Systems Matrix ( the Sum of Whole Is Only As Good As It Parts! )

Systems Matrix ("The sum of whole is only as good as it parts!")

Explicit in the Head Start’s New Performance Standards is the beginning of a theme for a systematic design for the operation of Head Starts. A model that “tell us exactly how well you are operating in measurable and qualitative terms!”An effective "Monitoring System", therefore,ensures that there will be asystem in place for the ongoing monitoring of program operations to ensure that these operations effectively implement Federal regulations?
Systems / Questions / Details / How does the system ensure....
Planning: How effective is the grantee's ongoing system of program planning in supporting the implementation of quality services to children and families? / How do you arrive at your goals and objectives?
Do you have a long-term or “strategic” plan?
What does it involve?
How did you decide on this plan?
Describe your plan for collecting, analyzing, and using information on child outcomes. / • How the program has moved towards reaching these goals and objectives;
• How progress towards reaching outcomes, including child outcomes, is measured. / * A community assessment that is used for program planning, including selection of appropriate program options;
* Consultation with the grantee's governing body, policy groups, staff, and other community organizations;
* Longrange goals and shortterm program and financial objectives that address the findings of the community assessment, are consistent with the philosophy of Head Start, and reflect the findings of ongoing monitoring and the selfassessment; and
* Written plan(s) for implementing quality services for children and families, and supporting pregnant women as appropriate, that result in positive outcomes, and that are reviewed, revised, and updated as needed?
Program
Area: / CFR # / Policy Subject
Management
Systems and
Procedures / 1304.51 a 1-2 / Program Planning
Eligibility, Recruitment ... (ERSEA) / 1305.3 a-g 2 ii / Community Assessment and Determining Community Strengths and Needs
Administration / 1306.30 a / Comprehensive Child Development Services
1306.30 b / Socialization Activities and Home Visits
1306.30 c / Facilities Must Comply with Licensing Requirements
1306.30 d / Use of Community Resources
1306.32 e / Charging of Fees for Non-Head Start Services
1306.31 a-c
1306.32 a-d
1306.33 a-c
1306.34 a-c
1306.35
1306.36
Disabilities / 1308.4
1308.4 h-o 7 iv
1308.4 a-g / Disabilities Services Plan [Policy]
Systems / Questions / Details / How does the system ensure....
Communication:
How effective is the grantee's communication system in supporting the implementation of quality services to children and families? / In general, how would you describe your communication system? / • Regular communication between staff and parents (carried out in parents’ preferred language);
• Information sharing among staff, governing bodies, and policy groups;
• If grantee has delegate agencies, information sharing with delegate agency governing bodies, Policy Committees, and staff;
• Communication, cooperation, and information sharing with community partners; and
• Regular communication among staff. / * Effective communication between staff and parents, carried out on a regular basis throughout the program year, and in the primary or preferred language of parents;
* That required information is shared among staff, governing body and policy group; this information includes reports, HHS policies, guidelines, and communication; and program plans, policies, procedures, and grant applications;
* That delegate agency governing bodies, Policy Committees, when applicable, and staff receive all regulations, policies, and other pertinent communication in a timely manner;
* Strong communication, cooperation, and information sharing among agencies and their community partners (e.g., LEA or Part C agency, child care providers); and
* Regular communication among all staff?
Regulations that apply to PRISM Core Question # 3
COMMUNICATION
Program Area: / CFR # / Policy Subject
Child Health and
Developmental Services / 1304.20 c-c 1 / Extended Follow-up and Treatment: Communication
Child Health and Safety / 1304.22 a 4 / Health Emergency Procedures
1304.22 b 3 / Conditions of Short-Term Exclusion and Admittance
Community Partnerships / 1304.41 a 1 / Community Partnerships
Management Systems
and Procedures / 1304.51 b / Communications
1304.51 c 1-2 / Communication with Families
1304.51 d 1-4 / Communication with Governing Body and Policy Groups
1304.51 e / Communication Among Staff
1304.51 f / Communication with Delegate Agencies
Disabilities / 1308.4 l 1-7 / See Disabilities Services Plan
Systems / Questions / Details / How does the system ensure....
