Module 2

Background Information During the Take Stock phase of the planning and reviewing process, it
is important to keep the purpose of the CA in mind. The CA describes
the context in which a Head Start program operates. It tells the story of
whom the program serves and includes information on where people
live, their ethnic background, their health and nutritional challenges,
their family structures, and their educational experiences.

In addition to describing the Head Start families who may be served by
the program, the CA also paints a picture of the community in which
the Head Start program operates. It covers the community’s history,
its economic and political scene, and the community's strengths and
weaknesses. An outsider gets a glimpse of community resources
available to Head Start-eligible families in the areas cf health and
psychosocial services, employment and training, transportation, early
care and education for children, and educational oppostunities for
adults.

Objectives of the Module The first objective of this module is to emphasize the importance of
clarifying factual and statistical information collected for the CA. It
discusses displaying the data by using charts and diagrams to clarify the
information and show relationships among the data. Adults, like
children, learn in different ways; the more variety used in presenting
the CA findings, the more opportunities to reach people who can é&
contribute to analyzing what the data tells.

The second objective is understanding how to interpret the data. What
sense can be made from the data that have been collected for the CA?
Module 1 covered using both internal and external data. Examples of
internal data are the reports that the management team uses for
program operations, such as the PIR, the annual self-assessment, and
the federal monitoring report. External data come from sources outside
the Head Start program, such as the United Way, planning depant-
ments, health and child care resource and referral agencies, emp!~y-
ment agencies, and other organizations that collect and distribute
pertinent community information.

Finally, the module focuses on preparing an outline for the CA Report.
A well-written CA Report helps identify the program's strengths and
the internal and external challenges it faces, and serves as a resource
for developing strategic and operational plans. It is essential to take the
time to draft an outline ‘or this report before actually writing it. This
ensures that the document will be an effective resource.

58 Planning and Reviewing for Success



Module 3: Propose Directions and Adopt Plans

—= SE

Handout 23: Feedback Sheet @

1. The following goals were stated clearly:
Reasons

2. The following goals were not stated clearly:
Reasons

3. The following goais were broad statements and provided effective direction for the planning and
reviewing process: )

4. The following goals were not broad statements and did not provide direction for the planning and
reviewing process:

5. The best presentation techniques used were:

6. Suggestions for improving the presentation:

126 Planning and Reviewing for Success

129



Module 1

Review Handout 2; Instructions for Planners with the planning
team. Show the planners the Lego structure and the individual
Lego pieces that the implementing team will use to replicate the
completed Lego structure. They have 20 minutes to develop a set
of instructions for the implementing team. Once they give the
implementing team the instructions, they must remain silent as they
observe — ~m at work.

Review Handout 3: Instructions for the Implementing Team with
the implementing team. They will have 20 minutes to use the
instructions from the planning team to build the Lego structure
While they are waiting for instructions from the planning team,
they are to discuss their expectations for the instructions they will
receive and the skills they will need to follow the instructions.

Discuss Activity 4. Ask the implementing team to explain the structure they built and
any challenges they faced.

Ask the planning team to react to the work of the implementing
team and comment on the challenges they faced. Ask:

Why is it essential to have good communication between the
@ planning team and the implementing team?

Distribute Handout 1: Instructions for Observers to participants
who did not receive it earlier. Ask the observers to comment on
how they completed Handout ] for each team. Ask members of the
implementing team and the planning team to comment on the
feedback from the observers and evaluate the work process and
group behavior of their teams. Ask:

What critical skills must the implementing team practice?

What critical skills must the planning team practice?

What is the role of leaders (including members of the governing
body and Policy Council/Policy Committee, Executive director,

and Head Start director) in the planning process?

Summarize 5. Conclude with the following comments, emphasizing the role of
leaders in achieving these goals.

= The planning team should represent all stakeholders in a Head
Start program.

Plan to Plan 21



Resources

Program Review Tools

Drucker, Peter F. The Five Most Important Questions You Will Ever
Ask About Your Nonprofit Organization: Participant’s Workbook.
San Francisco: Jossey-Bass Publishers, 1993.

This workbook presents a process for organizational self-assessment. It
provides a framework to address questions about organizational
mission and direction-setting. The self-assessment tool contains more
than 20 worksheets that can be used in a variety of settings. This tool is
organized around the following five questions: What is our mission?
Who is our customer? What does the customer consider valuable?
What have been our results? What is our plan?

Rossum, Constance. How to Assess Your Nonprofit Organization.
San Francisco: Jossey-Bass Publishers, 1993.

This 34-page user guide for boards, staff, volunteers and facilitators
accompanies The Five Most Important Questions You Will Ever Ask
About Your Nonprofit Organization: Participant's Workbook (see
above). The author discusses how a self-assessment tool can help
nonprofit organizations focus on five critical management questions.

U.S. Department of Health and Human Services, Administration
for Children and Families, Administration on Children, Youth and
Families. Head Start Bureau Evaluation Handbook: A Companion to
the Program Manager’s Guide to Evaluation. Washington, DC: U.S.
Department of Health and Human Services, 1997.

This booklet is a companion to The Program Manager's Guide to
Evaluation: An Evaluation Handbook Series from the Administration on
Children, Youth and Families (see below). The handbook serves as ati
aid to increase understanding of program evaluation. Topics covered
are: getting answers to basic questions, specifying objectives,
evaluating Head Start programs, partnerships, and using available
tools.

U.S. Department of Health and Human Services, Administration
for Children and Families, Administration on Children, Youth and
Families. The Program Manager’s Guide to Evaluation: An
Evaluation Handbook Series from the Administration on Children,
Youth and Families. Washington, DC: U.S. Department of Health
and Human Services, 1997,

This comprehensive guidebook helps program managers understand
and perform program evaluation. It explains how to use evaluation to
improve programs and benefit staff and families. The guidebook covers
the who, what, why, when, where, and how of program evaluation.

Resources

159

163



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153

Review



@

ED 436 245

HEAD START.

Training Guides for the
Head Start Learning Community

Planning and
Reviewing for
Success

BEST COPY AVAILABLE

to



6 Module 3

The Worksheets in the Appendix have been designed to guide you
in performing each step in the planning and reviewing process in
your program. To apply the steps discussed in Module 3, use
Worksheet 8: Perform a Gap Analysis, Worksheet 9: Develop
Guidelines for the Statement of Program Goals and Objectives,
Worksheet 10: Set Majer Goals, Worksheet 11: Create the Ideal
Work Team, Worksheet 12: Develop Guidelines for a Program
rea Plan, and Worksheet 13: Write SMART Objectives.

Propose Directions and Adopt Plans 121



Module 2

Activity 2-3:
Identifying
Major Issues
and Concerns

This process begins with identifying the facts, such as the

characteristics of Head Start-eligible families, the community,
and internal data related to program operations.

The process continues by interpreting the significance of the

facts. This involves identifying:

— The strengths of the families and the challenges they face
— The strengths of the community and the challenges it faces.

— Historical issues or trends and how they can affect Head
Start now or in the future.

— The impact of a program’s operations on its services.

Purpose: Participants will practice the skills involved in using
data to summarize major issues and concerns.

Materials:

Exira copies of Handout 13: Sample of Community Assessment and

Internal Data

Handout 16: Planning Team Roles

Chart paper from Activity 2-2, Step 3, with each team’s analysis
Chart paper, markers, and tape

Collect the responses on chart paper prepared in Step 3 to use in

1

Activity 3-2.

Trainer Preparation Notes:

Review Handout 13: Sample of Community Assessment and
Internal Data. Answer the questions in Number 2 below
for each service area before delivering the training on this
activity.

Prepare chart paper with the following instructions:
Review the data you analyzed in Activity Z-2 for the service
area you studied.

Based on the characteristics of both Head Start-eligible
families and the community and the trends you identified:

I, What are the major issues and concerns affecting Head
Start-eligible children and families?

2. What additional information do you need to collect to
analyze the service area further?

Take Stock

67

74



Resources

Planning Models

Barry, Bryan W. Strategic Planning Workbook for Nonprofit
Organizations, Revised and Updated. St. Paul, MN: Amherst H.
Wilder Foundation, 1997.

This workbook explains a five-step planning process. It includes
reproducible worksheets to help you develop a plan, involve others in
the process, and measure results. Four planning models show you how
to tailor the process to fit any organization.

Bryson, John M. Strategic Planning for Public and Nonprofit
Organizations: A Guide to Strengthening and Sustaining
Organizational Achievement. San ¥rancisco: Jossey-Bass Publishers,
1995.

This book explains why public and nonprofit organizations need to use
strategic planning to improve their performances. It describes a
planning process implemented by many nonprofit organizations. The
author shows how leaders and managers can use strategic planning to
strengthen their organizations. He includes examples of strategic
planning practices, shows how to implement and reassess strategies,
and shows how to fill key leadership roles.

Bryson, John M., and Farnum K. Alston. Creating and
Implementing Your Strategic Plan: A Workbook for Public and
Nonprofit Organizations. San Francisco: Jossey-Bass Publishers,
1996,

This workbook addresses key issues in the overall strategic planning
process and subsequent implementation. It is designed to be used with
Strategic Planning for Public and Nonprofit Organizations (see above),
and places that workbook’s guidance and worksheets in a broader
context. The authors cover the key steps of the planning process.

Eadie, Douglas C. Beyond Strategic Planning: How to Involve
Nonprofit Boards in Growth and Change. Washington, DC: National
Center for Nonprofit Boards, 1995.

This 23-page booklet is part of the Strategic Issues Series. The author
presents an introduction and overview of strategic management issues
and outlines a process that includes outcomes and structure. He shows
how to clarify the strategic framework; look at values, vision, and
mission; identify and select strategic issues; develop projects that
involve board and staff; and implement projects.

