INTRODUCTION

What is a Self-Assessment and why should we do it?

Continuous quality improvement is a central tenet of the Head Start program, with the goal of meeting Performance Standards and moving toward program excellence for serving children and families throughout the country. As part of this process, the annual Self- Assessment provides programs with the means to regularly assess their own management systems and program operations in order to continually strengthen the program and the services delivered to children and families.

Head Start Performance Standards clearly state that at least once each program year, with the consultation and participation of the policy groups and, as appropriate, other community members, grantee and delegate agencies must conduct a Self-Assessment of their effectiveness and progress in meeting program goals and objectives and in implementing Federal regulations.

The objectives of Head Start and Early Head Start are clear:

• Enhance children's growth and development
• Strengthen families as the primary nurturers of their children
• Provide children with educational, health and nutritional services
• Link children and families to needed community services
• Ensure well-managed programs that involve parents in decision-making

How can Head Start programs be sure that the services they provide meet these objectives as well as strive to continuously improve the quality of services?

By using the Self-Assessment process described here, grantees can annually assess how specific aspects of their program's operations impact services delivered to children and families. Self-Assessment is not an isolated event, but along with ongoing monitoring, is an integral part of a program's planning cycle. Programs seeking continuous improvement should constantly ask the questions:

• Is the program meeting all national Head Start Performance Standards?
• Are our services responding effectively to the changing needs of children and families?
• Are we doing what we need to, or are we just doing it the way we have always done it?
• Can we refine our program design and management systems to further improve outcomes for children and families?

The Self-Assessment process involves the collection of information from a variety of sources to determine if systems and services have been implemented and are working effectively. In the Self-Assessment process we encourage programs to analyze, review and incorporate information from multiple sources, such as ongoing monitoring reports, the Program Information Report (PIR), child outcome data, Community Assessment, and the Program Review Instrument for Systems Monitoring (PRISM) report. In total this information is used to identify program strengths, determine areas to strengthen, and plan appropriate strategies to effectively address the identified weaknesses of the program.

Who is responsible for the Self-Assessment?

Section 1304.50, Appendix A (Governance and Management Responsibilities), of the Head Start Program Performance Standards designates the Head Start program director as having operational responsibility for carrying out the Self-Assessment. Most Head Start directors engage a team of program managers and leaders in outlining a process and timeline for conducting the Self-Assessment and analyzing the results. The results of the Self-Assessment serve as a driving force in determining needs for program improvement. The Self-Assessment portion of the Governance and Management Responsibilities chart is provided below:

Grantee Agency		Delegate Agency		Grantee or Delegate Management Staff
Governing Body has general responsibility	Policy Council must approve or disapprove	Governing Body has general responsibility	Policy Committee must approve or disapprove	Head Start program director has operating responsibility	Agency director’s responsibility is determined locally

How do we ensure shared decision-making?

The Head Start director does not pursue this process alone. The Self-Assessment process provides an opportunity for involving program leaders, such as parents, Policy Council members, governing body members, and community stakeholders, and for making staff more aware of how the program operates and is viewed by its consumers. Through Self-Assessment, Head Start programs reinforce how program leaders engage in shared decision-making.

How does a Self-Assessment differ from the Federal monitoring that occurs every three years?

The primary purpose of Federal monitoring is described in Section 641A(c)(1) of the Head Start Act:

…to determine whether Head Start agencies meet standards…and results-based educational performance measures developed by the Secretary…with respect to program, administrative, financial management, and other requirements…

The purpose of Self-Assessment is explained in section 1304.51(i)(1) of the Head Start Performance Standards as a method of measuring agency accomplishments, strengths, and weaknesses. Self-Assessment promotes continuous improvement of program service delivery and quality, as well as focuses attention on issues that arise in the community, the program, and among enrolled families. The processes of Self-Assessment and Federal monitoring complement each other and both are intended to ensure quality. The following table Comparing Self-Assessment and Federal Monitoring distinguishes the features of the two forms of review.

Comparing Self-Assessment and Federal Monitoring

Review Process	Schedule	Responsible Entity	Instrument	Perspective	How Results are Used
Self-Assessment	At least once a year	Head Start Grantee	Self-Assessment Guide that is comprehensive and based on Head Start Program Performance Standards	Self-critique	Shared with managers, staff and governing bodies; used to develop Program Improvement Plans to reach and exceed compliance
Federal Monitoring	At least every three years	Federal Regional Office	Standardized; Program Review Instrument for Systems Monitoring of Head Start and Early Head Start Grantees (PRISM)	Outside Experts	Shared with managers, staff and governing bodies; used to ensure program compliance

Although these two forms of review and quality assurance are similar, Self-Assessment is the annual opportunity for programs to obtain objective and reflective feedback about their ability to meet Head Start Program Performance Standards and ensure the delivery of quality services each year.

