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Introduction to Head Start Monitoring and Protocol

March 8, 2007. 2. Outline. This presentation will cover the following aspects of Head Start Monitoring:New Reviewer RequirementsIntroduction to Head StartOverview of the Monitoring SystemIntroduction to the 2007 ProtocolNotes and Defensible PANCs . March 8, 2007. 3. New Reviewer Requirements

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Introduction to Head Start Monitoring and Protocol

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    1. March 8, 2007 1 Introduction to Head Start Monitoring and Protocol New Reviewer Training

    2. March 8, 2007 2 Outline This presentation will cover the following aspects of Head Start Monitoring: New Reviewer Requirements Introduction to Head Start Overview of the Monitoring System Introduction to the 2007 Protocol Notes and Defensible PANCs

    3. March 8, 2007 3 New Reviewer Requirements

    4. March 8, 2007 4 New Reviewer Requirements Completion of this session: New Reviewer Training: Intro to Head Start Monitoring and Protocol Viewing of at least three other OnDemand webinar sessions, including: Monitoring in FY07 and Protocol Overview Content-specific session pertaining to your area of expertise PRISM software training Completion of computer literacy test Participation of coach/trainee review and completion of the coach assessment form

    5. March 8, 2007 5 New Reviewer Requirements What is PRISM 2007 software? PRISM 2007 is software utilized by FTLs, RCs, and Reviewers to complete reviews Allows individual team members to review the protocol sections assigned to them, answer compliance questions, address the ground to cover prompts, enter notes, and create draft preliminary areas of noncompliance. PRISM 2007 allows for shared/cross-referencing of notes in related questions (as described earlier in the presentation). PRISM 2007 can be downloaded to your computer

    6. March 8, 2007 6 New Reviewer Requirements How can I learn PRISM 2007 software? View the webinar “PRISM Software and New Protocol Training” Utilize the OnDemand training modules Review the Software Guidance documents Practice the software on a mock review by logging into PRISM 2007 as sample.user Attend a PRISM Open Q&A webinar or conference call

    7. March 8, 2007 7 Learning Objectives At the end of this session, you will be able to: Differentiate between the three types of monitoring reviews. Describe the three primary goals of evidence-based monitoring. Explain the major roles and responsibilities of each of the following team members: FTL, RC and Reviewer. Name the key components of the FY 2007 Protocol. Apply the three elements required of all defensible PANCs in your own writing. Approach your first reviews with confidence and certainty about what is required for report-writing.

    8. March 8, 2007 8 Introduction to Head Start

    9. March 8, 2007 9 Introduction to Head Start Purpose of Head Start and Early Head Start To foster school readiness of low-income pre-school children through comprehensive educational, social, health, nutritional, and psychological services. In 1994, the program was expanded to include Early Head Start (EHS). EHS programs are aimed at low-income infants and toddlers under the age of three, low-income pregnant women, and their families. Migrant programs service children from age 0 through compulsory school age.

    10. March 8, 2007 10 Introduction to Head Start Head Start Grantees Head Start programs are operated by: school districts, universities, Indian tribal governments, Alaskan native entities, non-profit and for-profit organizations, community action agencies and county governments. Head Start programs exist in all 50 states and the District of Columbia, Puerto Rico, U.S. territories and urban and rural areas.

    11. March 8, 2007 11 Introduction to Head Start Office of Head Start and Regional Offices Office of Head Start (OHS) Head Start programs are administered by the Office of Head Start (OHS) within the Administration for Children and Families (ACF), U.S. Department of Health and Human Services. OHS directly awards grants. OHS develops policy, goals and objectives for programs. ACF Regional Offices (RO) The regional offices implement the OHS’s policies and oversee local grantees. There are 10 regional offices and 2 branch offices (Migrant and American Indian-Alaskan Native).

    12. March 8, 2007 12 Introduction to Head Start Head Start Requirements Head Start Grantees must adhere to a set of statutes, regulations, and policies that appear in: Head Start Act Code of Federal Regulations (CFR) Office of Management and Budget (OMB) circulars

    13. March 8, 2007 13 Overview of the Monitoring System

    14. March 8, 2007 14 Overview of the Monitoring System Monitoring Grantee Compliance Section 641A(c)(1) requires the Administration for Children and Families to conduct monitoring reviews “in order to determine whether Head Start agencies meet standards…with respect to program, administrative, financial management, and other requirements[.]”

