Community Assessment Performance Standards and Monitoring Protocol Review Questions, 2010-2011 compared

By Teresa Wickstrom, Senior Associate, Center for Community Futures.teresa@cencomfut.com

1) The Performance Standards regarding Community Assessments remain unchanged and are shown below.

45 CFR#

Performance Standard text:

Related 2011 Monitoring Protocol Review Q’s

1304.23

Child nutrition.

1304.23 a

Identification of nutritional needs. Staff and families must work together to identify each child’s nutritional needs, taking into account staff and family discussions concerning: …

1304.23 a 4

Information about major community nutritional issues, as identified through the Community Assessment or by the Health Services Advisory Committee or the local health department.

1304.51

Management systems and procedures.

1304.51 a

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 must include:

PDM 5.1

1304.51 a 1 i

An assessment of community strengths, needs and resources through completion of the Community Assessment, in accordance with the requirements of 1305.3;

PDM 5.3

1304.51 a 1 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; and …

PDM 5.1
PDM 5.3

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 or Policy Committee at least annually, and must be revised and updated as needed.

DS2.1

PDM5.1

1305.3

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

1305.3 c

Each Early Head Start and Head Start grantee must conduct a Community Assessment within its service area once every three years. The Community Assessment must include the collection and analysis of the following information about the grantee’s Early Head Start or Head Start area:

PDM5.3

1305.3 c 1

The demographic make-up of Head Start eligible children and families, including their estimated number, geographic location, and racial and ethnic composition;

PDM5.3

1305.3 c 2

Other child development and child care programs that are serving Head Start eligible children, including publicly funded State and local preschool programs, and the approximate number of Head Start eligible children served by each;

PDM5.3

1305.3 c 3

The estimated number of children with disabilities four years old or younger, including types of disabilities and relevant services and resources provided to these children by community agencies;

PDM5.3

1305.3 c 4

Data regarding the education, health, nutrition and social service needs of Head Start eligible children and their families;

PDM5.3

1305.3 c 5

The education, health, nutrition and social service needs of Head Start eligible children and their families as defined by families of Head Start eligible children and by institutions in the community that serve young children;

PDM5.3

1305.3 c 6

Resources in the community that could be used to address the needs of Head Start eligible children and their families, including assessments of their availability and accessibility.

PDM5.3

1305.3 d

PDM5.3

1305.3 d 1

PDM5.3

1305.3 d 2

PDM5.3

1305.3 d 3

PDM5.3

1305.3 d 4

PDM5.3

1305.3 d 5

PDM5.3

1305.3 d 6

PDM5.3

1305.3 e

PDM5.3

1305.3 f

1305.3 g

1305.3 g 1

1305.3 g 2

1305.3 g 2 i

1305.3 g 2 ii

1306.31

1306.31 a

PDM5.4

1306.31 b

PDM5.4

2) Monitoring Protocol Review Questions regarding Community Assessment:2010 and 2011 Compared

Community Assessment

2010 Monitoring Protocol Review Questions (9/10/2009)

Monitoring Protocol Review Questions 2011 9/16/10

Health Services - Management Systems Analysis

This section lists a series of targeted questions not linked to a performance standard at the service area level. These questions are designed to contribute to a comprehensive analysis of the program’s management systems. Accordingly, these questions appear in each protocol section and are completed for each service area to provide insight into how key management systems function with relationship to each service area.

Interview: Health Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Nutrition Services - Management Systems Analysis

Interview: Nutrition Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Safe Environments - Management Systems Analysis

Interview: Facilities Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Transportation Services - Management Systems Analysis

Interview: Transportation Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Disabilities Services - Management Systems Analysis

Interview: Disabilities Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Mental Health Services

Does the certified or licensed mental health professional have a schedule that enables timely, effective identification of and intervention in family and staff concerns about a child?

1304.24(a)(2), 1304.24(a)(3)(iii)

Document Review: Community Assessment Summary

* Review the Community Assessment Summary completed by the Program Design and Management Reviewer. Based on your review, consider the types of services parents are requesting and the population demographics (i.e., types of services people in the community typically use). Given that information and your understanding of the program, has the program established the appropriate frequency of visits to assess mental health concerns?

Mental Health Services - Management Systems Analysis

Interview: Mental Health Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Document Review: Community Assessment Summary

Family and Community Services - Management Systems Analysis

Interview: FCS Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Education and Early Childhood Development Services - Management Systems Analysis

Interview: ECD Coordinator (Program Planning)

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Fiscal Management - Management Systems Analysis

Interview: Fiscal Officer (Program Planning)

* Describe how information from the Community Assessment (and its updates) is incorporated into your program planning and implementation.

Program Design and Management - Governing Body

Program Design and Management Compliance Framework #4 - Program Governance: Reporting to Governance Groups

Do governing body members receive the following information or reports: …

-Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including applicable updates;

Document Review: Governing Body Reports

* Before conducting your interviews, review a sample of reports provided to the governing body. Does the governing body receive the following information and reports: …

-Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including applicable updates;

PDM4.0

The Governing Body and Policy Council (and/or Policy Committee) regularly receive and use reports about program planning, policies, operations and finances to assist them in program oversight and decision making.