How long should a Self-Assessment take?

The time required to perform a Self-Assessment will vary with each program. While many programs have thought that the Self-Assessment is extra work, well-managed Head Start programs view the time and effort needed to complete the annual Self-Assessment as an important, integral part of the program year. The Self-Assessment process should allow for the continuation of Head Start services without interruption, yet provide time for staff participating in the process to both gather and contribute information through observations, document reviews, and interviews.

How will this Guide be useful?

This Guide is intended to be a workbook that will help you:

• Review your program's operations and program's management systems
• Analyze the results of the Self-Assessment
• Assess your program's progress in meeting its own goals and objectives
• Identify program strengths
• Identify areas where improvement is needed
• Develop and implement strategies for program improvement
• Identify training and technical assistance needs
• Prepare for a Federal monitoring review
• Ensure quality Head Start services are delivered each year
  

About this Guide

One of the key management responsibilities of all Head Start programs is to:

conduct a Self-Assessment of their effectiveness and progress in meeting program goals and objectives and in implementing Federal regulations…at least once each program year (1304.51(i)(1) Head Start Performance Standards).

Programs are also required to incorporate child outcome data into their Self-Assessment process (ACYF-IM-HS-00-18).

Each Head Start program is required to develop a comprehensive process for Self-Assessment that addresses all of the management systems and service areas that are part of every well-run Head Start program. Head Start Self-Assessment: Your Foundation for Building Program Excellence supports programs with their Self-Assessment process.

Historically, many Head Start programs have struggled to develop a system for Self-Assessment. Consequently, many programs have used the existing Federal monitoring instrument, PRISM, as a basis for creating their own system because it addresses all of the Federal requirements that Head Start programs must meet.

This Guide, Head Start Self Assessment: Your Foundation for Building Program Excellence, assists programs to create a system that provides an in-depth assessment of all Head Start service areas and management systems, yet remains user-friendly and manageable for staff, parents and other participants. This Guide incorporates the essential ingredients of the PRISM, as well as feedback received from experienced Head Start directors, program managers, parent leaders, Head Start Bureau and Regional Office staff, the Regional Technical Assistance (TA) Network, and program review team members.

Principles

The workgroup that originally convened to create a vision for this resource developed four key principles to guide the work. They determined that local programs will benefit from a Self-Assessment instrument that:

• Adequately addresses all areas of the Head Start Performance Standards
• Can be administered by a diverse Self-Assessment team that includes not only child development and family services professionals, but also governing body members, parents and community representatives
• Promotes an efficient use of time and resources
• Provides valuable information to inform program leaders about ways to strengthen and improve the program

Four Stages of Self-Assessment

This Guide outlines four distinct stages of the Self-Assessment process. Each stage is critical and supports programs in meeting Head Start Performance Standards and in building programs of excellence. While it requires programs to devote significant time and energy, this process will culminate in the development and implementation of a plan to meet and exceed standards and promote continuous program improvement.

The Guide is divided into four sections representing the stages of the Self-Assessment process:

Stage 1: Preparing
Stage 2: Collecting and Synthesizing
Stage 3: Interpreting
Stage 4: Strengthening

The first stage is Preparing Your Self-Assessment
The Head Start director must take steps to prepare for Self-Assessment by convening a team to lead the process, determining how the program will use the Guide, informing the Policy Council and governing body, selecting and recruiting qualified participants to serve on the various Self-Assessment teams, and informing others who will be affected. Team members need to receive training on the regulations as well as the process they will use to complete the Self-Assessment booklets assigned to their team.

The second stage is Collecting and Synthesizing the Information
Once the program has identified the Self-Assessment teams and recruited and trained the members, the teams engage in the actual assessment process. Team members observe activities, review documents, interview people, and record and summarize their findings according to the instructions provided in the eighteen individual Self-Assessment booklets. Using this information, which is based on the eighteen Core Questions in the PRISM, team members begin the analysis process by synthesizing the data from multiple sources and consolidating this information into a Booklet Analysis. This Booklet Analysis identifies program strengths, specific weaknesses and areas to strengthen.

The third stage is Interpreting the Information
Once the Self-Assessment teams have completed their assigned booklets and the team leaders have analyzed the results, their work is then forwarded to the Self-Assessment leadership team. The Self-Assessment leadership team closely examines the booklet analyses. This information is further analyzed by displaying the data in a useful manner; establishing patterns of identified needs; uncovering underlying causes and systemic issues; and determining priorities for change and improvement. At this stage, programs should ask for clarifications on regulations or policy from Federal staff, if needed.

