Using Management Systems to Build a Sustainable Organization

1. Using Management Systems to Build a Sustainable Organization Presented by: Colleen Versteeg, Executive Director Orange County Head Start, Inc.

2. Building Sustainable Organizations: A Systems Approach

3. Building Sustainable Organizations: A Systems Approach • For a long time, leaders have focused on only one part of the organization at a time. • Once a fix is provided to that part, the focus is directed to a new issue. • The problem with this method - “Band-aid” fix. • Little time is spent on determining the “root” cause. • The consequence of not looking deeper… the organization, and its clients, suffer!

4. Key Components of Building A Sustainable Organization Development of a Mission, Vision, Values, and Goals Identification of a viable population in which to serve Development of effective and efficient services Possess knowledge and resources Solid operations necessary for the agency and its employees to function on a day-to-day basis Knowledge, development and oversight of organizational behavior and culture. Development of MANAGEMENT SYSTEMS to support requirements, priorities, and long term success.

5. Shifting the Focus from Part to Whole: The Systems Approach

6. Shifting the Focus from Part to Whole – The Systems Approach • Focusing on desired outcomes helps maintain the right perspective. • The focus on the bigger picture, THE SYSTEMS, allows the root cause to be identified and gives a beginning point in which to begin making sustainable changes. • What is a system? • A set of interacting or interdependent components forming an integrated whole or a set of elements/components and relationships which are different from relationships of the set or its elements to other elements or sets.

7. Shifting the Focus from Part to Whole – The Systems Approach • The success of a system: • Relies on its entire structure (not just the sum of the parts that make it up) • Requires group problem solving • Breaking up the parts and looking at them individually only allows for a “quick fix.” • Example: The body

8. A Viable System… • Has structure • it contains parts (or components) that are directly and indirectly related to each other • Has behavior • it contains processes that transform inputs into outputs • Has interconnectivity • the parts and processes are connected by structural and/or behavioral relationships

9. Management Systems in Head Start

10. Management Systems in Head Start • Effective Management systems: • Provide a solid framework for quality service delivery • Align with current Federal priorities • Produce high quality outcomes for children and families  • Require staff buy-in and support to be effective  • Require constant review, analysis, and refinement to remain effective, in particular when external and internal factors change • Examples?

11. Management Systems in Head Start • Can you name the • 10 Management Systems?

12. MANAGEMENT HUMAN RESOURCES SYSTEMS COMMUNICATION RECORD KEEPING & REPORTING QUALITY SERVICES TO CHILDREN & FAMILIES MONITORING PROGRAM PLANNING PROGRAM GOVERNANCE SELF-ASSESSMENT FISCAL ERSEA FACILITIES

13. MANAGEMENT HUMAN RESOURCES SYSTEMS COMMUNICATION RECORD KEEPING & REPORTING QUALITY SERVICES TO CHILDREN & FAMILIES MONITORING PROGRAM PLANNING PROGRAM GOVERNANCE SELF-ASSESSMENT ERSEA FISCAL FACILITIES

14. Program Planning

15. 1304.51 Management Systems and Procedures PROGRAM PLANNING • Program Planning • A systematic, ongoing process that includes consultation with: • program's governing body and policy groups • program staff • community organizations • Program planning must include: • Assessment of community strengths, needs and resources through completion of the Community Assessment • Multi-year (long-range) program goals and short-term program and financial objectives • Results of self-assessment • The development of written service plans

16. Steps for Effective Planning PROGRAM PLANNING Step 1: Collect data Step 2: Analyze data Step 3: Create goals, develop action plans, and determine priorities Step 4: Work with Fiscal to develop a budget Step 5: Secure appropriate approval of the plan(s) Step 6: Implement steps to reach goals and the plan of action to correct identified concerns and non-compliances Step 7: Evaluate process through ongoing monitoring and assessment Step 8: Reanalyze information Step 9: Continually respond with mid-course corrections… REPEAT

17. Key Data Sources For Effective Program Planning PROGRAM PLANNING Annual Program Information Report (PIR) Child information: records, assessments, outcomes Family information: records, FPAs, family outcomes Performance appraisals & professional development plans Ongoing monitoring and Self-Assessment results Federal monitoring reports Grant application OHS Priorities OHS Monitoring Protocol Corrective action plan(s), if applicable

