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| Publications | Partnership/Collaboration
Information Center | What's New? |
Table of Contents | Introduction | Stage 1 | Stage 2 | Stage 3 | Stage 4
Overview
Key participants in Stage 3 include:
Your designated team of managers and program leaders who are charged with leading the process, analyzing the information, and incorporating the results into program improvement efforts. In addition, your assigned TA specialist is available to support the work of the team as you interpret the information collected through your Self-Assessment. You may also want to seek input from and share key findings with program leaders, staff and other Head Start stakeholders.
In this stage you will:
Stage 3: Interpreting the Information
Interpreting the Information You Have Collected
After completing Stage 2, Collecting and Synthesizing the Information, you will find that your Self-Assessment teams have generated a great deal of information and data. A significant amount of effort went into completing each booklet, with notes reflecting the results of observations, document reviews, surveys, and interviews.
In this stage, the Self-Assessment leadership team will review, process and make sense of this information. This is one of the most challenging, yet critical, steps in the Self-Assessment process. This information analysis is necessary to draw meaning from the data that was gathered and compare existing program practice with Head Start Performance Standards.
Analysis of information requires:
You have already begun the process of analysis in Stage 2 by having Self-Assessment team leaders consolidate the information into Booklet Analyses. At this point, it is necessary to further consolidate the data and display it in a way that enables you to identify weaknesses, and determine underlying causes and systemic issues. This process will enable you to gain insight and draw reasonable conclusions from the data, which is necessary for the development of your Program Improvement Plan and your Training and Technical Assistance Plan in Stage 4.
Examining Strengths
Before turning your attention to the concerns and needs that emerged from the Self-Assessment process, take time to identify and document the key strengths and accomplishments of the program. Take stock of the information regarding strengths that appears in the Booklet Analyses prepared by team leaders. Focus on new accomplishments, exceptional strengths or other areas that exceed the Head Start Program Performance Standards, and record the information on the following Program Strengths Worksheet.
The information you record will inform your work in Stage 4 by providing a broader program context. To support continuous quality improvement, you will need to draw upon the strengths of the program in order to develop and support new strategies to improve outcomes for children and families. This information should also be included in any Self-Assessment summary reports you prepare for the staff, families, Policy Council, governing body, and the greater community. These reports will provide a balanced program perspective so that others are aware of the good work you do.
Program Strengths Worksheet (printable gif)
Record the key strengths and significant achievements that you want to share with others and build upon in the future.
| Key Strengths and Achievements |
Analysis and Interpretation
Analyzing information is a complex process. Analysis of data needs to be conducted in a systematic and logical way so that information can be reviewed and processed, and reasonable and reliable conclusions can be drawn. While some problems are readily identifiable, others may not be as obvious. In addition, while some issues may be limited to specific program functions or segments, others may be more overarching. The identification of problems, the determination as to whether they are contained or systemic, and the formation of conclusions about their underlying causes, will form the basis for developing the Program Improvement Plan and the T/TA Plan.
Displaying the Data
There are many different methods for the analysis of Self-Assessment information and data. As the purpose of the Head Start Self-Assessment process is to assure consistency with the Performance Standards and help programs strive for excellence, a method that has proven especially effective for Head Start programs is the use of the PRISM Framework. This framework, a matrix of all eighteen systems and services contained in the Head Start Program Performance Standards, provides a tool to display the information from the Booklet Analyses and identify systems and services needing improvement.
The PRISM Framework: Analysis of Areas to Strengthen is included on page 11 to assist programs in organizing and displaying their Self-Assessment data to determine areas of contained weaknesses, patterns of identified needs and systemic issues.
Take each of the specific program weaknesses and areas to strengthen that appear in the Booklet Analyses and use the PRISM Framework to determine the relevant service and system. Once you have made your decision, record the information in the corresponding square. Some programs use sticky notes to physically place each item onto the corresponding square on the grid. This will provide a picture or map of all the identified weaknesses and can assist you to identify any patterns within or across individual systems and service areas.
The sample PRISM Framework on page 13 shows examples of specific areas to be strengthened that are mapped onto the grid. For example, the Self-Assessment data may have demonstrated a lack of follow-up on recorded changes in children’s behavior while on medication. This need would be mapped onto the grid along the system of Record-Keeping and Reporting and under the services of Prevention and Early Intervention.