Resources

157

161



Module 2: Take Stock

Handout 15: Gallery of Visuals

Data that is... can be explained in a:

in numbers or percentages pie chart, bar chart, graph, table

in written or spoken words narrative, case study, table

geographic map, diagram, photograph
TABLE

A table organizes and consolidates information. It also displays how to compare variables or factors

An example of a table is found in Handout 13: Sample of Community Assessment and Internal Data,
page 47.

MAP

A map helps readers understand a geographical area. In Handout 13: Sample of Community
Assessment and Internal Data, the map on page 52 is used to show the service area.

PIE CHART

Population of Hamilton County (389,000) A pie chart shows how often something
occurs. Slices or wedges of various sizes
show the significance of the occurrence:
the larger the slice of the pie, the larger
the number of occurrences. The entire pie
represents all occurrences.

To create a pie chart, the data must be
converted to percentages; each slice
represents a percentage of the total.
When totaled, the slices equal approxi-
mately 100 percent. It is best to use a
computer to construct pie charts.

= Lake Mathews i Covington Corner

Sheridan Shores | North Pass, Alliance, and Ellery

f 3 Chevy Shores. | Green Ridye Reservation

Take Stock 19



Introduction

Modules Activity Time Materials
(W) Activity 2-5: 2 hours Handout 13: Sample of Community
Preparing the CA Assessment and Internal Data
Module 2: Take Stock Outline (extra copies)
(Continued) Handout 19: Outline for
Community Assessment Report
Sets of prelabeled index cards
(C) Activity 3-1: 90 Handout 20: Using Gap Analysis
A First Step in minutes in Setting Directions
Proposing Directions Handout 21: Using Metaphors in
Serting Directions
(W) Activity 3-2: 2 hours Handout 13: Sample of Community
Setting and Presenting Assessment and Internal Data
Goals (extra copies)
Handout 22: Guidelines for Setting
Goals
Handout 23: Feedback Sheet
Chart paper used in Activity 2-3
Module 3: Propose Chart paper, markers, and tape
Directions and Adopt Plans - .
(W) Activity 3-3: 90 Handout 24: SMART Objectives
Writing SMART minutes | Chart paper used in Activity 3-2,
Objectives Step 7, Set Goals
Chart paper, markers, and tape
(W) Activity 3-4: Session 1: | Handout 13: Sample of Community
Creating Work Teams Creating | Assessment and Internal Data
and a Written Program the Ideal (extra copies)
Area Plan Program | Copies of Head Start Program
Area Work | Performance Standards for Parts
Team | 1304.52, (k)(1)-(3)
1 hour, Chart paper, markers, and tape

40 minutes

19

Planning and Reviewing for Success



Module 4

Background Information

Reviewing

Programs need to establish and maintain ongoing monitoring and self-
assessment systems that look at progress in implementing strategies,
determine compliance and program quality, and address whether goals
and objectives have been met and had the desired outcomes. Well-
designed systems monitor implementation activities on a regular and
frequent basis. Such systems annually assess compliance with program
requirements and the quality of services provided. In addition, at least
every 3 years, such systems require the program to reflect on the goals
it chose and the issues those goals were to address. This latter activity
links the agency’s Community Assessment (CA) and self-assessment
processes.

The CA looks at the issues, strengths, and community resources, and
provides the information for choosing goals and objectives. The self-
assessment includes looking at the issues, goals, and objectives chosen
as a result of the CA, and determining whether the program’s outcomes
have brought about a positive change in the community and the
recipients of its services. The findings from the self-assessment may
become critical internal data as the agency embarks on another CA.

In this Guide, the term reviewing encompasses both the ongoing
monitoring and the self-assessment system, It requires systematic,
comprehensive methods for collecting and analyzing information to
determine whether agency operations are on track toward planned
outcomes. The multidimensional processes and systeins include the
frequent information gathering that ensures early detection and
correction of minor problems before they escalate (ongoing
monitoring). Such systems also include an annual comprehensive
assessment of overall program accomplishments that allows an agency
fo determine that federal requirements are being met and that recipients
have reccived the intended services. They should also include a more
analytical look at an agency’s activities to determine how the program’s
activities and services have affected the Head Start population and the
community and achieved the desired outcomes.

Each system piays an important role in an agency’s ability to establish
its own accountability. Information from each process (ongoing
monitoring and self-assessment) can provide managers and
policymakers with the tools they need (inforination and data) to take
self-correcting actions to produce high-quality programs.

132

Planning and Reviewing for Success



Module 4

Challenges

an agency to accept responsibility for its own self-improvement rather
than relying solely on federal monitoring to assess its performance.
Such processes are the tools managers use to make the program
decisions that can enhance quality. These decisions relate to super-
vision, training, performance, evaluation, and organizational structure
and functions.

Self-assessment and ongoing monitoring should indicate whether the
goals, objectives, and program area plans respond to the needs of
children and their families. Reviewing should help to determine
whether what was originally proposed in the plans is what is really
needed, whether operational activities are reflective of the plans, and
whether the desired results for children and families are being
achieved. Goods tems will show what changes need to occur.

The challenge in ongoing monitoring and self-assessment always
should be to identify areas that require improvement. Programs need to
structure ongoing monitoring and self-assessment processes so they
respond to the constant changes occurring both within and outside the
Head Start program. What worked last year may need revision or
replacement this year. It is important to find ways to constantly analyze
the mission, goals, and objectives while engaged in operational
activities and ask:

Are we doing what we need to do, or are we just doing it the way we
always have done it?

In summary, Step Four is an essential phase in the planning and
reviewing process. Head Start programs that see themselves as learning
communities will welcome the benefits of self-review. To become
learning communities, programs must be willing to review their
progress and change, if necessary, the internal strategies they use to
obtain their goals and objectives.

Activity 4-1: An, Purpose: Participants will understand the meaning of self-review and
What Is é 5} be able to describe techniques to use in the self-review process.
Self-Review? 4S
——= Materials:
Handout 26: Excerpt from a Written Plan
Hats, badges, or signs labeled Monitoring Maven for each
participant

Chart paper, markers, and tape

138 Planning and Reviewing for Success

140



Module 2

Debrief Card Game

Discuss Scenario Format

Develop Outline

Explain that the second set of cards contains examples of data that
can be grouped under one of the categories. They must put cach
card from the second set in one of the categories from the first set.
For example, “Head Start-eligible children and families” would be
categorized under “Demographics”; “language proficiency of
adults” would be categorized under “Education.” When they
complete the activity they will have eight sets of cards, each headed
by one of the categories,

Distribute the two sets of cards to each participant or group. Ask
them to complete the task.

Debrief card sort activity using the following questions:

= How comfortable did you feel matching the data samples with
the categories? What helped this process?

« How can this type of activity help you prepare a CA outline?

= What challenges might you face when completizg the outline or
final report? Why?

Discuss the way that the scenario is organized and formatted in
Handout 13: Sample of Community Assessment and Internal Data
(Background Information = narrative, CWC = narrative, CWC
Head Start = narrative, Recruiting Areas = narrative with
statistics, Agency Data and Statistics = chart of PIR and Health
Services, Survey Results = narrative with statistics, Results of
Annual Self-Assessment = narrative formatted by topics, Head
Start Data for Current Year = numerical chart with categories,
map of county).

Ask participants to critique how the scenario is organized and
formatted. They should compare the formatting to the categories
they have already suggested for a CA Report.

Distribute and review Handout 19: Outline for Community
Assessment Report. Explain to participants that they will now
recommend how to reformat the CA data in the scenario by using
the data from the CWC Head Start program and Handout /8 to
complete an outline for a CA Report.

Review a few examples with participants to get them started.

Take Stock

73



Module 1

Introduce Activity

Discuss Planning Cycle

Icentify Tasks in Each Step

Plan to Collect Data

Summarize

5.

Handout 9: Review
Handout 14: Data Collection Worksheet

Tell participants that the planning process is a continuous cycle.
Although the steps are sequential, some overlap and many are
ongoing and repeated throughout the cycle of the program year.

Distribute the Background Information for Module | and ask
participants to read about the process of planning and reviewing.
When they have finished, facilitate a discussion about the five
steps.

Ask participants to summarize in their own words what is meant by
Plan to Plan, Take Stock, Propose Directions, Develop and Adopt
Plans, and Review. Ask for examples of how each of these steps
are performed in Head Start. Explain that they may have used other
terms for these tasks.

Distribute Handout 4: Planning and Reviewing Process to
summarize the complete process.

Ask participants to write down at least three specific tasks they can
think of that are involved in the CA process for each step. If they
need help getting started, refer to Handout 4: Planning and
Reviewing Process.

Distribute Handouts 5-9 to summarize the critical tasks for each
step in the process.

Using Handout 14: Data Collection Worksheet, discuss examples
of significant data; the reason, sources, and issues/challenges for
each type; and the tasks involved in the process.

Conclude by summarizing the following points:

« Data is essential to help planning teams understand their
environment and make recommendations.

= It is important to ensure that significant data is obtained.

= Planning to collect data involves several tasks: determine the
significant data to collect, identify sources for the information,
identify challenges and issues to consider, and identify tasks
involved in obtaining the data.

28

Planning and Reviewing for Success

36



Module 3

Articulate Goals

Review Goals and Presentation

Summarize

10.

Working in groups, participants should identify four goals, Ask
them to post their goals on chart paper. Divide participants in
groups. Allow 20 minutes for this activity.

Explain that the next group assignment is to prepare a role play that
presents their goals to a policymaking entity. During each role
play, the rest of the participants will act as members of the
policymaking entity. Everyone must participate in the group
presentation. Encourage the groups to use a variety of presentation
techniques and visual aids.