    15. March 8, 2007 15 Overview of the Monitoring System Monitoring Grantee Compliance (cont’d) Monitoring informs program improvement. Reviews provide objective, evidenced-based information to help grantees understand identified program weaknesses. Strengthens services provided to and for children and their families.

    16. March 8, 2007 16 Overview of the Monitoring System Types of Monitoring Reviews

    17. March 8, 2007 17 Overview of the Monitoring System

    18. March 8, 2007 18 Overview of the Monitoring System Ongoing recruitment in all content areas Targeted recruitment as needed Ongoing reviewer assessments

    19. March 8, 2007 19 Overview of the Monitoring System Head Start Monitoring and Protocol introduction PRISM software Coaching and mentoring in the field Ongoing professional development Online resources

    20. March 8, 2007 20 Overview of the Monitoring System Grantee information and documents are available for review online prior to site visits and are accessible at the Lewin website.

    21. March 8, 2007 21 Overview of the Monitoring System Use of computer-based software (PRISM) and protocol Emphasis on documenting responses to all Protocol Compliance Questions 24-hour programmatic and logistical support Extended hours for technical support

    22. March 8, 2007 22 Overview of the Monitoring System Ensure report narratives include clear statements of conclusion about compliance Ensure report narratives include factual basis for conclusions Ensure report narratives clearly link back to cited performance requirement Uniform interpretation of Head Start performance Standards Quality control

    23. March 8, 2007 23 Overview of the Monitoring System Ensure grantee receives clear notice of areas requiring corrective action.

    24. March 8, 2007 24 Overview of the Monitoring System Clear expectations for documentation of corrective actions

    25. March 8, 2007 25 Overview of the Monitoring System Evidence-based Monitoring Definition Evidence – information that provides a basis for reaching a conclusion or judgment. Primary Goals To obtain sufficient and relevant documentation of grantee performance. To provide an accurate representation of grantee performance with sufficient documentation to support conclusions about grantee performance requirements. To ensure that reported areas of noncompliance are supported by facts.

    26. March 8, 2007 26 Overview of the Monitoring System Monitoring Review Report Evidence-based exception reporting ensures that the Head Start Review Report will: Reflect the thoroughness and objectivity of the process. Use evidence and facts. Provide a comprehensive analysis and description of identified problem areas, demonstrating interrelationships between systems and services.

    27. March 8, 2007 27 Overview of the Monitoring System Our Goals in FY 2007 To produce high-quality reports that result in accurate, evidence-based findings. To increase consistency and efficiency across reviews using standardized tools. To understand more about all grantees reviewed.

    28. March 8, 2007 28 Overview of the Monitoring System Implementation of Strategy A single streamlined, integrated, and comprehensive protocol that includes all systems and service areas to strengthen the preliminary report preparation process. Redesign pre-site planning phase and reviewer requirements to better inform on-site activity. Strengthen services to systems connections.

    29. March 8, 2007 29 Overview of the Monitoring System Make-up of the Review Team Federal Team Leaders (FTL) Federal staff that lead and manage the review team. Manage review activities, supervise team meetings, and ensure development of a quality review report. Report Coordinators (RC) A reviewer who is also responsible for assisting the FTL finalize the preliminary review report.

    30. March 8, 2007 30 Overview of the Monitoring System Make-up of the Review Team (cont’d) Reviewers Individuals with expertise in various Head Start content areas (e.g. mental health) who collect “evidence” about program compliance and write preliminary areas of noncompliance based on that evidence. Reviewers will be grouped based on their expertise into one of the following reviewer pools: Education and Early Childhood Development (ECD) Program Design and Management (PDM) Fiscal Management (FIS) Integrated Service Areas

    31. March 8, 2007 31 Overview of the Monitoring System Integrated Service Reviewers Reviewers in the following content areas will be trained and deployed on review teams as Integrated Service Area reviewers to cover the following sections of the Protocol: Health Services Nutritional Services Safe Environments Disabilities Services Mental Health Services Family and Community Services Transportation Services

    32. March 8, 2007 32 Overview of the Monitoring System The majority of FY07 1st/Triennial Reviews will be led by an FTL with the support of a core team of six: RC Fiscal PDM ECD Integrated Service Reviewer Integrated Service Reviewer Factors that could increase team size: Number of centers and/or delegates, Geographic distance, Complexity of potential issues