642 d 2 A – I, 642 c 1 E

4.1 Governing Body and Policy Council (or Policy Committee) members regularly receive and use the following information or reports about program planning, policies and agency operations:
… -Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including applicable updates

Document Review: Governing Body and Policy Council Reports

* Before conducting your interviews, review a sample of reports provided to the Governing Body and Policy Council. Are reports received on a regular schedule? Do reports contain sufficient information to assist these bodies in fulfilling their monitoring and decision making responsibilities? Make note of any concerns regarding regularity, report content. etc.

…

-Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including applicable updates

Program Design and Management - Policy Council

Does the program have a Policy Council or Policy Committee responsible for the Head Start program’s direction, including program design and operation, and long- and short-term planning goals, taking into account the annual Community Assessment and Self Assessment?

642(c)(2)(A)

Interview: Policy Council or Policy Committee Member (Policy Council and Policy Committee Member Responsibilities)

* Does the program help you use the Community Assessment and the Self Assessment in making decisions about the program?

* How do you help the Head Start program decide what it is going to do to help children and families?

Do the Policy Council or Policy Committee members receive the following information or reports: …

-Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including any applicable updates;

642(d)(2)(A)- 642(d)(2)(I)

Interview: Policy Council or Policy Committee Member (Reporting)

* What financial and programmatic reports do you receive and when do you receive them? (FIS5C)

* What information do the reports you receive include? Are they clear and comprehensive? (FIS5C)

* How do the reports help you keep track of the program's progress? (FIS5C)

* If you have questions about reports, who answers your questions?

Document Review: Policy Council Reports

* Before your interview, review a sample of reports provided to the Policy Council or Policy Committee. Does the Policy Council or Policy Committee receive the following required reports?

…

-Community-wide strategic planning and needs assessment (i.e., Community Assessment) of the Head Start agency, including any applicable updates;

Program Design and Management - Planning

Program Design and Management Compliance Framework #5 - Program Planning

Does the program use the Community Assessment for program planning, including formulation of both long-range program goals and short-term program and financial objectives?

1304.51(a)(1)(ii), 1305.3(c), 1305.3(d), 1305.3(e)

Interview: Head Start/Early Head Start Director (Program Planning)

* When were the last two Community Assessments conducted?

(Note to reviewer: The Community Assessment should be conducted every three years.)1305.3(c), 1305.3(e)

* Describe how the program develops its goals to respond to community needs, and then revises those goals as appropriate to respond to changes in the community. 1305.3(d)

Presite Review: Community Assessment

* Summarize the general make-up of the Head Start community the program serves. List important demographic information that later will help you determine whether the grantee has used the Community Assessment to formulate long- and short-term goals, such as location of centers, types of services offered to parents, and with which community partners to collaborate.

* List the date of the most recent Community Assessment.

Summary Analysis: Community Assessment and Program Planning

* Summarize whether the program uses its Community Assessment for program planning, including updating program goals and objectives to respond to changes in community needs. Review the following information, as well as additional information you find relevant to addressing this compliance question:

-Responses to interviews conducted by service area reviewers that focus on how program staff incorporate information from the community assessment into program planning and implementation

-Responses to interviews with Head Start Director

-Your own analysis of the extent to which the program uses its Community Assessment for program planning, including updating the plans based on changing community needs.

Your summary might reflect a potential program strength, a concern, or general compliance.

PDM5

The Grantee has developed a process for systematic program planning which leads to the development and implementation of quality services that meet the needs of children and families in the community it serves.

1304.51 a 1, 1304.51 a 1 ii, 1304.51 a 1 iii, 1304.51 a 2, Act 641A g 1, 641A g 2 B

5.1 The grantee (and delegate) in consultation with staff, governing bodies, policy groups, and other community organizations routinely engages in a process of systematic planning which utilizes the results of the Community Assessment and Self Assessment and other information, and leads to the development of long and short term goals for improvement and written plans for service implementation.

Interview: ERSEA Coordinator (Community Assessment and Program Planning) …

* Describe how information from the community assessment (and its updates) is incorporated into your ERSEA planning and implementation.

Pre-Site: Service Plans and Program Plans

* Has the program developed plans for implementing services in each of the program areas (ECD, Health and Nutrition, FCS, Disabilities, and PDM including ERSEA) which have been reviewed and approved by Policy Council at least annually? If so, note which areas have approved implementation plans.

Summary Analysis: Program Planning

-Planning summaries provided by reviewers for each service area;

-Responses to interviews conducted by service area reviewers that focus on how program staff incorporate information from the Community Assessment into program planning and implementation…

-Your own analysis of the extent to which the program uses its Community Assessment and Self- Assessment for program planning, including updating the plans based on changing community needs and program options.