Program Governance:
How effective is the grantee's system of shared governance in supporting the implementation of quality services to children and families? / How does the program’s governance fit into all of the other systems we have been talking about today? / • Governing body participation in key decision-making, including program oversight;
• The governance structure, including the governing body, policy groups, and Parent Committees;
• Roles and responsibilities of each of these groups; and
• Internal dispute resolution procedures. / * A governing body that participates in key decisionmaking and oversight for the program, including the formation of the Policy Council structure and function;
* A formal structure of policy groups and Parent Committees, with appropriate composition and an appropriate process of formation;
* The assignment of appropriate governing body and policy group responsibilities, including the development, review and approval/disapproval of program policies and procedures;
* Written internal dispute resolution procedures for conflicts between the governing body and policy group; and
* Inclusive and wellfunctioning Parent Committees?
Regulations that apply to PRISM Core Question # 1 - PROGRAM GOVERNANCE
Program Area / CFR # / Policy Subject
Program Governance / 1304.50 a 1-5 / Policy Council, Policy Committee, and Parent Committee Structure
1304.50 b 1-7 / Policy Group Composition and Formation
1304.50 c / Policy Group Responsibilities
1304.50 Appendix A
1304.50 d-d 1 / Policy Council or Policy Committee and Policies and Procedures
1304.50 d 1 i / Policy Groups and Funding Applications and Amendments
1304.50 d 1 ii / Policy Groups and Shared Decision Making
1304.50 d 1 iii / Policy Groups: Procedures for Program Planning
1304.50 d 1 iv / Policy Groups and Program Philosophy and Long- and Short-Range Goals and Objectives
1304.50 d 1 v / Policy Groups and Selection of Delegate Agencies and Their Service Areas
1304.50 d 1 vi / Policy Groups: Selection and How Members Are Chosen
1304.50 d 1 vii / Policy Groups and Criteria for Defining Recruitment, Selection, and Enrollment Priorities
1304.50 d 1 viii / Policy Groups and Self-Assessment
1304.50 d 1 ix / Policy Groups and Personnel Policies
1304.50 d 1 x-xi / Policy Groups and Decisions to Hire or Terminate Staff
1304.50 d 2 i-v / Policy Group Functions
1304.50 e 1-3 / Parent Committee
1304.50 f / Policy Council, Policy Committee, and Parent Committee Reimbursement
1304.50 g 1-2 / Governing Body Roles and Responsibilities
1304.50 h / Internal Dispute Resolution
1304.50 / Grievance Procedures
Human
Resources / 1304.52 k / Training and Development
1304.52 k 1-4 / Training and Advancement Opportunities
Systems / Questions / Details / How does the system ensure....
Record-Keeping & Reporting
How efficient and effective are the recordkeeping and reporting systems in providing accurate, confidential, and timely information regarding children, families, and staff and in supporting quality services? / In general, how does the program organize its system of record-keeping and reporting? / • Records maintained for children and families;
• Procedures for producing and disseminating status reports, including those related to child outcomes; and
• How staff in management positions use records to revise program plans, manage program quality, and maintain program accountability. / How are the recordkeeping and reporting systems used to manage data and generate status reports that:
* Identify and report program progress toward goals and objectives, and result in revised plans for the implementation of services as necessary;
* Control program quality and maintain program accountability;
* Advise Federal staff, governing bodies, policy groups, and staff of progress in implementing services; and
* Identify and report child abuse and neglect in compliance with applicable State and local laws?