Decide on tr> audience for each group's presentation, with each
group selecting a different audience. Possible audiences include the
grantee board of directors, a tribal council, a school board, a
policy group, and a community forum.

Discuss preparing a presentation on goals, listing the following
guidelines on chart paper:

m State the goal.
= Explain reasons obtained from data for identifving the goal.
= Explain benefits to program if goal is adopted.

Allow the groups 25 minutes to prepare their presentations.

Assemble the groups. Distribute and review Handout 23. ©eedback
Sheet. Tell the “audience” to complete the feedback shee:
individually. They should make constructive comments for each
team by critiquing the proposed goals and the effectiveness of their
presentation. Explain that you will collect feedback sheets after
each presentation. When all the presentations have been given, you
will give each group all of the feedback sheets on its presentation.

After all groups have finished, give general feedback. Comment on
the characteristics of effective goals and the importance of meeting
the audience's needs in a presentation.

Tell groups that they will now review their feedback sheets and
reflect on the quality of their presentation, its strengths, areas to
improve, and the effectiveness of their goals. Allow groups 15
minutes. They might want to make revisions to their goals and
record the revised goals on chart paper.

Conclude the session by summarizing the importance of effectively
using data to identify and set meaningful goals and to skillfully

Propose Directions and Adopt Plans

1u3



Module 1: Plan to Plan

Handout 5: Plan to Plan

Plan to Plas. involves the following tasks:

m Identify impact of Head Start regulations on the
planning process

@ Recruit and select planning team members

= Approve the planning team (first approval item)

® Orient the planning team

= Propose and adopt a work plan (a time-sequenced
description of how critical steps will occur)

® = Obiain approval for work plan from governing
body and Policy Council/Policy Committee

m Identify the data needed for the CA

mTM §©Determine the issues/tasks involved in collecting
data

Plan to Plan 35



Module 2: Take Stock

Identify:-Major.

Instructions

1. Using the information from Worksheet 5, identify major issues and concerns affecting
Head Start children and families.

v

Analyze the impact of these issues and concems on current services.

1. Based on the characteristics of the program and the community and the identified trends,
what are the major issues and concerns affecting Head Start children and families?

2. How will these major issues and concerns impact the services we currently provide?

Appendix

176

175



Module 2

Use Visuals

= Why is this data significant?
Possible responses include better planning for services,
understanding what life is like for children and families,
knowing where services are needed and where centers should
be located to connect resources offered in the community to the
needs and desires of Head Start children and their families.

5. Referring to the categories of data listed on the chart paper, ask the

group for ways to effectively write the report to describe the data
for each category (for example, narrative, case study, tables, pie
charts, bar charts, graphs, maps, diagrams, and/or graphic art).

Lead a discussion on why it is a good idea to use visuals to display
data. Possible responses may be:

= They offer variety in how to represent findings.

= Visual images help keep readers interested in otherwise dull
Factual data.

= They provide a method of reaching people at their level of
interest.

= It makes it easier to understand how the data applies to Head
Start-eligible families.

Distribute Handout 15: Gallery of Visuals. Review each type of
visual and ask for examples of other visual display techniques that
could be added.

Divide participants into at least three groups. Each group will make
a visual contrasting two categories of Head Start-cligible residents
in the service area for the Community Wellness Corporation
(CWC).

Explain the following directions, which already have been posted
on chart paper:

Using at least one visual technique, display data from the scenario
that shows these two contrasting populations:

1. A densely populated urban area and the risk factors associated
with this area’s Head Start-eligible families.

2. A rural population and the risk factors associated with this
area’s Head Start-eligible families.

Take Stock

63

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152



Module 1: Plan to Plan

Handout 1: Instructions for Observers

Directions:

Your role is to observe and record how the planning team and the implementing team perform their
assignments. You will observe the work process they follow and the group behavior of the team, Keep in
mind that the groups will be challenged by the fact that they are each working to complete a very difficult
activity. Your first task will be to observe the planning team. After the planning team completes their
assignment, your next task will be to observe the implementing team. Record your observation: on the
back of these instructions.

PLANNING TEAM

Work Process (observations about the activities/tasks they perform or should perform to complete the
assignment): These activities should include selecting a facilitator to lead the meeting, clarifying the
assignment, planning how to carry out the assignment, identityi , challenges to the assignment, suggesting
methods for writing clear instructions (to the extent possible), analyzing the clarity of the instructions they
write, and so on,

Group Behavior (observations about how the members of the team interact with each other): Examples of
behaviors that help a team function effectively are individuals encouraging members to participate, resolve
disagreements, notice group feelings, reduce tension, seek information or the opinions of others,
summarize suggestions, check decisions to see if others agree, and so on.

IMPLEMENTING TEAM

Work Process (observations about the activities/tasks they perform or should perform to complete the
assignment): These activities should include selecting a facilitator to lead the meeting, clarifying

the assignment, planning how to carry out the assignment, suggesting methods for writing clear instructions
(to the extent possible), analyzing the clarity of the instructions they write, and so on,

Group Behavior (observations about how the members of the team interact with each other): Examples of
behaviors that help a team function effectively are individuals encouraging members to participate, resolve
disagreements, notice group feelings, reduce tension, seck information or the opinions of others,
summarize suggestions, check decisions to see if others agree, and so on.

Plan to Plan 31

aw
wo



Module 2

Interpret and Analyze Data

Report Findings and
Discuss Process

Summarize

directions on Handout 16: Planning Team Roles, remind
participants that when they interpret and analyze the data, they
should focus on practicing the skills described for their assigned
roles.

Review the data in the scenario, discussing the distinction between
internal and external data (see Module 1, Background Information).

Determine the service area each team will study.

Explain that teams should allow at least 10 minutes for members

to silently reread Handout 13, specifically the Background
Information, the information on CWC, and the information on their
service area. After reading the scenario silently, individuals should
reflect on how to interpret the data. After working individually,
they can begin working on the task as a team.

Distribute Handout 17: Analyze and Identify Trends, and review

the instructions. Teams will answer questions about the service

area they selected. Ask them to record their responses on chart

paper. Give some examples of how to answer the questions on

Handout 17. Tell each group the chart paper with their comments

will be collected at the end of the activity. @

Ask each group to report on its findings.

After each presentation, ask:
=~ What process did you follow to analyze the data?

After all the teams report, discuss the following:

= What challenges did you encounter when analyzing data on the
Head Start-eligible children and families in the service area?
The community?

«= What challenges did you encounter when identifying trends?

= How did you handle the challenges?

Collect the chart paper with the responses prepared in Step 3.

Emphasize the importance of taking the time to do a thorough job
of interpreting and analyzing data. State:

66

4 Banning and Reviewing for “uccess


Module 3

Activity 3-3:
Writing
SMART
Objectives

Introduce Activity

articulate your reasoning for the goals to governing bodies and
policy groups.

Collect the chart paper displaying the goals from Step 7 so it can be
used in Activity 3-3: Writing SMART Objectives.

Purpose: Participants will practice writing SMART Objectives
by using the goals they developed in Activity 3-2.

Materials:
Handout 24: SMART Objectives
Chart paper listing goals from Activity 3-2, Step 7, Set Goals
Chart paper, markers, and tape

Trainer Preparation Notes:
Prepare chart paper as follows:

Staff will provide at least five activities for every family member
to assist them in stopping or reducing smoking by the end of the
operational year.

The Health Services Manager will negotiate an agreement with
the Health Department by November 5 of this year to provide a
series of training activities for parents and staff on techniques
they can use to stop smoking.

Family Advocates will encourage parents to consider smoke
cessation as one of the goals in their Family Partnership
Agreements (FPA) at the time of enrollment or during initiation
of the FPA.

The Child Development and Health Services Managers will
develop instructions on smoking hazards and include them in
the curricula for all classes. As part of this effort, a monthly
activity will be conducted in the classroom.

Home Visitors will include a discussion on smoking and its
relationship to upper respiratory problems both during one
home visit and during one foilowup in parent-center meetings.

1. Introduce the activity by stating participants will continue the
process of proposing directions by focusing on writing objectives.

Planning and Reviewing jor Success

lid:



Morlule 2: Take Stock

4. What information about the external environment should be included?

5. What information about the internal program environment should be included?

6. How should the data be presented?
(For example, consider how to format the data clearly and concisely, how to organize the
information, and how to use visuals. This information may be presented differently than the
data for initial decision-making.)

178

Planning and Reviewing for Success

179



Review

132



Module 1: Plan to Plan

e Handout 11: Planning Cycle Work Plan

FUNDING YEAR CYCLE

DATE FUNDING APPLICATION DUE TO REGIONAL OFFICE

CRITICAL TASKS DATE TO COMPLETE

Establish planning team

Establish/approve procedure for program
planning

Identify data to collect for CA

Develop action plan to collect data

Collect information for CA (performed by
planning team)

Complete CA Report
| Establish goals -

Establish objectives

Review administrative services (where
appropriate)

Complete self-assessment

Review and revise program options and
design

Develop proposed changes to budget

Review recommendations from
self-assessment and CA

Develop/revise content area plans

Review and approve proposal (performed
by Policy Council/Policy Committee and
governing body)

Plan to Plan 41



Module 3

Propose Directions and Adopt Plans

Outcc es After completing this module, participants will be able to:

= Use both the approved findings and the summary of issues and
concerns they have formulated from the community and program
assessment to develop goals and objectives that are responsive to
the community and the program.

= Write guidelines on how to create the ideal work team(s) to develop
a written plan.

= Develop part of a written plan.

= Identify the shared responsibilities of the Policy Council/Policy
Committee and governing body in adopting both program goals and
objectives and program area plan(s).

