitoring? As you decide, draw from regulations, goals, and objectives. 2. Who is responsible? 3. Who collects (enters) the data? 4. How often will you collect the data? 5. How do you know you are collecting the data that you need? 6. How is the OGM data aggregated and analyzed? 7. How will you respond to issues and make course corrections? 8. How will you follow up to ensure that course corrections are effective? 9. How will you share the results? 10. With whom will you share the results? 12

41 Questions for EHS-CC Partners to Consider 1. How will the partners share OGM responsibilities? 2. If the grantee has an existing OGM system, how will it be revised to address the partnership s success in meeting goals, complying with conditions of the grant, and applicable regulations? 3. How will data be collected about services across the partnership? 4. Who will train the partner s staff on their OGM responsibilities? 13

42 Program Governance Overview In Head Start and Early Head Start three separate entities partner to ensure that Head Start funds are used to deliver services according to the Head Start Act and other federal regulations. As the legal and fiduciary guardians of the program, the governing body oversees operations and makes sure that the program fulfills its responsibilities; as the voice of parents and the community, the Policy Council informs the program s direction; as the day-to-day managers, the director and other managers guide and direct services. Depending upon the structure of the EHS-CC partnership, partners may need to revise a governance system of an existing grantee or, in the case of a new grantee, design a system from scratch. The Head Start Act of 2007, along with the Head Start Program Performance Standards, provides important information to guide leaders in shaping program governance. Important Things to Know The graphic above provides a visual representation of how the governing body, Policy Council, and management staff work collaboratively to provide leadership to the EHS-CC Partnerships. The Policy Council is an aspect of governance unique to Head Start and provides a formal mechanism for parents and community representatives to help shape the program. 14

43 Governing Body Reminders Because governing bodies need to demonstrate their ability to oversee the EHS-CC Partnership, they must embrace their: o Legal responsibility for ensuring that grant activities respond to regulations, terms, and conditions of the grant o Fiscal responsibility for ensuring that funds are used prudently and according to regulations o Responsibility to be engaged and knowledgeable about the partnership s long-term goals; progress towards achieving those goals; and outcomes for children, families, and the community Policy Council Reminders The Policy Council, which is comprised of elected parents and community representatives, must have opportunities to be involved in meaningful decision-making Policy Council members provide leadership and help shape the future of the Head Start program Management Staff Reminders The management staff supports good governance in the following ways: o Implementing policies o Developing procedures o Providing T/TA to the governing body and Policy Council o Supervising staff o Monitoring compliance o Generating and using periodic, monthly, and annual reports o Sharing reports with the Policy Council and governing body Questions for EHS-CC Partners to Consider 1. Have the partners worked together to complete the Governance, Leadership, and Oversight Capacity Screener and developed a plan for moving forward? 2. Do you have procedures in place to support collaborative decision-making? 3. Have you assessed the current competencies of the governing body and Policy Council to determine the direction of ongoing training and technical assistance? 15

44 Communication Overview Head Start requires that its programs develop communication systems ensure that staff, parents, governing body, and Policy Council members, and the community at large have the information that they need. Programs that take on EHS-CC partnerships will need to build effective communication strategies among their partners. Effective communication provides the foundation for strong collaboration. It is vital for building relationships and working efficiently and effectively towards shared goals. Early Head Start-Child Care Partnerships can lay a foundation for productive communication including processes for communicating between the partners and with all stakeholders in their written agreements. Important Things to Know Within any communication, information flows from the sender to the receiver. To each interaction we bring our opinions and experiences, which influence how we both send and receive a message. Be aware of how cultural differences, body language, tone, and the choice of words and phrasings (including such insider language as arcane terms and acronyms) can impact understanding between the sender and receiver. Leaders promote effective communication by: Modelling strong communication skills Holding people accountable for good communication, including expectations for clarity in job descriptions, personnel handbooks, and parent handbooks Reinforcing responsibilities related to confidentiality and ethics Providing staff with training and professional development on effective communication A Communication plan establishes expectations, processes, and policies and procedures for communication. An effective plan: Provides a unified approach for promoting the partnership s goals Clarifies expectations Promotes transparency Establishes a process for decision-making and, when needed, procedure for conflict resolution Working together, EHS-CC partners develop a communication plan that identifies: What information needs to be communicated Who is included: o Staff o Parents and families o Governing bodies o The community How the information will flow from sender to receiver How information will be shared (e.g., , phone, meetings, reports, etc.) When and how often the information is shared 16