Regulations that apply to PRISM Core Question # 4
RECORD KEEPING AND REPORTING
Program Area: / CFR # / Policy Subject
Grants Administration / 1301.30 / Public Access to Program Information
Child Health and
Developmental Services / 1304.20 e 5 / Involving Parents
Child Health and Safety / 1304.22 c 3-5 / Medication Administration
Management Systems
and Procedures / 1304.51 g / Record-Keeping Systems
Files and Records Systems
Personnel and Medical Records
1304.51 h 1-2 / Reporting Systems
Personnel Policies / 1304.52 h 1 ii / Confidentiality
Human Resources / 1304.52 k 3 i / Training and Advancement Opportunities
Disabilities / 1308.4 l 1-7 / See Disabilities Services Plan
Health / 1308.6 e 4 / See Health Plan
Systems / Questions / Details / How does the system ensure....
Ongoing Monitoring / How does the grantee monitor the quality of program services on a regular basis? / • Checking progress towards meeting goals and objectives;
• Analysis of information contained in tracking systems and written reports, including information on child outcomes;
• On-site observation and supervision of staff;
• How information from ongoing monitoring is used to make program changes; and
• Oversight of delegate agencies and child care partnerships, when applicable.
Regulations that apply to PRISM Core Question # 5
ONGOING MONITORING
Program Area / CFR # / Policy Subject
Management Systems
and Procedures / 1304.51 i 1-3 / Program Self-Assessment and Monitoring
Disabilities / 1308.4 d / Disabilities Services Plan [Policy]
Uniform Administrative
Requirements / 74.51 a-h / Monitoring and Reporting Program Performance
92.40 a-d2 / Reports, Records Retention, and Enforcement; Monitoring and Reporting Program Performance
Systems / Questions / Details / How does the system ensure....
Self-Assessment / Describe the process for your agency’s annual self-assessment.
How is information that is gathered used for program improvements?
How is information about child outcomes included in the annual self-assessment? / • Who is involved in the process,
• Description of child outcomes pilot conducted during the 2001–2002 program year,
• Description of where the grantee is in the process of implementing the child outcomes initiative during the 2001–2002 program year, and
• Changes made as a result of self-assessment.
Program Area / CFR # / Policy Subject
Management Systems
and Procedures / 1304.51 i 1-3 / Self-Assessment
Systems / Questions / Details / How does the system ensure....
Human Resources / Please describe the overall organization of your staff. / • How staff are organized to support the program;
• How staff are supervised;
• Planning for and status of plans to meet staff qualifications, including teacher requirements for CDAs, and 2-year and 4-year degrees;
• How staff are trained to measure, track, analyze, and use information about children’s progress; and
• The program’s system for staff training and development, including orientation and performance reviews.
Regulations that apply to PRISM Core Question # 7
HUMAN RESOURCES
Program Area / CFR # / Policy Subject
Personnel
(required) / 1301.31 / See recommended personnel policies
1301.31 Appendix A / Identification and Reporting of Child Abuse and Neglect
1301.31 / Sexual Harassment is Prohibited
1301.31 a / Written Policies
1301.31 a 1 / Staff Positions
[Positions 1-3]
1301.31 a 2
1301.31 b-c 4 / Staff Recruitment and Selection Procedures
1304.50 d 1 x-xi / Termination of Employment
1301.31 a 6 / Equal Opportunity Employer
1301.31 a 7 / Employee-Management Relations
1301.31 b-c / Criminal History Information
1301.31 d / Probationary Period
1301.31 e / Reporting Child Abuse or Sexual Abuse
Child Mental Health / 1304.24 a 2 / Mental Health Professional
1304.24 a 3 i-iv / On-site Consultation
Human Resources / 1304.52 a 1-2 iii / Organizational Structure