-Your responses to the previous program planning compliance indicators in this protocol section

-The Onsite Analysis Matrix which provides an overview of the program’s planning system

-Responses to interviews with Head Start Director and Policy Council or Committee…

5.2 Interview: Head Start/Early Head Start Director (Community Assessment and Program Planning)

* Describe how the program develops its goals to respond to community needs, and then revises those goals as appropriate to respond to changes in the community.

1304.51 a 1 i, 1304.51 a 1 ii, 1305.3 c, 1305.3 d, 1305.3 e

5.3 The program uses a Community Assessment process to collect and assess information regarding community strengths, needs and gaps in services, and to formulate goals and objectives on how to best serve young children and families in the program’s service area.

Interview: Head Start/Early Head Start Director (Community Assessment and Program Planning)

* Explain how the information contained in the Community Assessment is used in program planning and implementation, including selection of program options.

Pre-Site: Community Assessment

* After review of the Community Assessment, summarize the general make-up of the Head Start community the program serves. Note important demographic information that later will help you determine whether the grantee has used the Community Assessment to formulate long- and short-term goals, such as location of centers, types of services offered to parents, and with which community partners they collaborate.

* List the date of the most recent Community Assessment.

* List the date of the most recent update to the Community Assessment.

1306.33 a 1, 1306.33 a 2, 1306.36, 1306.31 a, 1306.31 b, 1306.34 a 2, 1306.32 b 2, 1306.32 b 3, 1306.35 a 1

5.4 Based on the Community Assessment and other information, the program operates one or more of the approved program options in accordance with applicable regulations.

Note: The 2007 Head Start Act refers to the Community Assessment as a community-wide strategic planning and needs assessment.

Interview: ERSEA Coordinator (Community Assessment and Program Planning)

* Describe how the program determined the types of program options to offer and what information guided these decisions.

Pre-Site: Service Plans and Program Plans

* If the program operates a combination option, does it provide an acceptable combination of minimum number of class sessions and home visits over a period of 8 months to 12 months?

* If the program operates a home-based option, does it provide 1 home visit per week per family (a minimum of 32 home visits per year), lasting a minimum of 1½ hours each, as well as provide 2 group socialization activities per month for each child (a minimum of 16 group socialization activities per year)? Applies To: Home-based programs

* If the program operates a home-based option for Early Head Start, does it provide the required minimum weekly home visits (average of 90 minutes each in most cases) and monthly group socializations for the number of weeks of operation as approved in the grant? Applies To: Home-based programs serving infants and toddlers

* If the program operates a center-based program, does it ensure that it provides the required number of hours or days of operation? Applies To: Center-based programs

* If the program operates an alternate program variation, can it demonstrate ACF approval?

* If the program operates a family child care option, does it operate a sufficient number of hours to meet the child care needs of the families? Applies To: Family child care programs

* Review the long and short term goals and objectives the program intends to achieve and the strategies that the program plans to use to accomplish them. Can you link these goals to either Community Assessment or Self Assessment information? Summarize or list a sample of goals that result from Self Assessment information, (including ongoing monitoring) and Community Assessment data as applicable.

Summary Analysis: Program Planning

* Summarize whether the program has a systematic, ongoing program planning process that uses data from the community assessment, Self-Assessment and child outcomes data. Clearly describe the planning system and any strengths or weaknesses that were discovered in the system during the review. Collaborate with other team members to fully understand how the program develops plans, including the types of options that would best serve children in your service area, and follows-up on their plans and goals. Review the following information:
-Planning summaries provided by reviewers for each service area;
-Responses to interviews conducted by service area reviewers that focus on how program staff incorporate information from the Community Assessment into program planning and implementation
-Responses to interviews conducted by service area reviewers that focus on how program staff incorporate information from the Self-Assessment into program planning and implementation
-Your own analysis of the extent to which the program uses its Community Assessment and Self- Assessment for program planning, including updating the plans based on changing community needs and program options.
-Your responses to the previous program planning compliance indicators in this protocol section
-The Onsite Analysis Matrix which provides an overview of the program’s planning system
-Responses to interviews with Head Start Director and Policy Council or Committee
-Information related to the use of Child Outcomes Data Clearly describe strengths, concerns, and the general level of performance in this area. Ensure that OHS and the grantee can glean from your summary a description of the system and its effectiveness.

Interview: Head Start/Early Head Start Director (Community Assessment and Program Planning)

* Explain how the information contained in the Community Assessment is used in program planning and implementation, including selection of program options.

ERSEA - Program Options

Eligibility, Recruitment, Selection, Enrollment, and Attendance (ERSEA) 3A

Does the program operate one or more of the approved program options in accordance with applicable regulations?

1306.33(a)(1), 1306.33(a)(2), 1306.36, 1306.31(a), 1306.34(a)(2), 1306.32(b)(3), 1306.32(b)(2), 1306.35(a)(1)

Interview: ERSEA Coordinator (Program Planning)

* Describe how the program determined the types of program options to offer and what information guided these decisions? …

* Describe how information from the community assessment (and its updates) is incorporated into your program planning and implementation.

Resources for HeadStart Community Assessments

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