18. Program Planning Calendar Sample Program Planning Calendar 2013-2014 Key: Blue indicates Program Planning Committee Activities Review and Recommendation: Program Planning Committee -- ___________ Orange indicates Board and Policy Council Activity Approvals: (A) = Action Item Policy Council - _____________ Board - ___________ ( I ) = Information Item

19. Program Planning Quality Assurance Questions PROGRAM PLANNING • Is there a written policy for and procedure for planning? • Does the Director know and can articulate: • The program’s planning process • Community Assessment • Self-Assessment • Short and long-term goals? • Can all Management Team members articulate how the program uses information to develop long and short-range goals, objectives and plans for program management, fiscal, and service delivery? • Does the program use the results of planning activities to design change and implement services?

20. Program Planning Quality Assurance Questions PROGRAM PLANNING Describe what the program does when it finds that it needs to make an improvement, who is involved in those decisions, and if an improvement plan is submitted How does the agency use information strategically to develop goals, objectives and plans for program management, fiscal operations, and service delivery? How does the agency use the results of planning activities to design change and implement services provided to children and families? How does the Agency know it is meeting their goals? How are stakeholders engaged in the planning process

21. PROGRAM PLANNING Program Planning Activity

22. Ongoing Monitoring

23. 1304.51 Management Systems and Procedures ONGOING MONITORING • Ongoing Monitoring • A comprehensive process of reviewing, observing, data collecting, and sampling throughout the program year • Helps assess program operations and ensure that necessary steps are taken to meet federal regulations, program goals and objectives • Ensures that appropriate interventions are taken timely • Ensures children and families receive high quality comprehensive services • Supports program’s quest to achieve excellence in school readiness (children) and social/self sufficiency (families) • Is a vital to the success and sustainability of a program

24. 1304.51 Management Systems and Procedures ONGOING MONITORING • Self-Assessment and Ongoing Monitoring • Conduct a Self-Assessment of effectiveness • At least annually • Policy groups and as appropriate community members consult and participate • Progress in meeting program goals and objectives • Implementing all Federal regulations • Establish and implement procedures for the ongoing monitoring of operations • Self and delegates (if applicable) • Ensure that operations effectively implement Federal regulations. • Inform own and delegate governing bodies of deficiencies • Develop their own or help their delegate develop plans, including timetables, for addressing identified problems

25. Ongoing Monitoring Quality Assurance Questions ONGOING MONITORING • Does the program have policies, procedures, and tools in place to effectively monitor all federal regulations? • Have all staff been trained on the policies and procedures? • How often does the program monitor: • Itself (grantee and delegates)? • Its delegates (grantees, if applicable)? • How does the ongoing monitoring process support program operations and management systems? • Does the program use multiple means to monitor its services and systems? (file reviews, observations, CLASS, interviews, documentation, and aggregated data)? • Are the tools used comprehensive?

26. ONGOING MONITORING Ongoing Monitoring Quality Assurance Questions • Does the Director analyze the results all monitoring? • Does the Agency have different levels looking at the same information (i.e. managers, a monitoring team) • Does the monitoring team meet regularly with the management team to discuss areas of strengths and limitations and work as a team to analyze information and determine corrective action (lack of service or system issue)? • Does the Agency create an action plan that address multiple levels of findings? Who is responsible for the creation of the plan? • Is there is timely follow-up and clearance of all findings • Does the Agency analyze new policies, procedures or systems to ensure effectiveness?

27. Ongoing Monitoring Quality Assurance Questions ONGOING MONITORING • Who is the information and corrective action plan shared with? • Are tools and procedures used effectively and consistently? • Is the frequency of monitoring adequate? • Are all staff responsible for and/or participate in ongoing monitoring activities performing their specific role(s)? • Does the program analyze information gathered through ongoing monitoring? • Who are the results shared with? • Does the program make sustainable changes? • Is there follow-up to ensure the changes are effective and sustainable?