1304.52 b 1-4 / Staff Qualifications -- General
1304.52 c / Head Start Director Qualifications
1304.52 d / Qualifications of Content Area Experts
1304.52 d 1 / Qualifications of Content Area Experts: Education and Child Development Staff
1304.52 d 2 / Qualifications of Content Area Experts: Health Services Staff
1304.52 d 3 / Qualifications of Content Area Experts: Nutrition Services Staff
1304.52 d 4 / Qualifications of Content Area Experts: Mental Health Services Staff
1304.52 d 5 / Qualifications of Content Area Experts: Family and Community Partnership Staff
1304.52 d 6 / Qualifications of Content Area Experts: Parent Involvement Staff
1304.52 d 7 / Qualifications of Content Area Experts: Disabilities Services Staff
1304.52 d 8 / Qualifications of Content Area Experts: Fiscal Officer
1304.52 e / Home Visitor Qualifications
1304.52 f / Infant and Toddler Staff Qualifications
1304.52 g 1-5 / Classroom Staffing and Home Visitors
1304.52 h 1-3 / Standards of Conduct
1304.52 i / Staff Performance Appraisals
1304.52 j 1-3 / Staff and Volunteer Health
1304.52 k 1-4 / Training and Advancement Opportunities
Personnel (recommended) / 1301.31 / Attendance and Absenteeism
1301.31 / Bereavement Pay
1301.31 / Change of Contact Information
1301.31 / Child Care Policy
1301.31 / Community Relations
1301.31 / Compensation Determination
1301.31, OMB A-110 / Conflict of Interest
1301.31 / Days and Hours and Location(s) of Work
1301.31 / Dress Code
1301.31 / Drug Free Workplace
1301.31 / Emergency Procedures
1301.31 / Employee Assistance Program
1301.31 / Employee Benefits
1301.31 / Employee Relations
1301.31 / Employees as Recipients of Agency Services
1301.31 / Employment Status
1301.31 / Expense Reimbursement
1301.31 / Fingerprinting
1301.31, Head Start Act 653 / General Employment
1301.31, 1304.52 h / Gift Acceptance
1301.31, 1301.31 a 2 / Grounds for Dismissal (Layoff)
1301.31 / Holidays
1301.31 / Illness and Injury at Work
1301.31 / Jury Duty
1301.31, OMB A-122-B 7 f / Leaves of Absence
1301.31, 1304.52 / Licensure, Registration, Certification
1301.31 / Long Term Service Recognition
1301.31 / Nepotism (Employment of Relatives)
1301.31, 1304.52 k / Orientation
1301.31 / Outside Employment
1301.31, 1304.52 b 3 / Parent Preference in Hiring
1301.31 / Pay for Attendance at Meetings
1301.31 / Payroll Procedures
1301.31 / Policies Govern Center Agencies
1301.30, 1301.31 / Political Activity
1301.31, 1304.52 b / PreEmployment Requirements Including Health Exam
1301.31 / Professional Liability Insurance
1301.31, 1301.31 a 6 / Prohibited Discrimination
1301.31 / Promotions and Transfers
1301.31 / Public Relations and Release of Information
1301.31 / Reduction in Force
1301.31 / Reinstatement of Employment
1301.31 / Right to Privacy
1301.31 / Seniority
1301.31 / Short Term Contract Employees
1301.31, 1301.31 a 1 / Sick Leave
1301.31, Head Start Act / Smoke Free Workplace
1301.31, 1301.31 a / Social Security Withholdings
1301.31 / Staff Assignments
1301.31, 1301.31 a / State Disability Insurance Coverage
1301.31, 1301.31 a 1 / Temporary Appointments
1301.31 / Travel
1301.31, 1301.31 a 1 / Unemployment Compensation
1301.31; see local regs / Union Membership
1301.31, 1306.30 c,
1304.53 a / Use of Facilities
1301.31, 1304.53 / Use of Materials and Equipment
1301.31 / Use of Vehicles
1301.31, 1301.31 a / Vacations
1301.31, 1301.31 a,
Head Start Act / Wage and Salary Administration
1301.31 / Wage and Salary Administration: Salary Upon Hiring: Increases and Decreases
Staffing / 1306.20 a-f / Program Staffing Patterns
1306.21 / Staff Qualification Requirements
1306.22 a-b / Volunteers
1306.23 a-b / Training
Disabilities / 1308.4 e / Disabilities Services Plan [Policy]
1308.4 k / See Disabilities Services Plan
Systems / Questions / Details / How does the system ensure....
