Community Assessment Performance Standards and Monitoring Protocol Review Questions, 2010-2011 compared
By Teresa Wickstrom, Senior Associate, Center for Community Futures.
1) The Performance Standards regarding Community Assessments remain unchanged and are shown below.
45 CFR# / Performance Standard text: / Related 2011 Monitoring Protocol Review Q’s1304.23 / 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 / The Early Head Start and Head Start grantee and delegate agency must use information from the Community Assessment to: / PDM5.3
1305.3 d 1 / Help determine the grantee’s philosophy, and its long-range and short-range program objectives; / PDM5.3
1305.3 d 2 / Determine the type of component services that are most needed and the program option or options that will be implemented; / PDM5.3
1305.3 d 3 / Determine the recruitment area that will be served by the grantee, if limitations in the amount of resources make it impossible to serve the entire service area. / PDM5.3
1305.3 d 4 / If there are delegate agencies, determine the recruitment area that will be served by the grantee and the recruitment area that will be served by each delegate agency. / PDM5.3
1305.3 d 5 / Determine appropriate locations for centers and the areas to be served by home-based programs; and / PDM5.3
1305.3 d 6 / Set criteria that define the types of children and families who will be given priority for recruitment and selection. / PDM5.3
1305.3 e / In each of the two years following completion of the Community Assessment the grantee must conduct a review to determine whether there have been significant changes in the information described in paragraph b of this section. If so, the Community Assessment must be updated and the decisions described in paragraph c of this section must be reconsidered. / PDM5.3
1305.3 f / The recruitment area must include the entire service area, unless the resources available to the Head Start grantee are inadequate to serve the entire service area.
1305.3 g / In determining the recruitment area when it does not include the entire service area, the grantee must:
1305.3 g 1 / Select an area or areas that are among those having the greatest need for Early Head Start or Head Start services as determined by the Community Assessment; and
1305.3 g 2 / Include as many Head Start eligible children as possible within the recruitment area, so that:
1305.3 g 2 i / The greatest number of Head Start eligible children can be recruited and have an opportunity to be considered for selection and enrollment in the Head Start program, and
1305.3 g 2 ii / the Head Start program can enroll the children and families with the greatest need for its services.
1306.31 / Choosing a Head Start program option.
1306.31 a / Grantees may choose to implement one or more than one of four program options: a center-based option, a home-based program option, a combination program option, or a family child care option. / PDM5.4
1306.31 b / The program option chosen must meet the needs of the children and families as indicated by the Community Needs Assessment conducted by the grantee. / PDM5.4
2) Monitoring Protocol Review Questions regarding Community Assessment: 2010 and 2011 Compared
Community Assessment2010 Monitoring Protocol Review Questions (9/10/2009) / Monitoring Protocol Review Questions 2011 9/16/10
Health Services - Management Systems Analysis
5A / 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
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: 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
5A / 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: 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
5A / 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: 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
6A / 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: 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
2C / 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
3A / 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: 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
* 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?
Family and Community Services - Management Systems Analysis
6A / 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: 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
6A / 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: 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
6A / 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: 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
1C / 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.
642d 2 A – I, 642c 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
2B / 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?
2E / 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
3B / 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.