45 Questions for EHS-CC Partners to Consider 1. How will organization leaders share the details about the partnership with their programs? 2. Does the communication plan outline how staff communicate with all organizations and programs participating in the partnership? 3. How often will partnership leaders review the effectiveness of the plan? What data will they use? 4. Who will represent the partnership in the community? 17

46 Recordkeeping and Reporting Overview Recordkeeping and Reporting go hand in hand. They are key to an Early Head Start-Child Care (EHS-CC) Partnership s ability to gather and use data effectively for planning and continuous improvement. Accurate, complete, and timely program and fiscal records enable partnerships to document their work as well as maintain and transmit their organizational knowledge. EHS-CC Partnerships rely on their recordkeeping systems to enable them to verify that they are meeting the requirements of the Head Start Program Performance Standards (HSPPS) and other federal, state, and local requirements. Reports enable partners to communicate with each other, funders, and other stakeholders. Effective reports are appealing, accessible, accurate, and audience specific. Important Things to Know A. Recordkeeping and Reporting Is Important A strong recordkeeping and reporting system reflects effective data management Programs document the work they have completed through a strong recordkeeping and reporting system Programs use the data they collect through recordkeeping and reporting throughout the year in their ongoing monitoring and annual Self-Assessment A strong recordkeeping and reporting system creates a body of knowledge about EHS-CC Partnerships, which informs staff, governing body, Policy Council, volunteers, and community partners 18

47 By creating a body of knowledge about your Head Start program, you create an institutional memory that can support your partnership when it experiences transitions (e.g., management succession, rapid growth, etc.) Good documentation helps you respond effectively to internal and external challenges and legal issues Regular reports are one of the most important ways that management staff share information about the partnership with program leadership (the governing body and Policy Council) to keep them informed about program operations and fiscal management B. Considerations for Designing a Recordkeeping and Reporting System Confidentiality. Ensure that policies, procedures, and codes of conduct address who has access to records and reports. Documentation. Be sure to document objectively and thoroughly. Disposal and retention of records. Know how long you must retain various types of records and how to dispose of records properly. Required reports. Know the types and timelines for the various required reports (PIR, annual report to the public, reports to governing body and Policy Council, fiscal reports, Self- Assessment report, etc.). Characteristics of good reports. Follow the Four A s : reports should be accurate, audiencespecific, accessible, and appealing. Technology. Technology, if used well, is a tremendous support to effective recordkeeping and reporting. Understand the capacity of your management information system. Train staff to use it to support and report their work. Questions for EHS-CC Partners to Consider 1. How will your partnership collect accurate and timely information about children, families, and staff? 2. Who will be responsible for collecting and reporting specific data of enrolled children, families, and staff? What skills do these responsible individuals need? Who will oversee them? 3. How will you ensure that your protocols for recordkeeping and reporting meet HSPPS, state child care regulations, QRIS, and CCDF guidelines as well as other funding requirements? 4. How will your partnership ensure timely submission of required reports, including monthly financial reports? 5. How will your partnership collect accurate and timely information to help it evaluate the effectiveness of the partnership? 19

48 ERSEA Eligibility, Recruitment, Selection, Enrollment, Attendance Overview Head Start and Early Head Start programs develop processes and activities in their Eligibility, Recruitment, Selection, Enrollment, Attendance (ERSEA) system to guarantee that the program fulfills its mission to provide services to the community s most vulnerable children and families. As EHS-CC partnerships expand enrollment opportunities for more children, partners will need to consider a variety of options as they design processes to meet the ERSEA requirements. Important Things to Know Eligibility Congress has established clear and specific guidelines for children s eligibility for Head Start services which are spelled out in the Head Start Program Performance Standards (HSPPS) (45 CFR ) As partnerships begin to design their processes for recruiting, enrolling, and selecting children, they need to consider several eligibility requirements which include: Age eligibility: except when the child is transitioning to Head Start, a child must be an infant or a toddler younger than three years old. EHS-CC Partnership grantees can also serve children in family child care settings from birth to 48 months. Income eligibility: a child is eligible if the family s income is equal to or below the poverty line; or the family is eligible or, in the absence of child care, would be potentially eligible for public assistance.. A family is categorically eligible for Head Start if the child is homeless or if the child is in foster care. 45 CFR further delineates critical information related to documenting and verifying eligibility. 20