    33. March 8, 2007 33 Introduction to the FY 2007 Protocol

    34. March 8, 2007 34 A Review Agenda The protocol is the OHS review agenda, which is the essential part of ensuring consistent reviews in every region of the country. It is intended to ensure that review teams are looking at a common set of performance indicators as part of our national oversight. Reviewers must respond to each compliance question. Most compliance questions are answered by addressing the related prompts, i.e., the “ground to cover.” Introduction to the Protocol: Foundations for Success

    35. March 8, 2007 35 Introduction to the Protocol: Advantages for 2007 The ‘07 Protocol is designed as a tool to confirm grantee compliance. The data collected will tell us far more than we’ve ever known about how individual grantees comply with Head Start requirements to provide quality services to children and families. The Protocol provides grantees with opportunities to describe in their own words how they ensure compliance with Head Start requirements and provide quality Head Start services for children and families. The Protocol continues the OHS commitment to a transparent, high-quality national monitoring system.

    36. March 8, 2007 36 Introduction to the Protocol: Foundations for Success

    37. March 8, 2007 37 Introduction to the Protocol: Ten Sections The Protocol is Comprised of Ten Sections Health Services (HE) Nutritional Services (NUT) Safe Environments (SE) Disabilities Services (DIS) Mental Health Services (MH) Family and Community Services (FCS) Transportation Services (TS) Education and Early Childhood Education (ECD) Fiscal Management (FIS) Program Design and Management (PDM)

    38. March 8, 2007 38 Introduction to the Protocol: Organization The sections are each organized in the following manner: Introductory Guidance Compliance Questions “Ground to Cover” Prompts Shared/Cross-Referenced Notes

    39. March 8, 2007 39 Introduction to the Protocol: Worksheets Worksheets to Support the Protocol Observation Mandatory- used by the ECD reviewer Age/Income Eligibility Data Collection Mandatory- used by the Report Coordinator Protocol Optional- a helpful tool for collecting and documenting evidence

    40. March 8, 2007 40 Introduction to the Protocol: Sections – Example

    41. March 8, 2007 41 Introduction to the Protocol: Compliance Questions Each compliance question is grounded in a specific regulation(s). Each compliance question is followed by specific “ground to cover” prompts to help reviewers answer the compliance question. Most compliance questions require addressing the “ground to cover” prompts, e.g., the Fiscal compliance question, "does the grantee have adequate internal controls?”

    42. March 8, 2007 42 Some compliance questions can be answered immediately, such as “are areas used for diapering and toileting separate from areas used for cooking, eating, or children’s activities?” Most compliance questions require a “Yes” or “No” response. Any answer associated with a red flag will support a preliminary area of noncompliance. Some compliance questions are not applicable and are indicated by “N/A.” Introduction to the Protocol: Compliance Questions (cont.)

    43. March 8, 2007 43 What if ... An issue is raised during a review that is not encompassed by a compliance question? Even though the Protocol is the review agenda set by OHS, if an FTL or review team member identifies a potential area of noncompliance that does not directly relate to a compliance question, he or she can create a preliminary area of noncompliance in the software. Introduction to the Protocol: What if…

    44. March 8, 2007 44 Prompts direct reviewer as to: What to look for What to listen for Questions to ask Settings to observe Documents to review Prompts also guide reviewers to gain an understanding of and provide documentation of the context surrounding findings. Introduction to the Protocol: Ground to Cover Prompts

    45. March 8, 2007 45 Compliance Questions / Prompts The following question is taken from the Fiscal Management section of the protocol.

    46. March 8, 2007 46 Compliance Questions / Prompts The following question is taken from the Safe Environments section of the protocol.

    47. March 8, 2007 47 Introduction to the Protocol: Shared / Cross-Referenced Notes Reviewers enter notes in the “Notes” field in the software associated with each compliance question. The “Notes” field is where you will enter your evidence to support your answer to the Compliance Question. When team members synchronize, notes from one reviewer will automatically appear in the “Notes” field of all other reviewers for questions identified as related. * synchronize = share electronic information between two or more computers.

    48. March 8, 2007 48 Shared / Cross-Referenced Notes – Example

    49. March 8, 2007 49 Notes and Defensible PANCs Guidance on Entering Complete Notes and Writing Defensible PANC Narratives

    50. March 8, 2007 50 Notes and Defensible PANCs Reviewers are responsible for fully documenting grantee compliance with complete, detailed notes for each compliance question. Reviewers are responsible for drafting preliminary area of noncompliance (PANC) narratives based on the evidence and notes they collect during the review.