Issues that have been identified through the Self-Assessment process may reflect contained areas of weaknesses, or they may reflect larger systemic problems. The PRISM Framework is a useful tool to help you visually display both isolated areas of weaknesses as well as systemic issues within or across particular systems and service areas.
Underlying Causes
Once you have displayed all the information onto the PRISM Framework, take time to review the weaknesses that you have identified. For each area to strengthen, you will need to uncover the underlying cause(s). Identifying these underlying causes will facilitate the development of appropriate and effective strategies to strengthen program systems and services.
To uncover underlying causes, it may be necessary to refer back to the information collected in each of the 18 Self-Assessment booklets. In addition, members of the Self-Assessment teams may be able to provide insight and clarification based on their review of particular program and service areas. Examples of common underlying causes include: lack of knowledge in a particular area; inadequate supervision and support for staff; and inadequate documentation systems (forms, communication mechanisms, tracking systems, etc.) in place to facilitate and record the process or service.
Contained Areas of Weaknesses
Some items displayed on the PRISM Framework are contained problems that do not reflect larger systemic issues. For each of these items, the leadership team should review the information collected in Stage 2, as well as other relevant program documents and records to uncover the underlying causes.
In Example A on page 15, the issue of under-enrollment has been identified as a contained area of weakness. In order to develop effective strategies to address this issue, it is essential to uncover the underlying problems that have caused the under-enrollment. Underlying causes may include, but are not limited to: changes in community demographics, problems in the program’s recruitment system, lack of transportation, lack of availability and accessibility of services, inappropriate program options to meet families’ needs, or poor program reputation within the community.
Patterns and Systemic Issues
The PRISM Framework display may also demonstrate an underlying systemic problem within specific management systems and service areas. As your program’s management systems exist to support program services, a breakdown in a key management system may result in negative effects in a particular program area or across multiple program service areas. A pattern of multiple issues within a particular system (along one row of the grid) often points to an underlying systemic issue. Similarly, multiple weaknesses within one service area (within one column of the grid) may indicate a significant problem in that particular service area. Identifying such patterns will help programs plan effective strategies to improve and strengthen management systems and program service areas.
In the sample PRISM Framework grid provided on page 13, multiple weaknesses have been mapped onto the system of Record-Keeping and Reporting and the service area of Parent Involvement. When patterns such as these emerge, programs must investigate these areas to uncover underlying causes of these systemic issues.
In Example B on page 16, Program XYZ has identified weaknesses within their system of Record-Keeping and Reporting. Underlying causes may include, but are not limited to: lack of understanding of the purpose and procedures for record-keeping; inadequate supervision to ensure staff follow-through; ineffective forms or tracking systems; and inadequate time allowed to complete records and reports.
Similarly, Example C on page 17 shows a weakness within the service area of Parent Involvement. Underlying causes may include, but are not limited to: staff not understanding the value of parent involvement or not knowing how to promote it; inadequate supervision to assist staff to support parent involvement; and ineffective tracking systems to promptly identify any problems.
Identifying underlying causes is critical for the development of effective strategies to promote continuous quality improvement. In Stage 4, you will apply the information you have uncovered about underlying causes to the development of a Program Improvement Plan and a T/TA Plan.
Download copy of PRISM Framework: Analysis of Areas to Strengthen (printable gif)Download a Sample copy of PRISM Framework: Analysis of Areas to Strengthen (printable gif)
| Example A Identifying underlying causes for a contained area of weakness |
Issue: Program XYZ is more than 20% under-enrolled.
What are the underlying causes of under-enrollment for this program?
In addition to the Self-Assessment Booklets, it would be helpful to review:
Questions to consider:
Underlying causes:
A review of the Community Assessment shows that program options are meeting
the needs of families in the community, but that there has been a change in
the community population over the past few years; many families have had to
relocate in response to
increasing housing costs in the northern part of the city. A review of enrollment
and wait list documents reveals that under-enrollment is limited to sites in
the northern part of the city. Sites in the southern part of the city have long
waiting lists. It appears that the services provided by Program XYZ are not
available for many eligible families in the southern part of the city, while
classrooms are under-enrolled in the northern part of the city where fewer eligible
families reside.