Key Concepts » Community goals should focus on changing conditions in the
service area; an agency proposes these goals in response to the
issues and concerns raised in the Community Assessment (CA).
Program goals should indicate outcomes, changes, and/or

é improvements in service delivery and agency operations. After the
governing body and Policy Council/Policy Committee approve the
community and program goals, a program makes a commitment to
meet them during the planning cycle.

= Work teams use the approved goals and other planning team
findings to formulate objectives and to develop integrated program
area plan(s) to use in implementing the Head Start Program
Performance Standards and other requirements

«The statement of program goals and objectives describes the issues
(priorities) from an agency’s CA and self-assessments that will be
given specific attention.

= The written, integrated program area plan(s) gives a description of
how the program proposes to implement the Head Start Program
Performance Standards and deliver services.

= The grantee Policy Council, the delegate Policy Committee, and
the governing body each play key roles in developing program
goals or setting directions and approving the program area plan(s).
They are the policymaking bodies responsible for shared
governance of the Head Start program.

Propose Directions and Adopt Plans 89

93



Introduction

Major Themes

reviewing procedures, The Next Steps activities encourage readers 10
use program data and activities to structure their learning experiences,
Although the Head Start community is diverse, «is Guide provides
general information on elements of planning and reviewing that is
relevant to all programs.

«  Plaming and reviewing is an ongoing process. The level of activity
will vary during the program year.

= Organizational systems and the community environment signi-
ficantly affect services to children and families. The planning
process interprets what the community offers and what families
need so that services can be developed accordingly.

= Head Start managers and program leaders need to develop an
integrated approach to the planning and reviewing process. They
need to select the methods, tools, and resources they will use
during the various stages in the process. In addition, they need to
determine how to interact with all the groups and key individuals
involved in the process.

= Aneffective planning and reviewing process inspires teamwork and
leads to informed decision-making within a Head Start program.
This process should include the governing body, Policy Council/
Policy Committee, staff, parents, and community partners.

= Programs can use the information they obtain to enhance the
quality of their services. By using this, programs are better able
to decide how Head Start can work with other agencies and
community partners to address the opportunities and challenges
confronting childven and families in the Head Start program.

Outcomes After completing this Guide, participants will be able to:
«Identify the steps involved in the planning and reviewing process.
= Identify the roles individuals and groups have in developing and
maintaining the Head Start planning and reviewing process.
= Develop and use skills that support effective planning and
reviewing activities.
= Apply the steps to developing products such as community and
program goals and objectives; plans for program areas, including
program curricula, activities, and events; funding applications;
recruitment and enrollment plans; program operating budgets and
introduction 3

12



Contents

Preface ..... ccs viii
Introduction «0.000006. 1
Overview 2... ee eens 1
PUYPCSE 6 ce eee . 1

Major Themes vere : . see 3
OUICOMES oe eee 3
Audience 6... eee 4
Performance Standards ..... sect eee 4
Organization... eee 5
Definition of Icons 2... 6. ee ee eee 7
AtA Glance 2... eee ee eee 8

Module 1: Plan to Plan .................. 13

OUICOMES oo eee 15
Key Concepts ........... : sees wee 1S
Background Information «00... eee 16
ACHVITES Co tenes 19
Activity 1-1: Planning Is a Team Effort ..... sees 1D
Activity 1-2: The Planning Cycle ...............0, 22
Activity 1-3: Implementing the Planning Process ...... 24
Activity 1-4: What Does Planning Mean in Head Start? .. 27
Next Steps: Ideas to Extend Practice ............424-. 29
Handouts 2... ee teens 31
Handout |: Instructions for Observers sees Bl
Handout 2: Instructions for Planning Team .......... 32
Handout 3: Instructions for Implementing Team 33
Handout 4: Planning and Reviewing Process . . 34

lantoPlan .........e. eee weve 35

Handout
Handout 6: Take Stock : 36
Handout 7: Propose Directions .. . . 37
Handout evelop and Adopt Plans 38
Handout 9: Review vee wees 39
Handout 10: Sample Planning Calendar ............ 40
Handout 11: Planning Cycle Work Plan ............ 41
Handout 12: Blank Planning Calendar ............. 42
Handout 13: Sample of Community Assessment
and Internal Data... 1.2. eee eee 43
Handout 14: Data Collection Worksheet ............ 53
Contents v
5



Continuing Professional Development

Conferences and Training

Self-Study Activities

The following activities can be used by Head Start staff throughout the
year to complement and build on the skills developed in this Guide.

TM Attend the Head Start National Research Conference for
researchers, practitioners, and policymakers. This conference
offers an opportunity to learn about updates on current research
and trends that affect Head Start-eligible children, their families,
and their communities. It is sponsored by the Head Start Bureau,
part of the U.S. Department of Health and Human Services,
Administration on Childrea and Families; and Columbia University
School of Public Health, Center for Population and Family Health.

= Enroll in a course to learn more about organizational planning,
analyzing data and making recommendations, and developing
operational plans. Contact the continuing education offices of
colleges or universities in your area to identify courses on these
topics. Many colleges and universities offer these courses as part of
a certificate or degree program, or through their continuing
education department.

TM Select a book from the Resources section of this Guide. Work with
a group of three or four other staff members and members of the
policymaking groups to review specific chapters. Assign reading
selections, and then hold a meeting for each group member to
discuss the information and strategies in their assigned chapter.
Prepare to present highlights during a staff meeting.

Follow the highlights presentation with a brainstorming session to
identify possible actions that will improve your program’s current
planning and reviewing process.

m To enhance inservice, preservice, or training meetings, contact
your local colleges or universities. Ask to speak with the
instructors who teach strategic planning. Invite an instructor to
facilitate a training session during one of your meetings to discuss
the critical points in planning for organizational success.

TM To increase your knowledge and understanding of goal setting and
planning, complete the reading and self-directed activities in the
book(s) below as an individual self-study training program.
Goals and Goal Setting: Planning to Succeed, by Larrie A.
Rouillard ($10.95). This book teaches the basics of goal setting.
The activities help readers work through all the steps involved in
the goal-setting process.

Continuing Professional Development

155

153



Module 1: Plan to Plan

Handout 8: Develop and Adopt Plans

By adopting goais and objectives, agency policy
ma’‘<ers identify key issues that influence other
processes and activities such as:

@ Recruitment

= Selection and enrollment
mw Site placement
& Program design and options

@ Priorities for expansion and collaboration

TM Priorities for developing and revising program
area plans

38 Planning and Reviewing for Success

46



Module 1: Plan to Plan/Module 2: Take Stock

‘Compile and

Instructions
1, Assemble all the internal and external data.

2. Categorize the data.

Examples of categories include: DEMOGRAPHICS (geographic location, population numbers,
eligible Head Start children and families, race and ethnicity, gender, ages of the population);
ENVIRONMENT (air and water quality, preservation of green space); HEALTH (medical care,
communicative disease statistics, causes of death from serious injuries, substance abuse and
related crime statistics); EDUCATION (high school graduation rates, literacy programs,
language proficiency, adult education); ECONOMY AND EMPLOYMENT (income and poverty
levels, employment statistics, economic growth, housing costs and availability, transportation,
public assistance rates, homelessness); COMMUNITY SERVICES (child care agencies, family
day care providers, collaborative agreements, other social service agencies); and COMMUNITY
SAFETY (issues involving crime, citizen involvement, domestic violence, child abuse, causes of
natural disasters, emergency preparedness); PROGRAM SERVICES (staff relationships,
strengths/challenges related to governance, human resources, classroom activities, staff and
parent relationships, community partnerships).

3. Develop visuals (charts, tables, graphs) to display the data.

Appendix 1 4 3 171



Module 2

Introduce Activity 1.

Lead Discussion 2.

Explain Card Sort Game 3.

= Create the second set of cards by labeling index cards
with examples of data that applies to each of the
categories. Examples of the data cards can include: age
of population, race and ethnicity, gender, air and water
quality, preservation of green space, high school
graduation rates, literacy programs, income and
poverty levels, housing costs, transportation,
employment statistics, child care agencies, family day
care providers, domestic violence levels, aud
emergency preparedness measures. Shuffle the cards.

Using the Background Information as a resource, explain the
importance of using aa outline to organize the information for a CA
Report. Emphasize that the outline helps ensure that all pertinent
information is included in the report and that the report is
organized clearly and logicaliy.

Explain that the method described in this activity is only a
suggested model. Also mention that programs must organize and
record information and include issues relevant to their Head Start
community.

Lead a discussion using the following questions:

» What is the purpose of developing an outline before writing the
CA Report?

= Who should be involved in this process?

= What categories or headings would you include in your outline?
Why?

= Whar might be the challenges in developing the outline? In
completing each section of the outline thoroughly? Why? How
can you manage these challenges?

Tell participants that they will receive two sets of cards. Explain
that the first set consists of eight cards; the eight cards represent
cight categories for arranging CA data (Demographics,
Environment, Health, Education, Economy and Employment,
Community Services, Community Safety, and Major Issues and
Trends).

72

Planning and Reviewing for Success

79



Handout 17: Analyze and Identify Trends

Instructions

1. Answer the questions below to identify the characteristics of Head Start-eligible children and
families and the community.

2. Identify trends and patterns that may affect Head Start now or in the future.
| Describe Head Start-Eligible Children and Families In Service Area

1. What are the characteristics of the Head Start children and families?
(age, race/ethnicity, household income and employment, poverty levels, housing and
homelessness, education level of adults, languages spoken in home, educational level
of family members, etc.)

2. What are their primary strengths?

3. What are the major challenges they face?

Take Stock



DOCUMENT RESUME

ED 436 245 PS 028 042

TITLE Planning and Reviewing for Success. Training Guides for the
Head Start Learning Community.

INSTITUTION Aspen Systems Corp., Rockville, MD.

SPONS AGENCY Administration for Children, Youth, and Families (DHHS),
Washington, DC. Head Start Bureau.