    51. March 8, 2007 51 Notes and Defensible PANCs Collecting evidence and addressing the ground to cover prompts will help you obtain complete information which you enter into the Notes field of the PRISM software. Notes are used in the crafting of any preliminary area of noncompliance (PANC). Defensible PANC narratives are preliminary compliance conclusions, based in evidence, which make a clear connection to the performance standard being cited. Defensible PANCs set the stage for creating a quality, credible monitoring review report.

    52. March 8, 2007 52 Notes and Defensible PANCs Collecting evidence through addressing the Ground to Cover prompts is the first step to writing a complete note, and where appropriate, a defensible PANC!

    53. March 8, 2007 53 By addressing the Ground to Cover prompts, you will be collecting information via multiple methods and sources to substantiate facts: Methods -- Observation -- Interviews -- Document Review Sources -- Teachers -- Parents -- Classroom Activities -- Child Files -- Professionals/Managers -- Community Partners -- Family Service Workers -- Home Visitors -- Policy Council and Governing Body Members

    54. March 8, 2007 54 Notes and Defensible PANCs Methods of Collecting Evidence Observation Watch and listen to staff and consultants. Observe child settings and play areas. Complete appropriate worksheet(s). Document Review Determine the content of plans, reports and files. Examine minutes, progress notes, and records. Connect content to service delivery and systems operations.

    55. March 8, 2007 55 Notes and Defensible PANCs Methods of Collecting Evidence (cont.) Interview Evidence When conducting an interview, the following information should be documented: Name of the person interviewed Date and time of the interview Location of the interview Names of other attendees

    56. March 8, 2007 56 Notes and Defensible PANCs One, Two, Three: Essential elements of every defensible PANC A preliminary conclusion about noncompliance A clear factual basis for the conclusion An explicit link between component(s) of cited requirement and the grantee’s performance

    57. March 8, 2007 57 Notes and Defensible PANCs Remember this: Areas of Noncompliance make us see RED! Cite the Regulation for which the grantee is out of compliance. Explain the evidence that was collected by the review team. Discuss how the grantee’s activities differ from what is required by the standard.

    58. March 8, 2007 58 Notes and Defensible PANCs: Example The following example of a defensible PANC narrative is derived from the Transportation Services section of the protocol. The Compliance Question is: Does the vehicle used in providing transportation services have a seat belt cutter and a sign indicating its location? 1310.10(d)(4) Note: This is a bus ride observation.

    59. March 8, 2007 59 Notes and Defensible PANCs: Example Element #1: Preliminary Conclusion about Noncompliance State a preliminary conclusion about the grantee’s noncompliance. The conclusion about compliance should be recorded in the initial sentence(s) of a PANC narrative.

    60. March 8, 2007 60 Notes and Defensible PANCs: Example Preliminary Conclusion about Noncompliance 1310.10 General. (d) Each agency providing transportation services, must ensure that each vehicle used in providing such services is equipped with: (4) a seat belt cutter for use in an emergency evacuation and a sign indicating its location. The grantee failed to ensure that eight buses used in providing transportation services were equipped with seat belt cutters or signs indicating their location.

    61. March 8, 2007 61 Notes and Defensible PANCs: Example Element #2: Factual Basis for Preliminary Conclusion It is essential to clearly describe why the information you’ve collected supports a preliminary area of noncompliance. The Ground to Cover Prompts support the collection of the kind of information needed for the description of the basis for the preliminary conclusion of noncompliance.

    62. March 8, 2007 62 Notes and Defensible PANCs: Example Element #2: Factual Basis for Preliminary Conclusion Describe the evidence collected Include specific examples Multiple examples should be provided whenever possible Use numbers to quantify and demonstrate the size of the problem For example: Following interviews with 3 health staff Based on observations of 8 center-based settings A review of 10 to 12 child records indicated

    63. March 8, 2007 63 Notes and Defensible PANCs: Example Element #2: Factual Basis for Preliminary Conclusion Describe the methodology used to gather the data from the sources Individual or group interviews Observation Document review

    64. March 8, 2007 64 Notes and Defensible PANCs: Example Element #2: Factual Basis for Preliminary Conclusion Describe how you know the grantee is noncompliant. What did you see? Who did you talk with? To protect confidentiality, names should not be used. When the source is a person, use titles only What did you hear? What did you read?