Fiscal Management / Describe the fiscal system, and how the management team and the fiscal officers work together to support the delivery of Head Start services. / • How Federal regulations regarding fiscal management are met,
• How the budget is developed and approved,
• How expenditures are monitored,
• What reports are produced and how they are used, and
• How the grantee maintains accountability.
Regulations that apply to PRISM Core Question # 8
FISCAL MANAGEMENT
Program Area / CFR # / Policy Subject
Grants
Administration / 1301.11 - 11 a / Insurance and Bonding
1301.11 b / Bonding Officials and Disbursement
1301.12 a-c / Annual Audit
1301.13 a-b / Accounting System Certification
1301.20 a-c, 1301.21 a-b / Matching Requirements
1301.30 / General Requirements
1301.32 a-a 2 / Limitation on Costs of Development and Administration
1301.32 b 1-5 / Development and Administrative Costs
1301.32 c 1-4 / Program Costs
1301.32 d 1-3 / Dual Benefit Costs
1301.32 e 1-2 / Relationship Between Development and Administrative Costs and Indirect Costs
1301.32 f 1-3 / Requirements for Compliance
1301.32 g 1-5 / Waiver
1301.33 / Delegation of Program Operations
1301.34 / Grantee Appeals
Fiscal Policies / OMB A-110 C 44 / Procurement
Grants Admin. / Grants
OMB A-133CS G,
OMB A-110 A 2 / In Kind Contributions
1301.11, 1301.32 c, Bureau / Insurance: Student and Volunteer Insurance
1301.12 / Audits
1301.13 a / Accounts Payable: Best Practices
1301.32 b 5 / Inventory: Office Supplies
1301.32 f 1 / Budget/Budgeting
1304.50 f / Child Care Reimbursement
1304.51 h / Reports and Month-End Procedures
see 92.20 a 1-2 / General Fiscal Procedures
see 92.20 b 7 / Cash Disbursements
see 92.20 b 7 / Cash Disbursements: Check Writing Procedures
see 92.20 b 7 / Cash Disbursements: Voucher/Batch Procedures
see 92.21 h 2 / Bank Accounts
see OMB A-122 B 10 a 2 / Contract Services/Consultants
see OMB A-122-B 11 g / Fixed Asset Purchases/Property
see OMB A-122-B 22 a / Insurance Coverage
see OMB A-122-B 51 / Taxes, Tax Preparation, and Tax Returns
Davis-Bacon Act / Payroll: Bi-Monthly Payroll
Davis-Bacon Act / Payroll: Checks
Davis-Bacon Act / Payroll: Direct Deposits
Davis-Bacon Act / Payroll: Garnishments
Davis-Bacon Act / Payroll: Leave Balances
Davis-Bacon Act / Payroll: Printouts
n/a / Petty Cash
Quality Initiative / Purchase vs. Lease
n/a / Receipts
Child Health & Development. / 1304.20 c 5 / Provision of Extended Follow-up and Treatment
Child Nutrition / 1304.23 b 1-1 i / Nutritional Services
Program Governance / 1304.50 f / Policy Council, Policy Committee, and Parent Committee Reimbursement
1304.50 g, g 2 / Governing Body Roles and Responsibilities
Management Systems / 1304.51 h 1-2 / Reporting Systems
Human Resources / 1304.52 d 8 / Qualifications of Content Area Experts: Fiscal Officer
Disabilities / 1308.4 m - o 7 iv / See Disabilities Services Plan
Uniform
Administration
Requirements / Part 92; 92.20 - 92.44 / See Appendix B, Uniform Administrative Requirements
92.40 a-d 2 / Reports, Records Retention, and Enforcement; Monitoring and Reporting Program
92.20 b-c / Financial Management System
92.22 a 1-2 / Allowable Costs: Limitation on Use of Funds