49 Recruitment Head Start and Early Head Start programs develop and implement a recruitment process in which the community assessment plays an important role. Data from the assessment can help to determine recruitment strategies to reach all eligible families. For example, in communities with a newly-arrived he refugee population, the program can distribute materials in the refugees home language at community organizations. As the partnership develops, partners can consider ways to tap into the other community networks to reach the broadest audience. The Policy Council approve and submit recruitment priorities to the governing body, which then establishes the recruitment procedures and criteria. The partnership application process is often the first impression of the program for families and the community. Helping families access services in a streamlined and respectful way is a goal of the application process. Selection The EHS-CC partners establish selection criteria using the community assessment and other pertinent program data to ensure that the children and families selected are those who most need the services. Other data that should be considered include the Self-Assessment report; PIR; EHS-CC grant; and any applicable state, or local requirements. Leaders in migrant programs will want to consider the growing season and how often families need to relocate for agricultural work. They also will want to maintain a waiting list to ensure that eligible children can enter the program as vacancies occur. It is important for the Policy Council to approve and submit selection priorities to the governing body, which then establishes the selection procedures and criteria. Enrollment According to the HSPPS, a child is enrolled when the child has been accepted and attended at least one class, has received at least one home visit, or has received at least one direct service. EHS-CC partners must maintain their funded enrollment level, and 10 percent of their enrollment should be made up of children with disabilities. Except for migrant and seasonal programs, each Head Start program must obtain a number of applications during the recruitment process that is greater than the enrollment opportunities that are anticipated as available over the course of the year in order to select those with the greatest need for services. It is important to note that the Policy Council also approves and submits enrollment priorities to the governing body, which then establishes the enrollment procedures and criteria. Attendance Because programs need to provide monthly attendance reports to the governing body and Policy Council and upload enrollment reports to the Head Start Enterprise System (HSES) by the eighth day of each month that children are in session, it will be important that partnerships develop a way to track the attendance of children who receive services from all partnering organizations. HSPPS includes more information on program responsibilities when monthly average daily attendance rate in a center-based program falls below 85 percent. 21

50 Questions for EHS-CC Partners to Consider 1. Is there a plan to train all governing body, Policy Council, management, and staff who determine eligibility on applicable federal regulations and program policies and procedures within the designated timeframe? 2. Which partner(s) will be responsible for recruitment, selection, and enrollment activities? 3. How will EHS-CC partners ensure that they have budgeted for the changes in family eligibility? 4. What is the plan to implement the new regulation for creating an eligibility determination record for each enrolled child? 5. What is the process for tracking and regular follow-up on child attendance? 22

51 Human Resources Overview Early Head Start-Child Care (EHS-CC) Partnerships are all about relationships. It s no wonder that human resource management is one of the key systems that supports the partnership s quality early care and education programs. Important Things to Know The four elements in the chart above organizational structure, human resource requirements, staff recruitment and selection, and staff retention create a framework for developing a human resource management system that supports EHS-CC Partnerships. Organizational Structure: The EHS-CC Partnership leaders ensure that the organizational structure that they develop meets the needs of the project and adheres to each partner s regulations and requirements. This structure is well served by the following: An organizational chart that reflects the project s structure within that of the grantee organization A supervisory structure that identifies lines of authority and the processes used to support and oversee staff Collaborative work teams that are established for carrying out and managing the work Human Resource Requirements: Many federal and state laws and regulations guide human resource management. EHS-CC Partnership leaders ensure that: Personnel policies reflect the laws and regulations that guide human resource management. The partners align their personnel policies, and staff understand and abide by the policies Standards of conduct provide staff with guidelines for the delivery of quality early education and care. Strong standards reflect the National Association of the Education 23