PUB DATE 1999-00-00

NOTE 190p.

CONTRACT 105-94-1582

AVAILABLE FROM U.S. Government Printing Office, Superintendent of
Documents, Mail Stop: SSOP, Washington, DC 20402-9328.

PUB TYPE Guides - Non-Classroom (055)
EDRS PRICE MFO1/PCC8 Plus Postage.
DESCRIPTORS Administration; Administrator Guides; Administrators;

*Planning; Preschool Education; Program Evaluation; *Self
Evaluation (Groups); Training
IDENTIFIERS *Project Head Start

ABSTRACT

This guide offers Head Start staff a blueprint for
developing the skills and methods necessary for a Head Start program's
planning and review process. The guide stresses the need for Head Start
administrative and managerial leadership to maintain a holistic, integrated
approach; use the strength and resources of Head Start team members; identify
the reasons for plans and decisions made by programs and identify their
multiple effects; review operations and program implementation for conformity
with proposed plans and regulatory requirements; and review the long-term
consequences of program decisions for Head Start participants. The guide
consists of four modules: (1) "Plan to Plan"; (2) "Take Stock"; (3) "Propose
Directions and Adopt Plans and (4) "Review Each module includes
"outcomes," "key concepts," and "background information." The guide includes
various formats for training: workshop activities, coaching activities, next
step activities for applying the skills to individual programs, and
continuing professional deve'opment activities. The final sections of the
guide contain an annotated list of 19 resources that trainers and
participants can use to expand their knowledge and an appendix containing
worksheets that can serve as guidelines when participants apply the
recommendations to their own programs. (EV)

Reproductions supplied by EDRS are the best that can be made
from the original document.



Module 3

Review Internal Data and Standards

Discuss Written Plans

2.

take the role of a member of a program area work team; their
task will be to develop a portion of a program area plan (written,
integrated plan) related to training and development.

Explain that they will now begin their first task—helping the
program create the ideal program area work team to develop an
effective staff training and development plan. Team members must
use internal data and the regulations in the Head Start Program
Performance Standards for Parts 1304.52, (k)(1)-(3) to develop
the plan.

Give participants 5 minutes to skim the internal data in the scenario
in Handout 13 to determine staff development issues for the
program described. For example, many teachers met only basic
requirements in early childhood development training, the program
did not have an effective orientation for new employees, there are
classroom management issues and issues involved in handling
children with special needs, and funds are not used extensively for
long-term skill development. Record responses on chart paper for
use in Session 2.

Distribute copies of the Head Start Program Performance
Standards for Parts 1394.52, (k)(1)-(3), and give participants 15
minutes to answer:

Based on the data in the scenario, what changes in the program's
area plan are needed?

Record responses on chart paper for use in Session 2.

Tell participants that before tiey develop guidelines for a program
area work team that in turn will develop a portion of a program
area plan on staff training and development, it is important to keep
in mind the purpose of the statement of program goals and
objectives and the program area plan(s).

Ask: What is the purpose of the statement of program goals and
objectives?

= Describes the issues (priorities) from an agency’s CA and self-
assessment that will be given specific attention.

@ Includes specific strategies and activities that indicate the
path(s. The agency will take to accomplish the objectives (and
ultimately, the goals).

110

1 1 4 Planning and Reviewing for Success



Module 4

Summary of Review System

responses to issues. Self-assessments enable programs to determine
where they are in relation to where they should be.

Available self-assessment tools include the Head Start Program
Performance Standards, each agency’s own plan for implementing the
Standards, and the instrument used to conduct the federal 3-year cycle
review. In addition, information learned in monitoring should be an
integral part of the self-assessment process.

Self-assessment also includes looking at the big picture that shows the
extent to which goals were met and the impact of services on children,
families, and the community at least every 3 years. When the annual
self-assessment is used to look at the impact of long-range 3-year
goals, a more indepth review and analysis may be needed. This part of
the self-assessment process attempts to determine:

= Did the agency’s efforts affect the concerns and issues that it chose
to address from the CA?

= Did the agency obtain the desired results and outcomes?

= Are the proposed outcomes, ‘for children and their families being
met?

In summary, a comparison of the two types of internal review activities
appears below:

Review Activities & Participants Timeframe
Procedure

1. Ongoing Conduct frequent review of identified As noted in
monitoring activities and items to determine if plan or
services/operations comply with federal agency
regulations and agency plans. Provide reports procedures
to managers and policymakers on progress
problems and proposed corrective actions,
Involves grantee and delegate staff.

2. Self-assessment — Measure agency accomplishments toward Annually
a. goals and achievement of outcomes for
children, strengths, and weaknesses to
determine how to improve plans and
services.

b. Conduct systematic and methodical revi.-v of | Every 3 years
the impact of agency activities on the client
population and on issues chosen from the
CA.

Both 2a and 2b involve parents, policy
groups, governing bodies, community
stakeholders, and staff.

Review

135

_ BEST COPY AVAILABLE 137



Plan to Plan

Module 1

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167

Appendix



This national training guide was developed by Aspen Systems Corporation, 2277 Research Boulevard,
Rockville, MD 20850 under contract number 105-94~1582 of the Head Start Bureau, Administration for
Children and Families, U.S. Department of Health and Human Services. 1999.

Photograph provided courtesy of the Montgomery County Community Action Board,
Montgomery County, Maryland.

4



Module 3

Discuss Effective Program
Area Work Teams

Develop Guidelines for
Program Area Work Teams

= Inciudes goals and objectives that indicate what needs to be
emphasized in the program area plan by explaining what makes
the program and its community unique.

Ask: What is the purpose of a program area plan?

= Describes an agency's approach to serving the needs of
children and families.

® Incorporates issues from the CA and from the statement of goals
and objectives that influence how services are delivered.

m Includes a description of recruitment and enrollment priorities;
staff, parent, and cammunity involvement activities; and other
services and systems that ensure effective and efficient
operations, including a system of governance.

= Reflects an integrated approach to delivering services since all
agency systems and procedures will be impacted.

Participants will now begin to write guidelines for a program
area work team that will develop a staff training and development
plan for the program in the scenario.

Discuss the answers to the following questions, aiready posted on
chart paper:

= What is the purpose of this work team?

= Based on the internal data and the HRM requirements of the
Standards, shat tasks do they need to perforin?

= What basic skills do team members need to perform these tasks?

= How can we get individuals who have creative and new ideas to
participate on this work team?

= How can we ensure that individuals representing all staff areas
are included on this work team? Why is this iinportant?

Divide participants into groups of up to seven individuals. Write
the following instructions on chart paper:

Develop guidelines for an ideal program area work team. The
team's objective is to develop a staff training and development plan
that addresses the issues in the internal data and describes how to

Propose Directions and Adopt Plans

11

115



Module 1

Introduce Activity

Identify Types of Data

Evaluate Suggested Data

Categorize the Data

Discuss How to Identify
and Collect Data

Explain that this activity focuses on collecting significant data for
the CA. Data is significant if it helps planning teams understand the
environment and make sound recommendations.

Ask participants to brainstorm (see rules below) about the types
of data that they believe should be included in a CA. (Use
Background Information as a reference.)

Rules for Brainstorming

The purpose of brainstorming is to consider a number of ideas

or options. The ideas are not evaluated until the brainstorming has
ended. Every idea gets listed on the chart, regardless of its feasibil-
ity or popularity. When the group does not have any more ideas,
end the brainstorming.

When all suggestions have been written on the chart paper, ask the
group to evaluate the suggestions. For each one, lead a discussion
based on the following:

= Is this data relevant?

= Does it help us to understand our environnient? Determine
recommendations ? If so, how?

Place a check next to the items that everyone agrees should be
included in a CA. Note items that the group does not think should
be included.

Categorize the data on the list. Examples of categories include
demographics, environment, health, education, economy and
employment, community services, and community safety.

Tell participants that they will now focus on collecting data.
Divide the participants into discussion groups. Assign each
group one or more categories of data and allow 20 minutes for
discu: .ion. Each group needs to determine internal and external
sources for the data, reasons the data will be usefu!, issues to
consider when collecting the data, and the tasks involved in
gathering the data. Post the following directions previously
prepared on chart paper:

1. Develop a list of sources where data about the program and the
corimunity can be obtained.

2. Explain why the data will be collected and how will be used.

26

Planning and Reviewing for Success

34



Module 3

an agency may choose to establish goals and objectives to emphasize
and focus on the changes that are needed in its program and/or
administrative operations. It should also be noted that other issues in
the CA may need to be addressed in the program area plan(s) even
though they are not chosen as priorities for setting goals and objectives.

The program area plan(s) describes an agency’s approach to serving
the needs of children and families; it incorporates issues from the CA
and from the statement of goals and objectives that influence how
services are delivered. The program area plan(s) includes a description
of recruitment and enrollment priorities; staff, parent, and community
involvement activities; and other services and systems that ensure
effective and efficient operations, including a system of governance.
This plan should reflect an integrated approach to delivering services
since all agency systems and procedures will be impacted.

The program area plan(s) may need to be updated only in the second
and third years of implementing the 3-year plan. If there have been
significant changes in the population to be served since the plan was
written or updated, major revisions or a new plan may be needed.

Local agencies may use different names for the team(s) that develop
and propose the written plans, such as project work team(s),
coordinated services team(s), or implementation team(s). When a work
team has been carefully selected so the members’ resources and
interests represent a cross-section of the program’s operations, the
team is able to develop plans using a broad array of skills and talent. In
addition, getting the buy-in from all staff is easier when their
representatives have had an opportunity to participate.

Throughout this process, everyone engaged in planning must remember
that no orranization or program can be all things to all people. There
are limits to resources, skills, and interes:

Although specific tasks are involved in proposing directions and
adopting plans, each team decides how to develop program goals and
objectives. In addition, each program determines the program options
and how other management systems and all service delivery systems
will be used to implement goals and objectives.