    65. March 8, 2007 65 Notes and Defensible PANCs: Example Element #2: Factual Basis for Preliminary Conclusion The integrated protocol—especially the Ground to Cover Prompts—supports the collection of the kind of information needed for the description of the basis of each preliminary area of noncompliance.

    66. March 8, 2007 66 Notes and Defensible PANCs: Example 1310.10 General. (d) Each agency providing transportation services, must ensure that each vehicle used in providing such services is equipped with: (4) a seat belt cutter for use in an emergency evacuation and a sign indicating its location. Interviews with the transportation coordinator and bus drivers as well as observations of the eight buses confirmed these buses did not have seat belt cutters that could be used in emergency evacuations nor were buses equipped with signs indicating where such safety equipment would be located. The transportation coordinator produced an invoice demonstrating seat belt cutters had been ordered, but had not yet been delivered. There was no evidence that signs indicating the location of the ordered seat belt cutters had been ordered, fabricated, or otherwise were ready to be installed on the buses.

    67. March 8, 2007 67 Notes and Defensible PANCs: Example

    68. March 8, 2007 68 Notes and Defensible PANCs: Example Link Between Cited Requirement & Grantee’s Performance 1310.10 General. (d) Each agency providing transportation services, must ensure that each vehicle used in providing such services is equipped with: (4) a seat belt cutter for use in an emergency evacuation and a sign indicating its location. The grantee's transporting of children on eight buses before its receipt of seat belt cutters established its noncompliance with the requirement to ensure each vehicle used to transport children was equipped with a seat belt cutter for use in emergency evacuations as well as signs indicating their locations.

    69. March 8, 2007 69 Notes and Defensible PANCs: Example Complete Defensible PANC Narrative 1310.10 General. (d) Each agency providing transportation services, must ensure that each vehicle used in providing such services is equipped with: (4) a seat belt cutter for use in an emergency evacuation and a sign indicating its location. The grantee failed to ensure that eight buses used in providing transportation services were equipped with seat belt cutters or signs indicating their location. Interviews with the transportation coordinator and bus drivers as well as observations of the eight buses confirmed these buses did not have seat belt cutters that could be used in emergency evacuations nor were buses equipped with signs indicating where such safety equipment would be located. The transportation coordinator produced an invoice demonstrating seat belt cutters had been ordered, but had not yet been delivered. There was no evidence that signs indicating the location of the ordered seat belt cutters had been ordered, fabricated, or otherwise were ready to be installed on the buses. The grantee's transporting of children on eight buses before its receipt of seat belt cutters established its noncompliance with the requirement to ensure each vehicle used to transport children was equipped with a seat belt cutter for use in emergency evacuations as well as signs indicating their locations.

    70. March 8, 2007 70 Notes and Defensible PANCs Remember: Notes Build PANC Narratives While the Notes must contain all the data you collect in addressing the Ground to Cover Prompts, the narrative for preliminary areas of noncompliance should only contain sufficient information to ensure each of the following elements is present: A preliminary conclusion about noncompliance The clear factual basis for the conclusion An explicit link between component(s) of cited requirement and the grantee’s performance

    71. March 8, 2007 71 Notes and Defensible PANCs Summary: Entering Notes Reviewers are responsible for entering Notes (evidence) into the PRISM software. This means as Ground to Cover Prompts are addressed, what you have seen, heard, or learned should be entered into Notes as a record of your review activities. Every applicable Compliance Question must be addressed and Notes for every applicable Compliance Question must reflect the information that has been obtained. The Report Coordinator will not enter any information—other than Transportation and Age/Income Eligibility data—into the PRISM software.

    72. March 8, 2007 72 Notes and Defensible PANCs Summary: Writing Defensible PANCs The writing of preliminary areas of noncompliance requires: evaluating the information collected; discussing what such information means in review team meetings; ensuring that each of the three essential elements of a defensible PANC appears in the narrative.

    73. March 8, 2007 73 Notes and Defensible PANCs Summary: Writing Defensible PANCs Every reviewer is expected to write preliminary areas of noncompliance if the data they collect supports it. The final decision on whether the totality of the data collected from interviews, records, and observation supports a preliminary area of noncompliance rests with the FTL.

    74. March 8, 2007 74 Downloading the PRISM 2007 software How can I download PRISM 2007 Software? To download PRISM software and to access training and guidance resources, visit www.headstartreviews.com. Click on PRISM Training and Manuals button, then PRISM Software and Training button.

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