The fourth stage is Strengthening Your Program
The Self-Assessment has little value unless the program uses the information to drive program improvements. In this final stage, leaders use Self-Assessment results as a driving force to develop program improvement goals, desired outcomes, and action plans.

Both the results of the Self-Assessment and the plan for program improvement should be communicated widely to the governing body, staff, Policy Council, parents, and community partners. Both the Regional Office staff and the TA Network staff can provide assistance and support to Head Start programs as they develop and implement Program Improvement Plans.

Self-Assessment is a Cyclical Process
As indicated below, Self-Assessment is a cyclical process founded on the principles of Continuous Quality Improvement. This process requires continually monitoring, evaluating, and improving program quality and outcomes for children and families.

 

The impact of Quality Self-Assessment

As a result of using Head Start Self-Assessment: Your Foundation for Building Program Excellence, programs benefit from:

• Obtaining objective, reliable information about Head Start services and systems
• Promoting shared understanding and appreciation of Head Start goals and Performance Standards among the governing body, program stakeholders, and community partners
• Integrating multiple sources of data
• Conducting a thorough analysis of program data
• Creating effective Program Improvement Plans
• Designing meaningful training and technical assistance plans

Together these elements strengthen the program’s foundation, support program excellence and lead to the ultimate goal - improved outcomes for children and families. (See chart on the following page).

text version

 

 

text version

Format

Overview of Stages 1, 2, 3 and 4
The first page of each stage of the Guide begins with an overview. The overview identifies key participants and outlines the specific activities that will take place.

Booklets
The largest of the four sections is Stage 2, Collecting and Synthesizing the Information, which contains 18 booklets. The booklets correspond to the PRISM core questions and each addresses a critical Head Start management system or service area. The PRISM core question on Health is made up of two parts, (a) Prevention and Early Intervention and (b) Tracking and Follow-Up. They have been divided into two separate booklets in the Guide. In addition, unlike the PRISM, the Guide does not contain a booklet to address Self-Assessment. Instead, you are encouraged to evaluate your Self-Assessment process after completing all four stages. An evaluation form follows in Stage 4 of this Guide.

Sample observation tools, charts, checklists, and interview questions are included as helpful tools in each booklet. Team members may use these tools or modify them as needed to support the Self-Assessment process. Some of these tools have been adapted from the PRISM instrument.

All 18 booklets follow a similar format. Each booklet opens with a core question describing the system or service area to be assessed. Next is a compilation of related performance standards and a number of bullets that capture the essence of each section in user-friendly terms. Assessment team members are instructed to pay close attention to this bulleted description to gain a better understanding of the critical elements of each section. Team members are encouraged to review all related Performance Standards and to refer to them repeatedly during the assessment process.

Team members are expected to use the following data collection methods to gather information to complete their booklets:

• Observe (e.g., observing classrooms, Policy Council meetings)
• Review (e.g., various data sources, such as PRISM, PIR, Community Assessment, as well as ongoing monitoring reports, written plans, documents, records)
• Interview (e.g., interviewing managers, direct service staff, parents)

Individual team members summarize their work and submit these summaries to their team leaders. Team leaders review these summaries and consolidate and synthesize the information into a Booklet Analysis. These 18 separate Booklet Analyses provide the basis for further distillation and analysis in Stage 3. The Self-Assessment leadership team works to: display the data in a useful manner through the PRISM Framework; establish patterns of identified needs; reveal underlying causes and systemic issues; and prioritize goals for strengthening the program.

Assistance is Available

You are not alone in conducting your Self-Assessment. The Regional Office staff, the Regional TA Network, and your colleagues in other Head Start programs are available to support you. In particular, the members of the Head Start TA Network can serve as coaches and facilitators throughout the continuous quality improvement process. The TA staff is trained in the use of the Self-Assessment Guide and can support you through all four stages of the process. We encourage you to fully utilize these resources as you work through the Self-Assessment process to build your program of excellence.

Self-Assessment and the Technical Assistance Network

The TA Network is available to support you throughout your Self-Assessment process. While the TA specialist is not to be assigned to a particular Self-Assessment team, your TA specialist can work with you as you design how the Self-Assessment process will look in your program and assist you in the synthesis and analysis of information, as well as in the development of the Program Improvement and T/TA Plans.

To obtain or download copies of this document…

Head Start Self-Assessment: Your Foundation for Building Program Excellence, is available in electronic format at:

www.headstartinfo.org