For example, the frequency of reporting to the governing body and
policy group may be different because the goals and objectives are
different from the prior period. Records kept to provide such reports
and information may be different from existing documents and the
frequency and type of reporting may need to change. Communication

Propose Directions and Adopt Plans

91



Module 2: Take Stock

Directions:

Handout 18: Questions to Consider in
Compiling and Analyzing CA Data

Answer these questions to help you compile and analyze the sample data in the CA

scenario.

Compile Data:

What data was collecied in each of the following categories?

Demographics: Geographic location, population numbers, Head Start-eligible children and

Environment:

Health:
Education:
Economy and

Employment:

Community
Services:

Community
Safety:

Internal Data:

Analyze the Data:

families, race and ethnicity, gender, ages.
Air and water quality, preservation of green space.

Statistics on medical care, commiunicable diseases, death from serious injuries,
substance abuse. reiated crime.

High school graduation rates, literacy programs, language proficiency, adults”
educational level

Income and poverty levels, economic growth, housing costs, transportation,
public assistance rates, homelessness, employment.

Social service agencies such as child care agencies. family day care providers,
collaborative agreements.

Issues such as crime, citizen involvement, domestic violence, child abuse, natural
disasters, emergency preparedness.

information on how services are delivered. This includes nuinan resource issues:
communications among the governing body, Policy Council/Policy Committee,
staff. and parents; program strengths; challenges faced by the program: and any
existing partnerships and the results of these partnerships.

J. What is its significance and impact?
2. What major issues and concerns can you identify?
3. What are the trends relevant to the Head Start-eligible population?
4. How can the management team use the information in the CA to plan quality improvement projects?
Take Stock 85

£0



Introduction

Definition of Icons

Coaching { 00 A training strategy that fosters the development of
skills through tailored instruction, demonstrations,
RA practice, and feedback. The activities are written for a
| & y coach to work closely with one to three participants.
| Workshop On, A facilitated group training strategy that fosters the
é BY development of skills through activities that build on
a 2 learning through group interaction. These activities are

written for up to twenty-five participants working in
small or large groups with one or two trainers.

Next Steps: Ideas to
Extend Practice

These are additional activities assigned by the trainer
immediately following the completion of the module
to help participants review key information, practice
skills, and examine their progress toward expected
outcomes of the module.

Continuing Professional
Development

These are follow-up activities for the program to
support continued staff development in the regular use
of the skills addressed in a particular Training Guide.
The activities include:

(1) Opportunities for the participant to continue
building on the skills learned in the training

(2) Ways to identify new skills and knowledge needed
to expand and/or complement these skills through
opportunities in such areas as higher education,
credentialing, or community educational programs

Introduction

16



Module 1: Plan to Plan

Attachment 1: Head Start Data for Current Year

Funded/enrolled

‘Ages served
Pregnant women.
0-11 mos.
12-23 mos.
24-36 mos.

3-4 yrs.

4-5 yrs.

Race/Ethnicity
Hispanic

African American
Caucasian

Asian American
Other

Female Heads of Households

Household Income
less than $15,000
$15,000-$34,999
$35,000-$49,999
$50,000-$74,999
More than $75,000

Employment
Employed
Unemployed
In Job-Training

Educational Levels
8th grade or less
9th-12th grade
High school diploma
Some college
Associate degree
Bachelor's degree
Graduate degree

Geogeaphic Distribution of Poverty

Urban Areas
Rural Areas

Early Head Start
120

20
40
30
30

Percent of Families
Below Poverty Level

43
37

Head Start
440

300
140

120

Percent of Total

County Population

34
66

BEST COPY AVAILABLE

Plan to Plan

an
o

51



Module 3: Propose Directions and Adopt Plans

WORKSHEET 14

Instructions

A goal is a broad statement that describes an end or an outcome we try to achieve. Goals help us
focus on reaching our destination and setting our direction for the future. In the Head Start planning
process, goals focus on changing and improving the major issues identified in the CA data. Consider
the example below.

Major Issue Twenty-five percent of the parents and guardians of the Head Start children
in our program are smokers. Second-hand smoke has been identified as a
major contributor to upper respiratory problems in children.

Goal Reduce the number of Head Start parents and guardians who smoke.
1. To determine program goals, begin by referring to the major issues and concems identified from

the internal and external data. List the major issues you identified and, if appropriate, the impact
of each issue.

pp

For each major issue, draft a goal.
3. Test the effectiveness of each goal by answering the following questions:

TM Does this goal help to clarify the direction and purpose of our program?

@ Is this goal future-oriented, yet practical enough to implement?

Is this goal appropriate for this organization—does it fit with our agency's history, mi
values, and the needs of children and families?

= To what extent does this goal raise standards of excellence and quality of services to children
and families?

TM Will this goal inspire and motivate all of our stakeholders: parents, staff, governing bodies,
Policy Councils/Policy Committees, and the community?

TM Does this goal reflect the unique issues and challenges present in our service area?

@ Is this goal ambitious enough? Or is this goal too ambitious to make a difference ina
reas nable time period?

‘ion,

4, Finalize the goal.
Major Issue:

Goal:

BEST COPY AVAILABLE

(Continue on back)

Appendix 183



Module 3

Shared Decision-Making

Annual Review of Goals
and Objectives

agency proposes to implement services in each of the program areas
covered in the Performance Standards.

Shared decision-making is a key element in the process of proposing
direction and adopting plans. The governing bedy and the Policy
Council/Policy Committee must actively participate in developing and
approving a program’s goals and objectives. They must also be
consulted when the program area plan is being developed.

The Policy Council/Policy Committee must approve the initial plans
and review and re-approve the plans on an annual basis. The proposed
direction and plans cannot be implemented without participation and
full agreement among the decision-making bodies. The Head Start
management team facilitates discussions between shared decision
makers and the Head Start community to ensure all stakeholders
support the plans.

Goals and objectives should be re. iewed after each CA and

annual program self-assessment to ensure the program goals remain
appropriate and the strategies being implemented are helping the
agency reach its goals. Revisiting these important decisions is part of
the proposing directions stage of planning. Later in this guide, the
discussion on ongoing monitoring and self-assessment presents a
clearer view of how assessment activities can be used to test the
validity of the goals and objectives.

In summary, proposing directions and adopting plans is a
comprehensive process that involves performing a gap analysis,
developing a vision, setting goals, writing specific objectives, and
writing work plans. Work plans assign responsibility and set timelines
for carrying out and monitoring the plan’s major strategies. Through-
out the process, a cross-section of program staff, the Policy Council/
Policy Committee, and the governing body play key roles.

When the plans are adopted, the next stage begins: implementing the
plans. Responsibilities as designated in the plans are assigned to
particular individuals or teams, and during implementation, designated
groups and individuals provide general oversight and ongoing
monitoring to ensure the implementation efforts are proceeding
smoothly.

98

Planning and Reviewing for Success

102



Module 3: Propose Directions and Adopt Plans

WORKSHEET 9 — : ~" Develop Guidelines for the ‘

& - «> Statement of Program Goals and Objectives

Instructions

Answer the questions below to develop guidelines for writing the statement of program goals and
objectives.

1. What are the issues from the CA and self-assessment that we have chosen to work on?

2. What are our goals (to address the issues)?

3. Who will work on them?

4. When will they be achieved?

Appendix 18]

182



Module 2

A category called Description of Service Area can include data

such as:

= The

population of Hamilton County is 389,000. It covers 4,250

square miles.

® More than 90 percent of residents reside in urban areas.

= Toui

rism, although seasonal, is a major industry.

The Demographics category might include:

= Inthe city of Lake Mathews (Area I):

Of 66,800 households, 16 percent are headed by single
women.

Caucasians are 49 percent of the population.
African Americans make up 22 percent of the population.

Hispanics are another 17 percent of the population,

a In the cities of Chevy Shores, Covington Corner, and Sheridan
Shores (Area II):

= IMA

Of 21,000 households, 13 percent are headed by single
women,

Caucasians are 61 percent of the population.
Hispani¢s make up 23 percent of the population.

rea HI, which includes the cities of Alliance, Ellery, and

North Pass:

Of 4,890 households, 10 percent are headed by single
women.

Caucasians are 73 percent of the population.

Hispanics make up 17 of the population.

74

8 1 Planning and Reviewing for Success



Module 1: Plan to Plan

a SEE

Handout 2: Instructions for Planning Team

Directions:

Your assignment is to describe how to reproduce the Lego structure. You may use only writren words (no
pictures, drawings. or images). Your written instructions will be the only directions that the implementing
team receives about how to reproduce the Lego structure.

When the implementing team is building the structure, you may not speak to any member of the team. In
addition, you may not use any hand gestures to show them how to reproduce the structure. Observe the
team, evaluating the effectiveness of your instructions and what they need to do (perhaps things you were
not able to communicate in your assignment) to make their task easier.

After the implementing team explains the structure that they built and the challenges they faced, you may
clarify the instructions that you wrote.

32 Planning and Reviewing for Success

40



Module 1; Plan to Plan

the city of Lake Mathews. Historically, the agency has divided its services into two major sectors: urban é
communities, including Lake Mathews; Chevy Shores, Covington Corner, and Sheridan Shores; and rural

areas, such as Cherry Creek, Clinton, Ellery, Harmony, North Pass, Patterson, South Grant, and Van

Derveer.

CWC Ilead Start

CWC has been the grantee for the Head Start program in the county for 6 years, CWC Head Start serves 560
children ages zero to five years. There are three child development centers currently operating in urban areas
and a countywide home-based program for rural families.

