# Presentation: 075998

## Overview of FY 2007 Monitoring: 

- DHHS ACF Region 10

- Seattle, Washington
- October 24-25, 2006

**Overview of FY 2007 Monitoring: **
**Orientation to the Protocol**

## Learning Objectives 

## Learning Objectives

- _At the end of this session, you will be able to:_
- Describe how the ‘07 protocol fits into the OHS FY07 goals, strategy, and priorities for monitoring support
- Explain the major ways in which the new ‘07 integrated protocol has changed from the ‘06 protocols

## The Plan

## Our Goals

**To continue 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**

## Our Strategy to Reach Goals

**Establish a professional pool of reviewers divided into:**
**a dedicated pool of Early Childhood Development, Fiscal, and PDM specialists for those respective areas, and **
**an integrated pool of Service Area reviewers who will be expected to review in one or more of the other component areas**

## Implementation of Strategy

**Establish a single protocol to streamline and 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**
**Build review teams to meet specific review  requirements and/or grantee characteristics**

## Foundation for Success

## Building Successful Reviews

**Building Successful Reviews**

**Four**
**Key**
**Pieces**

- FTL Leadership

- Linking Systems and Services

- A Single Protocol

- Professional Pool of Reviewers

## The Solution

_**A Review Agenda**_
**The protocol is the OHS review agenda, which is an essential part of ensuring consistent reviews in every region of the country.**
**It is intended to ensure that we 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.”**

## Organization and Structure of the Protocol

## Ten Sections

**Health Services****	**
**Nutritional Services**
**Safe Environments****	**
**Disabilities Services**
**Mental Health Services****	****	****	**

**6.****	****Family and Community Services**
**Fiscal Management**
**Program Design and Management**
**Education and Early Childhood Development****	**
**Transportation Services**

## Three Worksheets to Support Data Collection

**Classroom Observation **
**Home Visitor Observation **
**Age/Income Eligibility Data Collection**** **

## How Sections are Organized

**Introductory Guidance **
**Compliance Questions**
**“****Ground to Cover” Prompts**
**Shared/Cross-Referenced Notes**

## What is in the Protocol?

**Staffing and Training**
**Coordinated Activities**
**Outreach and Recruitment**

**Screening, Evaluation, and Individualization**
**Development and Implementation of the IEP/IFSP**
**Community Partners**

**         **_**Introductions to the Sections**_
**The Disabilities Services Section of the protocol is divided into six parts:**

## What is in the Protocol? (cont.)

**Program governance**
**Internal Controls**
**Shared Decision Making**
**Self-Assessment**
**Ongoing Monitoring**

**Eligibility, Enrollment, Attendance**
**Planning**
**Communications**
**Record Keeping and Reporting**
**Human Resources**

**The Program Design and Management section of the protocol is divided into ten parts:**

## What is in the Protocol? (cont.)

**Note that the GOVERNING BODY INTERVIEW should be scheduled **_***after ***_**sufficient services and fiscal information has been collected in order to provide specific factual context for the interview.**

## What is in the Protocol? (cont.)

**Education and Child Development Services:**
**Reviewers are asked to interview management, supervisory and teaching staff and consultants, and to observe children in classrooms and other settings.**

## What is in the Protocol? (cont.)

- Familiarize your self with the grantee’s written curriculum, ongoing assessment tools and processes.
- Select the centers and classrooms to be visited.
- Review child files for the classrooms that you will be observing.
- Complete the classroom observation worksheets.

**ECD Reviewers are asked to:**

## Compliance Questions

**Each compliance question is grounded in a specific regulation(s).**
**Each compliance question is followed by specific “ground to cover” prompts.**
**Some compliance questions can be answered immediately. **
**Most compliance questions require addressing the “ground to cover” prompts.**

## Compliance Questions (cont.)

**All 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.”**

## 
“Ground to Cover” Prompts
Prompts direct reviewers as to what to look for, listen for, or ask about to answer the compliance question.

_**“**__**Ground to Cover” Prompts**_
**Prompts direct reviewers as to what to look for, listen for, or ask about to answer the compliance question.**

## Compliance Question & Prompt

**The following question is taken from the Fiscal Management section of the protocol.**
**Ground to Cover – Look For, Listen, Ask About the Following:**
**Were financial reports complete, accurate, and furnished on a timely basis?**
**Is information classified and summarized in a reasonable manner, neither too detailed nor too condensed?**
**Did the reports have sufficient detail?**

## Compliance Question

**The following question is taken from the Safe Environments section of the protocol.**
**Does the grantee/delegate agency ensure that firm mattresses are used for infants and soft bedding such as comforters, pillows, fluffy blankets, or stuffed toys are used? 1304.53 (b) (3)**

## Intended Outcomes 

## Simplified

**1 INTEGRATED ****PRISM PROTOCOL**

**Protocols**
**Questions**
**Checklists**
**Instruments**
**Guides**

- FY 2007

**4**
**18 Core Questions**
**3 Fiscal, Health and Safety,**        **and** **Transportation**
**Observation Instruments**
**Interview Guides**

- FY 2006

## Supporting FTL Leadership

**Sharpens the focus of review week activity by directing the review team to collect the needed information.**
**Improves reviewer effectiveness by providing clear and specific prompts. **
**Provides automated data linkage of systems and services. **
**Enables FTL to more easily get the ‘big picture’ of the review and keep current of all review team data**

## Team Size & Composition

**Majority of FY07 1st/Triennial Reviews can be done by a core team of six reviewers and an FTL.**
**FTL**
**RC – completes the Age/Income Eligibility Checklist and conducts the bus ride**
**Fiscal**
**PDM**
**ECD**
**Integrated Service Reviewer **
**Integrated Service Reviewer**

## Team Size & Composition

**Factors That Could Increase Team Size**
**Number of centers and/or delegates**
**Geographic distance**
**Complexity of potential issues**

## Looking Forward to the First Quarter ‘07

## Launching the ‘07 Protocol

**The ‘07 Protocol is designed as a tool to confirm grantee compliance. **
**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.**

## Launching the ‘07 Protocol (cont.)

**Review reports will identify and communicate areas needing improvement so that grantees can maximize their resources in more effective and focused ways.**
**Grantees can use the protocol to help them with planning for program improvement on an ongoing basis and not just every 3 years.**
**The protocol continues the OHS commitment to a transparent, high-quality national monitoring system.**