Ongoing Monitoring in Head StartBuilding Reliable Systems
CHSA Summer Manager & Director InstituteSan Diego, CaliforniaJuly 28, 2011
Jerry Gomez, Management Consultant [email protected] 415.307.9818
Ongoing Monitoring in Head StartBuilding Reliable Systems
CHSA Summer Manager & Director InstituteSan Diego, CaliforniaJuly 28, 2011
Jerry Gomez, Management Consultant [email protected] 415.307.9818
Session Agenda
Requirements & Issues in Grantee Monitoring
Monitoring Systems that Work(ed)
Preparations for the Federal Review
E-Monitoring and Follow-Up
Q & A
Session Panelists
Carla Clark, Program DirectorShasta Head Start Child Development, Inc.
Linda Kaercher, Program DirectorMerced County Office of Education
Ron Griffin, Program DirectorCounty of San Bernardino/Preschool Services Dept.
Nathan Taylor, ConsultantThe State of E-Monitoring and Tracking
A Key Management SystemGovernance
Planning
Communications
Record-keeping & Reporting
Human Resources
ERSEA
Fiscal Management
Ongoing Monitoring
The Monitoring Requirement
1304.51(i)(2):
“Grantees must establish and implement procedures for the ongoing monitoring of their own EHS/Head Start operations, as well as those of each of their delegate agencies to ensure that these operations effectively implement Federal regulations.”
The Monitoring Requirement
1304.51(i)(2):
“Grantees must establish and implement procedures for the ongoing monitoring of their own EHS/Head Start operations, as well as those of each of their delegate agencies to ensure that these operations effectively implement Federal regulations.”
Monitoring Your MonitoringThe Federal Review of Ongoing Monitoring (2011 Protocol):
Measures, tools & procedures to implement monitoring;
Staff or consultants assigned to monitor each service;
Collects, analyzes & reports on progress…for quality;
Follow-up on correcting any weakness identified through monitoring or self-assessment.
Director Interview:
How often and what process do you use to receive ongoing status reports that captures the program’s progress…How do you use these reports to improve quality and make necessary corrections?
PRISM FRAMEWORK – FY 2006
1304.51(e) 1304.51(g)
1304.51(i)(2)
1304.51(i)(2)
M A N A G E M E N T S Y S T E M SPROTOCOLSECTION
ON-SITE ANALYSIS MATRIX – FY 2010Illustration by Jerry Gomez
1304.51(c)(1)
1304.51(i)(2)
Federal Issues in Ongoing MonitoringThe “Gotchas”
No Procedures
Procedures but Not Followed
Procedures Followed but Not Effective
Procedures Followed but No Follow-Through or Closure of Issues
System Frequently Cited as Overarching Cause for Non-Compliance in Services
Common Problems in Head Start Monitoring Systems(Jerry’s List)
Monitoring system not Director-driven
Inadequate (or undocumented) follow-up and correction…not ”Closing the Loop”
Overload of data…not connecting with systems
Inconsistent/insufficient reporting of monitoring results
Not monitoring PDM and/or Fiscal
Over-reliance on software data and not reconciling data in files with software
Staff issues with monitoring: incompatibility; training; and designation
The Director’s Panel
Discussion Points:
What are your expectations and priorities in monitoring?
What is your monitoring process? Describe.
How do you track the results of monitoring?
How did you prepare for a successful Federal review?
SHASTA HEAD STARTCHILD DEVELOPMENT, INC.
• Carla Clark, Executive Director•Serving Shasta, Siskiyou and Trinity Counties in far Northern California•672 Head Start Children•266 Early Head Start Children•Options: Center - Based
Home - BasedCombination Option
II. Strengths
RecommendationsPlan of Action
I. Program Area
MonitorP.S. 1304.51(i)(2) Monitoring
P.S. 1304.51(g) Record KeepingP.S. 1304.51(i)(2)Outcomes/Monitoring
VII. Agency MonitoringOutcomes Analysis
& Planning(Agency Level Data
Analysis)
VIII. Program
Self-Assessment,Training, &
Improvement Plan
III. Signatures &
Distribution of Copies
IV. Follow-Up & Corrections
by Responsible Parties
V. On-Going Program
Quality & Maintenance Monitoring
VI. Program Area Monitoring
OutcomesAnalysis
(Program Area Data Analysis)
How to Prepare For a Federal Review
1. Continuously work on your monitoring system, emphasizing a culture of accountability, control and transparency.
2. Conduct a mock review several months prior, especially of PDM.
3. Go through your bylaws, policies and procedures and update if necessary.
4. Give key managers specific tasks and timelines. 5. Assemble binders with pertinent documents prior to the
review. Point out your strengths. 6. Express confidence and positive energy to the staff about
the review.