28. Communication

29. COMMUNICATION 1304.51 Management Systems and Procedures • Communications • Grantee and delegate agencies must establish and implement systems to ensure that timely and accurate information is provided to: • Families • two-way comprehensive communications • carried out on a regular basis • in the parents' primary or preferred language • Governing bodies and policy groups • monthly, periodically, annually • Staff • timely, detailed, accurate • Community Members • regularly and annually

30. COMMUNICATION Communication Quality Assurance Questions • Does the agency have a written policy/plan for communication? Does it include: • Parents • Staff • Board and Policy Council (or Policy Committee) • Community Agencies • Does the agency’s policy/plan promote timely and accurate communication between all stakeholders? • Have parents been surveyed/asked about communication? • Have staff been surveyed about communication? • How does the agency’s communication plan promote high quality services to children and families?

31. COMMUNICATION Communication Quality Assurance Questions • How are issues communicated to senior management? • If applicable, how are concerns communicated to partners and/or delegates? • How are expectations communicated to line staff/support line staff in ensuring services are delivered? • How often?

32. COMMUNICATION Communication Plan

33. COMMUNICATION Communication Activity

34. COMMUNICATION Keys to Effective Communication Communication… Is both verbal and nonverbal Depends upon active listening Uses effective "feedback" Is direct Is specific Is appropriate for the recipient, not just the sender Is based on some form of common interest Is comfortable for all parties Is timely Is honest

35. Record Keeping & Reporting

36. RECORD KEEPING & REPORTING 1304.51 Management Systems and Procedures • Record Keeping & Reporting • Establish and maintain • efficient and effective record-keeping systems to provide accurate and timely information regarding children, families, and staff and must ensure appropriate confidentiality of this information • accurate and current information to individualize program services for children and families • Promotes quality and ensure confidentiality

37. 1304.51 Management Systems and Procedures RECORD KEEPING & REPORTING Reporting systems Reports - financial status and program operations Maintain program accountability, and advise governing bodies, policy groups, and staff of program progress Official reports for Federal, State, and local authorities HS Act, Section 644 Publish and make available an annual report Data with integrity provides continuity and improved quality of individualized services for families.

38. RECORD KEEPING & REPORTING Record Keeping and Reporting Quality Assurance Questions Does the data management system effectively track Federal and State requirements? How does the program ensure that the data are accurate and up-to-date? (e.g. ERSEA, child information) In what ways does the program use their data? How does the program ensure data is kept confidential? Is the program’s record keeping system reliable, and are there routine mechanisms for collecting data? Does the program’s record keeping system ensure the accessibility of information to all appropriate parties? How often are aggregated reports run? Does the Agency conduct integrity checks?

39. Record Keeping and Reporting Quality Assurance Questions RECORD KEEPING & REPORTING • What happens when records are inaccurate/missing/incomplete? • Are there routine mechanisms for collecting/analyzing data? • What fiscal and operational information does the Director receive? • Is the information received on a consistent basis? • Does the program’s record keeping system yield effective reports to inform planning, ongoing monitoring, and overall communication? • Does the governing bodies receive all the required information and use it to make decisions? • Does the program have documentation of follow-up on issues that were identified? • Has the program produced an annual report to the public in the last 12 months that contains the required elements?

40. Human Resource Management

41. Human Resources Management HUMAN RESOURCES 45 CFR 1301.31 - Written Personnel Policies Approved by the Policy Council/Committee Available to all staff Descriptions of each staff position, roles and responsibilities, relevant qualifications, salary range, and employee benefits Procedures for recruitment, selection and termination Methods for providing staff and volunteers with opportunities for training, development, and advancement Conducting staff performance appraisals Employee-management relation procedures, including those for grievances and adverse actions. Assurances that the program does not discriminate on the basis of gender, race, ethnicity, religion or disability

42. Human Resources Management HUMAN RESOURCES • 45 CFR 1301.31 – Criminal Record Checks • Agencies must require that all current and prospective employees sign a declaration prior to employment that lists: • All pending and prior criminal arrests and charges related to child sexual abuse and their disposition; • Convictions related to other forms of child abuse and neglect; and • All convictions of violent felonies. • Must review each application for employment to assess the relevancy of an arrest/pending criminal charge/conviction • HS ACT, Section 648A • PRIOR to employing an individual, the program obtains a Federal, State, or Tribal criminal record check (CRC) covering all jurisdictions in which it provides Head Start services to children