Developing strategies:
Plans to address under-enrollment in Program XYZ will need to focus on these
underlying causes, and consider issues related to program design, site locations,
transportation, waitlist policies and procedures, recruitment strategies, resources,
and facilities, as well as other relevant management systems and service areas.
| Example B Identifying underlying causes of a systemic issue |
Issue: Program XYZ has demonstrated significant problems in its system of record-keeping and reporting across program service areas.
What are the underlying causes of systemic record keeping issues?
In addition to the Self-Assessment Booklets, it would be helpful to review:
Questions to consider:
Underlying causes:
A review of staff surveys and evaluations reveals a lack of staff understanding
of the purpose and procedures of record-keeping and reporting. In addition,
supervision documentation does not address record-keeping and reporting responsibilities,
and the tracking mechanism is unreliable.
Developing strategies:
Plans for improving the record-keeping and reporting system will need to focus
on these underlying causes and address: ongoing staff development and competence;
tracking systems that monitor services and ensure program compliance; supervisory
systems;
program policies and procedures regarding record-keeping and reporting; as well
as other management areas to ensure strong and comprehensive systems that will
support quality services.
| Example C Identifying underlying causes of a pattern of weaknesses in a service area |
Issue: Program XYZ has demonstrated a significant
lack of parent involvement in the program.
What are the underlying causes for the lack of parent involvement for this program?
In addition to the Self-Assessment Booklets, it would be helpful to review:
Questions to consider:
Underlying causes:
The review of the Policy Council materials revealed a well-defined process for
establishing a Council but lacked a process for maintaining membership. Bylaws
did not include a process to monitor Policy Council attendance or replace members
who have not attended. Written program plans include a separate section dedicated
to parent involvement but do not indicate how parents would be active participants
in program operations, planning and development. A monthly calendar of parent
activities is distributed to parents the last week of every month. It is the
only method used to notify parents of upcoming events and is printed in English
only.
Developing strategies:
Plans for increasing parent involvement in Program XYZ will need to focus on
these underlying causes, and consider ways in which the program’s mission
statement, philosophy and culture are aligned with program practices and how
policies and procedures integrate parent involvement throughout the program.
In addition, plans to encourage parent involvement will need to address the
program’s communication systems and support effective staff and parent
leadership.
Classifying and Prioritizing Areas to Strengthen
Use the information collected through the Self-Assessment process to classify the areas to strengthen. Complete the following Priorities Worksheets as you identify three types of concerns you want to address in your final Program Improvement Plan:
Section 1: Health and Safety. The team should determine if there are areas of concern that affect the health and safety of children, families and staff. The team will need to resolve these issues immediately. All health and safety issues should be considered high priority.
Section 2: Short-Term Improvements. The team should identify any service area or operational issues that managers and content area experts can address in a quick and efficient manner.
Section 3: Long-Term Improvements. The team should also identify any major areas of concern that require prolonged effort. Often, these are systemic issues that cut across program areas and services. These may necessitate major program improvement. Long term improvements typically require an action plan that entails a focused effort by key staff and program leaders, creative strategies, time commitment and the shift or addition of program resources through expansion or development of community partnerships.
Frequently, a team will need to prioritize multiple program improvement goals to ensure that it does not jeopardize its chance of success by spreading resources too thin.
As you prioritize the areas you want to strengthen, you may want to have the team revisit the core objectives of Head Start found at the beginning of the Guide:
Program managers will want to give priority to areas where they are not meeting these core objectives. Goals that address weaknesses in management systems or service areas also deserve top priority. For example, teams may place a priority on the following issues:
PRIORITIES WORKSHEET
Section 1: Health and Safety (printable gif)
| Health and Safety Health and Safety issues are considered high priority and must be resolved immediately. (List in order of importance) |
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Use the last column of this worksheet to note the area where training and/or technical assistance may be needed.
PRIORITIES WORKSHEET
Section 2: Short-term Improvements (printable gif)
| Short-term Improvements Operational issues that managers and content area experts can address in a quick and efficient manner. (List in order of importance) |
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Use the last column of this worksheet to note the area where training and/or technical assistance may be needed.
PRIORITIES WORKSHEET
Section 3: Long-term Improvements (printable gif)
| Long-term Improvements Systemic issues and major areas of change that take significant time, resources and commitment of program leaders. (List in order of importance) |
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| Areas to Strengthen | Data Sources | Timeframe | Need for T/TA? |
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Use the last column of this worksheet to note the area where training and/or technical assistance may be needed.
| Go back to Booklet 18 | Go to Stage 4 |
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