52 of Young Children s Code of Ethical Conduct and Statement of Commitment as well as what the Head Start Program Performance Standards outline The program maintains staff records and demonstrates compliance with human resource laws The program meets all labor laws Staff Recruitment and Selection: The EHS-CC Partnership leaders understand their labor markets so they can successfully recruit and select qualified staff. They diligently: Conduct wage comparability studies Strive for workplace diversity Ensure that all background checks are completed prior to employment Develop effective onboarding of new staff Involve the Policy Council in hiring and termination processes Staff Retention: Critical to successful infant and toddler programming is continuity of services by skilled and knowledgeable staff. Therefore it is critical to retain quality staff by ensuring: Fair compensation Effective performance appraisals A responsive training and professional development system that is tied to program goals Supportive and effective supervision Questions for EHS-CC Partners to Consider 1. How will the partners establish and maintain an organizational structure that supports program objectives and addresses major functions and responsibilities assigned to each staff position? 2. How will the partners align their personnel policies, including compensation systems, to ensure common HR practices? 3. What recruitment strategies will partners use to ensure that staff are culturally and linguistically representative of the families and community served? 4. What are the roles and responsibilities of the partners for hiring staff? 5. How will partners ensure that staff background checks are conducted and other staff requirements are met and documented prior to hiring? 6. How will programs ensure that the Policy Council is involved in the employee hiring process? 7. How will programs align their professional development systems to maximize resources and ensure that staff members have opportunities for growth? 8. How will partners ensure that teachers and assistant teachers working throughout the program s operating hours meet required qualifications? 24

53 Want to Learn More? Fiscal Management What Are the Key Elements That Contribute to Strong Early Head Start? EHS Tip Sheet No. 12, Part 2: Early Head Start-Child Care Partnerships. HHS/ACF/OHS. A Fiscal Management Checklist for Partnerships. HHS/ACF/OHS. Facilities, Materials, Equipment, Technology, and Transportation Health and Safety Checklist for Early Care and Education Programs: Based on Caring for Our Children National Health and Safety Performance Standards (3rd ed.). California Childcare Health Program: UCSF School of Nursing. Head Start Design Guide: A Guide for Building a Head Start Facility. HHS/ACF/ACYF/OHS. Start Design Guide -- Second Edition.pdf Self-Assessment PMFO Tip Sheet: Ideas for Your Annual Self-Assessment Process. HHS/ACF/OHS. Planning Foundations for Excellence: Planning in Head Start. HHS/ACF/OHS. Ongoing Monitoring Building an Effective Ongoing Monitoring System. Jerry Gomez, associate director, Region IX Office of Head Start. 25

54 Program Governance Governance Readiness Tool. HHS/ACF/OHS. Governance, Leadership and Oversight Capacity Screener. HHS/ACF/OHS. Governing Body and Tribal Council Certification. HHS/ACF/OHS. Communication The Communication Plan. HHS/ACF/OCC. Head Start A to Z: Communications. (Includes a detailed Extend Your Learning resource list for learning more about current important topics in communication.) HHS/ACF/OHH. Record-Keeping and Reporting ARMA Generally Accepted Recordkeeping Principles. ARMA. ERSEA Five Steps to Community Assessment: A Workbook for Head start and Early Head Start Programs Serving Hispanic and Other Emerging Populations. HHS/ACF/OHS. Final Rules and Regulations on Head Start Eligibility. Federal Register 80(27). Human Resources Criminal Record Checks (ACF-PI-HS-09-05): Program Instruction. HHS/ACF/OHS. Qualifications for Early Head Start Infant and Toddler Center-based Staff (ACF-IM-HS-10-06). HHS/ACF/OHS. Wage and Fringe Benefits Comparability Toolbox. HHS/ACF/OHS. Partnerships Issues: Employees or Independent Contractors? Family Child Care Providers in Networks or Systems or Sponsored by Programs. HHS/ACF/OHS. 26

55 How would you rate your capacity as EHS-CC partners to effectively implement each element? Low Middle or High. Record your thoughts. Skilled mangers who embrace their monitoring responsibilities Quality Data A culture that understands the importance of continuous improvement

56 How would you rate your capacity as EHS-CC partners to effectively implement each element? Low Middle or High. Record your thoughts. Efficient process for aggregating and analyzing data Process for correcting issues and replicating promising practices