43. Human Resources Management HUMAN RESOURCES • 45 CFR 1304.52 – Organizational Structure • Establish and maintain a structure that supports the accomplishment of program objectives and requirements • address the major functions and responsibilities assigned to each staff position • provide evidence of adequate mechanisms for staff supervision and support. • Program management functions are formally assigned to and adopted by staff within the program: • Program management (the Early Head Start or Head Start director); • Management of early childhood development and health services, including child development and education; child medical, dental, and mental health; child nutrition; and, services for children with disabilities; and • Management of family and community partnerships

44. Human Resources Management HUMAN RESOURCES • 45 CFR 1304.52 – Standards of Conduct • All staff, consultants, and volunteers must abide by the program's standards of conduct. These standards must specify: • respect and promote the unique identity of each child and family and refrain from stereotyping on the basis of gender, race, ethnicity, culture, religion, or disability; • follow program confidentiality policies concerning information about children, families, and other staff members; • ensure no child will be left alone or unsupervised while under their care; and • use positive methods of child guidance and will not engage in corporal punishment, emotional or physical abuse, or humiliation. • not employ methods of discipline that involve isolation, the use of food as punishment or reward, or the denial of basic needs. • Personnel policies and procedures must include provision for appropriate penalties for violating the standards of conduct.

45. Human Resources Management HUMAN RESOURCES • 45 CFR 1304.52 - Health Examination • Initial health examination (including screening for tuberculosis) • Periodic re-examinations (as recommended by his or her health care provider or as mandated by State, local, or Tribal laws) • 45 CFR 1304.52 Staff Performance Appraisals • Annual performance reviews of each employees • Use the results of these reviews to identify staff training and professional development needs • HS Act Sect. 648A - Professional Development Plans • Create, in consultation with an employee, • Full-time employees who provide direct services to children • Regularly evaluated for their impact on teacher and staff effectiveness. • Utilize T/TA dollars to support needed professional development

46. Human Resources Management HUMAN RESOURCES • HS Act Section 648A – Staff Qualifications • Teachers • Degree Requirements • Waiver requirements • Professional Development Hours • Teacher Assistants • Educational Requirements • Early Childhood Coordinators • Educational Requirements

47. Human Resources Management HUMAN RESOURCES • HS Act Section 653 – Cap on Staff Compensation • Cannot pay any part of the compensation of an individual employed by a Head Start agency if that individual’s compensation exceeds the rate payable for level II of the Executive Schedule (currently $179,900). • Compensation include: • salaries • bonuses • periodic payments • severance pay • the value of any vacation time • the value of a compensatory or paid leave benefit

48. Human Resources Quality Assurance Questions HUMAN RESOURCES • Does the Agency review all employees personnel files annually? • Does the Agency require that all employees receive at least an annual performance evaluation? • Are professional development plans conducted, and in consultation with, all staff that work directly with children? • Does the Agency complete a criminal record check on every employee? • Does the Agency receive the results prior to the start date? • Does the Agency ensure all employees receive a Health Examination on every employee? • Does the Agency receive the results prior to the start date?

49. Human Resources Quality Assurance Questions HUMAN RESOURCES • Does the Agency have a written Code of Conduct Policy? • What provisions are in place if an employee violates the Policy? • Does the Agency seek approval from the Regional Office when hiring a Head Director? • Does the Agency seek approval from the Regional Office when hiring an Executive Director and/or CFO if those position salaries are principally (50% or more) by Head Start funding? • Has the Agency completed an Organizational Structure Analysis? • Does the current structure support goals and objectives? • Does the current structure provides for adequate supervision, communication, and mentoring? • When a position becomes vacant, does the Agency evaluate the need for the position, its responsibilities, and the current needs of the Agency?

50. Human Resources Quality Assurance Questions HUMAN RESOURCES • Are there waivers for teachers who have not obtained an AA degree? • How does the Agency track: • Requirements of each position (driver’s license, credential, degree, license)? • Health Examination? Rechecks? • Criminal Record Checks and Possible New Violations? • Performance Evaluations? • Professional Development Plans? • Salaries? • Benefits? • Is the tracking system up-to-date? • What provisions are in place when staff no longer meet the requirements of the position?