The Head Start funding cycle is September | to August 31. The grant application is due July 1. Information
about program services used in the refunding proposal is taken from the current year’s Head Start-Cunded
program. Refer to Attachment | for this information.

Although CWC operates its services primarily in two sectors, there are five recruiting areas that dissect the
county. The recruiting areas are based on similarities among communities and on CWC’s ability to plan and
provide services, In the future, we may need to reassess this structuring if expansion continues and additional
funding becomes available for both Head Start and child care services.

Recruiting Areas
Area I—City of Lake Mathews @

Because of its size, its 290,000 population, and its economic status relative to other communities in the county,
Lake Mathews is the largest and only single-city recruitment area. Of the total population, 24 percent live
below the federal poverty level. Unemployment stands at 9 percent. There are 66,800 households in the
community, with 16 percent of these headed by single women, Caucasians make up 49 percent of the
population, 22 percent are African American, 17 percent are Hispanic, 7 percent are Native American
(primarily former Green Ridge reservation residents), 2 percent are Asian American, and 3 percent are
identified as “other.”

Thirty-seven percent of the population below the poverty level are eighteen years of age or younger, and 20
percent are sixty-five ycars of age or older. Lake Mathews’ teen birth rate is 14.1 percent versus 10.2 percent
for the entire county. Last year, 35 of the 250 reported births were to mothers between the ages of fifteen and
eighteen,

With the largest population among the five recruitment areas, Lake Mathews also has the largest number of
service agencies. The county health department reports that immunizations for infants and young children in
Area I fell below expectations and that 5 percent of children entering school had not received basic
immunizations. Reports from doctors in the county indicate that otitis media (middle-ear infection) was the
most commonly reported ailment among children age zero to seven years; the next most frequent ailment was
upper respiratory illness.

There are 17,000 children age zero to seven in Lake Mathews. Approximately 2,800 of the 17,000 children are
eligible for Head Start or other subsidized child care and development services. @

44 Planning and Reviewi

03

ing for Suecess



Module 3

Review Data/Standard 4

Write Part of a Plan 5.
Discuss Plans 6.
Summarize 7.

staff in our program who smoke in one operational year. Discuss
the objectives, identifying the elements that make them SMART
Objectives.

Tell participants that their next task is to assume the role of a
member of a program area work team. This work team has been
assembled to write SMART Objectives for a staff development and
training plan for the program in the scenario in Handour 13.

Skim Handout 13 with participants to identify staff development
and training issues. Distribute and skim Section 1304.52 (k)(i)-(3)
of the Head Start Program Performance Standards to identify how
this section relates to the staff development needs of the scenario’s
program.

Explain that they are now ready to develop SMART Objectives for
a program area work plan.

Record the following questions on chart paper, stating that these
are to be considered/answered in the written plan:

= How are our services currently integrated?

= Should we move standards across service areas to better reflect
our system of services?

= Are there issues in the CA and self-assessment that should be
considered in developing our plan for services?

= Whar is to be done?

= How will it be done? What strategies will we use?

= Who will do it?

= When will it be done?

Distribute Handout 24: SMART Objectives, and Handout 25:
Guidelines for Developing a Written Program Area Plan for
participants to use in developing a portion of a written plan. Allow
30 minutes for this activity.

Ask each participant to explain the objectives they developed.

Conclude by summarizing the information that should be included
in a written plan.

Propose Directions and Adopt Plans

119



Module 1: Pian to Plan

d)

Five of nine elementary schools involved in our transition agreements have agreed to review the curriculum
for consistency and continuity. The four remaining schools will wait until this effort is completed before
making any commitments about integrating transii! the curriculum activities.

Educational Services

We have had some success in implementing the new curriculum in classrooms; however, there are still
gaps in how well science and health are integrated into all classes. Our mental health consultant states that
teachers’ observational skills have improved significantly, which allows more attention and time to deal
with issues. While many new staff identified classroom management as a training need, more seasoned
teachers have recommended techniques that address some of these issues.

Plan to Plan 49

08



Module 4

will a program know that Goal One above has been achieved? Did
the program ex: ind its services to all Head Start-eligible families
and children?

(Answers may include conduct telephone surveys, face-to-face
interviews, and surveys to determine the extent to which goals
have been achieved; analyze data to determine results that have
been achieved; compare results to conditions before strategies
were implemented to achieve goals; determine reasons goals
may not have been achieved, considering if original goals were
too abstract and if objectives [steps to achieve goal] were
completed successfully; interview individuals responsible for
completing objectives to determine reasons for their successes
and failures.)

Write /mpact? on chart paper.

Ask:

What techniques can be used to review the impact a program’s
services have had on the issues and concerns identified in the CA?
For example, referring to Goal One above, what was achieved by
meeting this goal? By serving all Head Start-eligible children, have
you better prepared them to enter first grade? By serving all Head
Start-eligible families, have you improved their economic situation?

(Answers may include comparing results of tests performed
when children entered the program to when they completed the
program to determine if they improved their vocabulary,
literacy, and social skills; determining the extent to which
families have become more economically and socially self-
sufficient; and comparing results achieved by Head Start
children to results achieved by children in other preschool
programs. For example, interview first-grade teachers and
principals of elementary schools attended by Head Start
children and children from other programs and obtain data on
results achieved in other preschool programs.)

Summarize 7. Referring to the Background Information on continuous
improvement, summarize the benefits of self-review.

Activity 4-2: Purpose: Participants will identify skills needed to conduct self-review

What Skills activities.
Do I Need?
Materials:
Chart paper, markers, and tape
142 Planning and Reviewing for Success

144



Module 1; Plan to Plan

Lake Mathews has three agencies, including CWC, that provide center-based child care and child development
services. The agencies and the numbers served are presented below:

cwe 300 ages 0-5
Early Learners. 167 ages 3-5
Play Days 120 ages 3-5

In addition, thirty family day care homes serve 145 children. Private, unsubsidized programs serve another 300
children.

Area IJ—Chevy Shores, Covington Corner, and Sheridan Shores

This arca represents the second largest recruitment area with a total population of 68,000. Although this area is
larger in size than Area I, it is much less densely populated. Of the total population, 19 percent live below the
federal poverty level. Unemployment stands at 13 percent. There are 21,000 households in this area with 13
percent of these headed by single women. Caucasians make up 61 percent of the population, 23 percent are
Hispanic, 9 percent are Asian American, 3 percent are Native American, 2 percent are African American, and
2 percent are identified as “other.”

Twenty-three percent of the persons whose income is below the poverty line are eighteen years of age or
younger and 25 percent of them are sixty-five years of age or older. There is a significantly iarger number of
elderly persons living on fixed incomes than in the county population as a whole. The teen birth rate is 14
percent. Thirteen of the 100 births reported last year were to mothers between the ages of fifteen and eighteen.

The County Health Department reports that immunization rates for infants and young children were higher than
those of Lake Mathews, but still fell below the full implementation level. Three percent of children entering
school had not received immunizations. The most frequently reported health problems among children zere to
seven years were asthma and other respiratory problems. Skin rashes, including eczema and psoriasis, were
also more common in this area than in any other in the county.

There are 2,000 children age zero to seven years in this area. Six hundred of the 2,000 children are eligible for
Head Start or other subsidized child care and development services. There are two other agencies providing
such services in the area, The number of children served by each is:

CWC 152. ages 3-5
Let's Play 100 ages 3-5
Early Learners 17 ages 3-5

Area II]—Alliance, Elery, and North P:

This is the least populated (15,000) recruitment area with many families living two to three miles from their
neighbors. Because of the isolation, we have concentrated on getting families in touch with services in the
county. In addition, we have attempted to have representatives from county offices and services available on a
rotating basis within each of the three towns at least once a month. We have used our vans to assist in this
service and have written agreements with each of the following:

Plan to Plan 45



Module 2

Next Steps:
Ideas to Extend
Practice

The following activities can help participants review key
information, practice skills, and assess their understanding of the
concepts in this module. The suggested ideas offer participants the
opportunity to practice the skilis developed in this module in their
own programs

= Encourage the oral tradition of gathering community data by
inviting elders or storytellers to talk about a significant facet or
phase of the community's history. A transcript of the oral
history could be included in the Background Information of the
CA Report to tell the community story and inform staff,
parents, and children about the community’s roots.

= Use computer techno!ngy to analyze and display data specific
to your program. Many agencies have software programs that
can create graphs, charts, and diagrams. Rc ier to Handout 15:
Gallery of Visuals for ideas on how to experiment with
technology to enhance the ways you analyze community and
program data. Have someone who is knowledgeable about
using spreadsheets or computer graphics prepare visual
displays.

Consider illustrating some of the following situations:

— The shift in Head Start-eligible population from one
residential area to another over the past several years.

— The increase in rates of a disease or other health condition
that affects children of eligible families.

— The ethnic cultures in the eligible population and the
number of families enrolled from each racial/ethnic group

— The increase or decrease in the number of adults who have
received their general equivalency diploma (GED),
obtained job training, or become employed with help from
Head Start.

= Worksheets found in the Appendix of this Guide have been
designed for members of your planning team or individuals
engaged in planning to use as a resource when performing each
step in the planning process. To apply the steps discussed in
Module 2 focused on taking stock of your program, use
Worksheet 4: Compile and Display Data, Worksheet 5: Analyze
and Identify Trends, Worksheet 6: Identify Major Issues and
Concerns, and Worksheet 7: Write a Report of Your Findings.

Take Stock

77

64



Module 3

Background Information The content of Modules | and 2 focuses on collecting and analyzing
data. In Module 3, the planning team uses the summary of issues and
concerns discussed in Module 2 to recommend goals and objectives. In
addition, this module focuses on developing written plan(s). It
emphasizes the key roles played by the grantee Policy Council, the
delegate Policy Committee, and the governing body in developing and
approving program goals and program area plan(s).