Merced County Head Start
• Linda Kaercher, Head Start Director• Merced County, located in the Central Valley, one hour
north of Fresno• 1,060 Children served in Head Start; 200 Children served in
Early Head Start• Program Options include:
– Center-based Preschool (1012 Children)– Home-based Preschool (48 Children)– Center-based Early Head Start (56 Children)– Home-based Early Head Start (144 Children)
Monitoring ProcessThree tiered system:Site Level Monitoring Safe Environments Reflective Supervision ChildPlus.net data for Health Services
Management Level Monitoring Utilization of ChildPlus.net for each Service Area Mid-Manager Child File Review Site Support Monitoring All Site Records by Service Area Manager
Director/Assistant Director Monitoring Activities Review and follow up of all monitoring activities and records PIR Indicators Report (included in handouts) Enrollment/Waiting List Report (included in handouts) ChildPlus.net
Preparing for a Federal Review
Maintain a current Records Room Ensure that follow up is documented and
completed on all monitoring activities Ensure complete records of Health and Safety
monitoring activities Complete an eligibility review of enrolled
families as part of your Program’s Self-Assessment
Help staff be able to discuss their role in ensuring that children and families receive services
Have an authentic, functional relationship with your Policy Council and Governing Board
Keep your Policies and Procedures current
County of San BernardinoPreschool Services Department (PSD)
Program Director: Ron GriffinService Area: County of San BernardinoNumber of Children and Families Served:-4,066 Head Start-378 Early Head StartProgram Options: Full Day Center Based, Part Day Center Based and Home Based
PSD Monitoring System Overview
Monitoring
Analysis
Planning
Organization Development
Communication
Record Keeping and
Reporting
Site visits, Report Reviews, Data Checks, Take action and rectify when possible
External Approval, Policies and Procedures, Compliance Research
Identifying patterns and best practices, developing universal methods and tools
Producing mandatory and selected reports, data checking, confidentiality
Ensure system is understood and accessible to relevant parties
Orientation and training, recognition and rewards for organization priorities, corrective action for negative issues 21
Top 8 List For A Great Federal Review
Electronic Record Keeping System-If it isn’t there, assume it doesn’t exist. Aim For An “A+” – But Remember You Can Pass With A “C”Focus on Compliance– Compliance and Quality are not the same thing.Shut up and Listen-Make a “no harm, no foul” list of everything staff sees as an issue in the organizationPrioritize– Start with the Most Serious and Work Your Way BackwardBring In Outsiders– Better To Hear It Early With Friends Leave Nothing To Chance-Answer Every Question From The Reviewers Point of View (Question Guides)Make A Great First Impression– The more you can do, the better.
Compliance
Systems
Concerns
Annoyances
The Compliance Scale
22
Electronic MonitoringCHSA July 2011
Nathan TaylorManagement Consultant
(408) [email protected]
Copyright 2011 Nathan Taylor
What is e-monitoring?
Why use an e-monitoring system?
Summarize monitoring results
Group findings
Track status of findings until closure
Compare results over time
Easier Process = More Time for Crafting Improvements
Case Study
Mary, Head Start Director
Federal review coming soon
Wants to prepare
Decides on monitoring
Case Study
Case Study
Monitoring Activities
10 Reviewers
100 Files
30 Safe Environments Inspections
25 Education Observations
Case Study
Case Study
Mary wants to know:
Are there any systems issues?
What are the top issues to focus on?
How to ensure each individual concern will be addressed?
Was progress made since the last monitoring event?
Case Study
E-Monitoring System
Case StudyAre there any systems issues?
Copyright 2011 Nathan Taylor
Case StudyWhat are the top issues to focus on?
Copyright 2011 Nathan Taylor
Case StudyAre findings being addressed?
Copyright 2011 Nathan Taylor
Case StudyAre findings being addressed?
Copyright 2011 Nathan Taylor
Copyright 2011 Nathan Taylor
Service Area 2009-10 2010-11 ChangeHealth 6 5
Nutrition 4 3
Safe Environments 11 8
Disabilities 0 0 -
Mental Health 1 0
Family Services 4 4 -
Education 4 5
Fiscal 0 0 -
PDM 8 6
ERSEA 1 3 TOTAL 39 34 (-13%)
Good =
Non-Compliances Identified
Was progress made over time?
Case Study
E-Monitoring System
What Features to Look For?
Reports help identify systems issues
Reports identify top findings
Tracks individual findings until closure
Data entry is fast and easy
Web-based / Remote Access
Create your own review tools
Includes OHS monitoring protocol
Copyright 2011 Nathan Taylor
Where can I get one?
COPAii
ChildPlus.net (feature not yet released)
Mobile Audit
Monitrack (ask Nathan)
Copyright 2011 Nathan Taylor
Building a Reliable System
Organizational Considerations
Procedural Considerations
Staffing and Training
Maintenance and Accountability
