Head Start Self-Assessment: Your Foundation for Building Program Excellence

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Program Self-Assessment Booklet 6

Management Systems: Human Resources

Core Question to be answered by Self-Assessment team:

How effective is the grantee’s human resources management system in supporting the implementation of quality services to children and families?

Purpose:

The objective is to ensure that programs recruit and select dynamic, qualified staff who possess the knowledge, skills and experience needed to provide high quality, comprehensive and culturally sensitive services to children and families in the program. Staff should be regarded as one of the program’s greatest assets.

This booklet will help you to assess if the program meets Federal Performance Standards relating to personnel, staff qualifications, hiring, performance appraisals, etc. Performance Standards: 1301.31, including Appendix A; 1304.24(a)(2)-1304.24(a)(3); 1304.52; 1306.20-1306.23; 1308.4(e); 1308.4(k); 1310.16-1310.17.

As you conduct your assessment of human resources management, pay close attention to:

• How staff are organized to support the program
• How staff are oriented to their positions and supervised
• The program’s system to support training and professional development, especially in the area of teacher qualifications

Helpful tools to support data collection in this area follow.

Review:

Ask the Head Start director and/or responsible manager to provide you with access to the following documents:

• Organizational chart of staff or list of staff and their functions
• Program personnel policies
• Professional development/training plans for staff (individual and agency-wide)
• Child abuse reporting policy
• Sample of staff files from all areas of the organization plus sample performance appraisals (to maintain confidentiality, personnel files should be reviewed by a manager or staff member who has access to these files)
• Ongoing monitoring reports
• Important data sources relevant to this area such as the PRISM report, PIR data, Community Assessment, strategic plan or short and long term program goals

Use the checklist below to assist your document review:

Are there job descriptions of each staff position, including qualifications and roles and responsibilities?
 Yes    No  Comment___________________________________________________________

Are there formal procedures for the recruitment, selection and termination of staff?
 Yes   No  Comment___________________________________________________________

Are references verified and background checks conducted in accordance with state law and administrative requirements before hiring job applicants?
 Yes   No  Comment___________________________________________________________

Does the program have in place standards of conduct by which all employees must abide?
 Yes   No   Comment___________________________________________________________

Is there evidence that regular volunteers are asked and required to have tuberculosis testing?
 Yes   No   Comment___________________________________________________________

Are there procedures for conducting staff performance appraisals? Is there evidence that procedures are being followed? Are appraisals conducted at least once each year?
 Yes   No  Comment___________________________________________________________

Is there an assurance that the program is an equal opportunity employer and does not discriminate on the basis of gender, race, ethnicity, religion or disability?
 Yes   No  Comment___________________________________________________________

Are there procedures for managing employee grievances and adverse actions?
 Yes   No  Comment___________________________________________________________

Checklist for reviewing personnel files:

Content Area Expert Qualifications:

Is there evidence that lead teachers have proper qualifications?

Classroom (lead) teacher qualifications: 50% of teachers have Associate, Baccalaureate, or advanced degree in early childhood education or Associate, baccalaureate, or advanced degree in a field related to early childhood education, with experience in teaching preschool children.
 Yes   No  Comment______________________________________________________

Or

Child Development Associate (CDA) state certificate for preschool teachers or degree in a field related to early childhood education, with experience in teaching preschool children and a state certificate to teach preschool.
Yes   No  Comment______________________________________________________

Or

If the teacher does not have the above qualification, enrollment in a 2 or 4-year degree or CDA program that will grant degree or credential to the individual within 180 days of employment.
 Yes   No  Comment______________________________________________________

Note: For programs that use consultants to provide content area expertise, consultants must also meet qualifications outlined in Performance Standards.

Are health services supported by a content area expert with experience and training in public health, nursing, health education, maternal and child health, or health administration?
Yes   No  Comment___________________________________________________________

Are nutrition services supported by a content area expert who is a registered or licensed dietitian or nutritionist?
 Yes   No   Comment___________________________________________________________

Are mental health services supported by a content area expert who is a licensed or certified mental health professional with experience and expertise in serving young children and their families?
 Yes   No   Comment___________________________________________________________

Are family and community partnership services supported by a content area expert who has training or experience in fields related to social, human or family services?
 Yes   No   Comment___________________________________________________________

Are parent involvement services supported by a content area expert who has training, experience and skills in assisting the parents of young children in advocating and decision-making for their families?
 Yes   No  Comment___________________________________________________________

Are disability services supported by a content area expert who has training or experience in securing and individualizing needed services for children with disabilities?
 Yes   No  Comment___________________________________________________________

Do home visitor staff have knowledge and experience in child development and early childhood education, the principles of child health, safety, and nutrition, adult learning principles and family dynamics? Are they skilled in communicating with and motivating people? Do they have knowledge of community resources and the skills to link families with appropriate agencies and services?
Yes   No  Comment___________________________________________________________

Do transportation services staff have the proper qualifications (including licenses)?
 Yes  No   Comment___________________________________________________________

Do transportation services staff receive ongoing training to increase knowledge and skills?
Yes   No  Comment___________________________________________________________

Do Early Head Start staff have training and experience necessary to develop supportive relationships with very young children and their families?
 Yes    No  Comment___________________________________________________________

Are professional development plans created and implemented?
 Yes    No  Comment___________________________________________________________

Is there evidence that employees are in good health and have been screened for tuberculosis?
 Yes    No  Comment___________________________________________________________

Does the program’s child abuse policy comply with state law?
 Yes   No   Comment___________________________________________________________

Interview:

Interview the Head Start director, managers and staff from all segments of your organization (e.g., food service, transportation, etc.).

Guiding questions:

Tell me about how you learn what is expected of you in your position and the kinds of support you get to help you do a better job.
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

How did you learn about the Head Start philosophy and Performance Standards?
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Describe your agency’s plan and ongoing efforts to support continuing education for teachers in need of early childhood degrees.
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Who has the responsibility for the following tasks associated with child outcomes and how were these staff persons trained?

• Summarizing child assessment information
• Analyzing and interpreting results
• Planning
• Data collection and tracking

______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

Describe the performance appraisal process. How often does it occur?
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Are you provided opportunities for professional development? Do any of these opportunities afford course credit or lead to higher degrees?
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Are you aware of the program’s policies regarding the reporting of child abuse and neglect? Can you briefly describe the process?
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

For programs with child care partnerships:

What is your system for monitoring partnership classrooms to assure quality services are implemented? What have your recent monitoring efforts revealed?
______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

For programs with delegate agencies:

What is your system for monitoring your delegate agencies to assure quality services are implemented? What have your recent monitoring efforts revealed?
______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________

Incorporating Relevant Data Sources:

Additional observations, document reviews, or interview questions that this team may choose to add:
___________________________________________________________________________ __________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

Include any key insights you may have learned from reviewing important data sources such as the PRISM report, PIR data, Community Assessment, strategic plan or short and long term program goals:
___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

Team Member Summary Worksheet

Summary of Results for Human Resources

Areas where the program is working well. Provide examples of program strengths or areas where the program exceeds Performance Standards:
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Areas where the program needs improvement:
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

Additional areas of concern:
_____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

TEAM LEADER BOOKLET ANALYSIS

Booklet # ____________
Booklet Name: ______________________________________________________________________________

Program Strengths	Data Source
Specific Program Weaknesses and Areas to Strengthen	Data Source