6

Overview of Process Setting goals, developing objectives. and writing an integrated program
area plan(s) are the key tasis in setting the direction for Head Start
programs. These tasks are tased on the Head Start Program
Performance Standards that refer to formulating multi-year, long-range
goals and short-term program and financial objectives. In addition, the
philosophy, vision/mission, and values of the Head Start agency and
program provide the foundation for the changes the agency needs to
make.

The planning tearn or other individuals involved in setting major
guidelines for the planning process are responsible for translating the
data from the community and program assessments into goals. They
begin by analyzing both external and internal data, then identify trends.
Next, they summarize the major issues and concerns facing their Head
Start program and the Head Start-eligible population. After the @
governing body and the Policy Council/Policy Committee adopt the
summary of issues and concerns developed by the planning team, the
team is ready to put that data and information to work. Their next step
is to formulate goals that will set the direction for the program for at
least the next 3 years. These goals are the bridges that connect the
community resources and needs with the children and families. They
set the stage for the more detailed description of how an agency will
implement activities to reach the goals and objectives.

Once goals and objectives are adopted, written plans need to be
developed or updated that describe (1) how objectives will be achieved
and (2) how the Head Start Program Performance Standards will be
implemented.

The statement of program goals and objectives describes the issues
(priorities) from an agency’s CA and self-assessment that will be given
specific attention. It includes specific strategies and activities that
indicate the path(s) the agency will take to accomplish the objectives
(and ultimately, the goals). The goals and objectives indicate what
needs to be emphasized in the program area plan(s) by explaining what
makes the program and its community unique.

When significant issues arise in implementing the Head Start Program
Performance Standards (and are identified during a self-assessment), e

90 Planning and Reviewing for Success

94



Module I: Plan to Plan

Handout 9: Review
Reviewing is:

The system an agency uses to look at its operations to
determine the extent of compliance, progress toward meeting
stated outcomes for children and families, and the impact of
its operations and services. It includes ongoing monitoring and
self-assessment.

= Ongoing monitoring refers to the frequent review of
activities and tasks to ensure that an agency is moving
toward accomplishing or maintaining its established
targets. The timeframe may vary from daily to weekly to
monthly to quarterly. Monitoring result: are key issues in
an agency’s reporting processes.

=  Self-assessment refers to the annuai process used to
review achievement of program goals and objectives,
performance standard implementation, and outcomes for
children and families. It also is the process used to
determine whether the program has had the desired
results and impact on the issues it chose to address during
the CA.

Plan to Plan 39

47



Module 4

1. Ongoing Monitoring

Monitoring refers to the Head Start Program Performance Standard
requirement that grantees have procedures for the ongoing monitoring
of operations. Monitoring requires frequent observations to ensure
that the operation is effectively implementing federal regulations and
the agency's own integrated written plan. It is not just a review of
records. Monitoring includes frequent reviews of different aspects of
program operations to make sure the program is moving toward its
objectives and goals.

Monitoring provides an opportunity to detect problems in implementing
the program’s written plans and an opportunity to alert managers when
corrective action is needed.

This process includes identifying the key elements (9 be monitored and
establishing the appropriate timeframes to review and collect
information, For example, the agency needs to monitor its enrollment
to ensure that (1) all slots are filled, (2) analysis of attendar
when it falls below 85 percent, and (3) vacancies are filled in a timely
manner. Enrollment may be monitored monthly, attendance weekly,
and the filling of vacancies biweekly. Other items and the timeframes
for their ongoing monitoring might include, for example:

= Health tracking process—mionthly monitoring to ensure that the
process tracks the initiation and completion of health services for
children. (Specific items may need to be monitored more frequently
by health staff—for example. during the first 3 months of the
program to meet 45- and 90-day requirements.)

= Health and safety status of each site—daily to ensure that dangers
to children and staff are avoided or corrected.

® Family partnership agreement development/tracking—montily to
ensure that each family that chooses to participate receives the
necessary support or followup.

= Community partnership agreements—quarterly or as needed given
the status of the agreement.

«Implementation of curriculum—ronthly classroom visits to observe
how the teaching staff is implementing the written curriculum,

The monitoring process for each of the above items may need to
include several levels in order to produce the information needed for
the agency’s reporting system. Service, delivery tracking for individual
children is one level. Another level of monitoring is determining
whether each site is providing appropriate services and analyzing

Review

133



Module 3

Handle Challenges

Give participants 5 minutes to review the chart and answer the
question.

Suggest that they underline key issues for each item on the chart.
For example, in Item (a) the key issue is “procedures for program
planning.”

Lead a discussion to identify the following responsibilities. Discuss
the importance of each one and the tasks involved in performing it.

® Procedures for program planning.

= Program's philosophy.

® Long- and short-range program goals.

TM Long- and short-range program objectives.

= Selecting delegate agencies and their service areas.

= Criteria for defining recruitment, selection, and enrollment
priorities.

= Funding application/amendments.

® Reimbursements to Policy Council/Committee/Parent
Committee.

= Annual self-assessment.

Explain that participants will now work in groups to answer two
questions (write the questions on chart paper):

=) What are the challenges associated with the planning
responsibilities of Head Start leaders? (Consider this question
from the perspective of staff leaders [Executive and Head Start
directors] and the Policy Council/Policy Committee and
governing body [board)).

= Whar strategies can be used to overcome these challenges?
Give an example of how to answer the questions by referring to the

first responsibility in Appendix A: 1. Planning (a) procedures for
program planning.

Propose Directions and Adopt Plans

HS

1i9



Module 3: Propose Directions and Adopt Plans

=

Handout 22: Guidelines for Setting Goals

A goal is a broad statement that describes an end or an outcome we try to achieve. Goals help us focus on

reaching our destination and setting our direction for the future. In the Head Start planning process, goals

focus on changing and improving the major issues identified in the CA data. Consider the example below.

Major Issue Twenty-five percent of the parents and guardians of the Head Start children in our

program are smokers. Secondhand smoke has been identified as a major
contributor to upper respiratory problems in children.

Goal Reduce the number of Head Start parents and guardians who smoke.

1. To determine program goals, begin by referring to the major issues and concerns identified from the
internal and external data. List the major issues you identified and, if appropriate, the impact of each
issue.

2. For each major issue, draft a goal.

3. Test the effectiveness of each goal by answering the following questions:
= Does this goai help to clarify the direction and purpose of our program?

= Is this goal future-oriented. yet practical encugh to implement?

= Is this goal appropriate for this organization—does it fit with our agency's history, mission, and
values as well as the needs of children and families?

= To what extent does this goal raise standards of excellence and quality of services to children and
families?

= Will this goal inspire and motivate all of our stakcholders: parents, staff. governing bodies, Policy
Councils/Policy Committees, and the community?

TM Does this goal reflect the unique issues and challenges present in our service area?

@ Is this
period?

al ambitious enough? Or is this goal too ambitious to make a difference in a reasonable time

4. Finalize the goal.

Propose Directions and Adopt Plans 12.

Dm

ee
tw
@



Module 4

Review

Outcomes

Key Concepts

After completing this module, participants will be able to:

Explain the importance of monitoring program operations and
assessing progress toward achieving program goals and objectives.

Identify skills needed to perform self-review activities.

Use techniques to monitor activities, make adjustments, and update
plans.

Develop strategies to involve governing bodies and Policy
Councils/Policy Committees in ongoing monitoring and self-
assessment activities.

Ongoing monitoring and self-assessment include systematic
comprehensive processes for observing, collecting, and analyzing
information used to determine a program's effectiveness.

Ongoing monitoring and self-assessment systems measure progress
toward meeting established objectives and achieving program
goals, These self-review processes should indicate whether the
agency’s program responds to the needs of the children and
families it serves, addresses the Head Start Program Performance
Standards, and achieves quality outcomes for children.

Sound monitoring and assessment procedures include responding to
changes occurring both within and outside the Head Start program.
Agencies continue to improve when both systems are well-
integrated into the planning process.

Governing bodies have oversight responsibility for their Head Start
programs. They must routinely be updated on a prograin’s progress
toward implementing plans and any changes needed to achieve
goals. Programs must consider a variety of approaches to keep the
Policy Council/Policy Committee and governing body fully
informed about progress toward meeting planned goals, objectives,
and outcomes.

Review

ee
aw
wo



Continuing Professional Development

Successful Strategic Planning, by Stephen G. Haines ($10.95).
This book helps individuals, teams, and organizations of all sizes
successfully put strategic planning into place. It starts by
identifying the final goal and focuses on activities to meet the
outcome,

To order these books, contact Crisp Publications, 1200 Hamilton
Court, Menlo Park, CA 94025-1427. Phone: 1-800-442-7477;
Web site: www.crisp-pub.com

Search the Internet for sites containing data that can be used in a

CA. Study these Web sites to learn how their information can be
used.

A partial list of such sites includes:

Bureau of Labor Statistics
www.bls.gov

Census Bureau
www.census. gov/datamap/www/ index.html

Census Bureau Statistical Briefs
www.census.gov/apsd/www/statbrief/

Children’s Defense Fund
www.childrensdefense.org/index.html

Economic Briefing Room
www.bea.doc.gov/briefrm/gdp.htm

Kids Count
www.aecf.org/aeckids. htm

Maternal and Child Health Bureau
www. bhs.gov/hrsa/mchb/

Please note that Internet addresses are subject to change at any

time. If you have difficulty reaching any of these addresses, a
search engine may help you find your way.

160

156

Planning and Reviewing for Success



Resources

Strategic Planning Articles

Web Sites

Wholey, Joseph S., cry P. Hatry and Kathryn E. Newcomer,
eds. Handbook of Practical Program Evaluation. San Francisco:
Jossey-Bass Publishers, 1994,

This 600-plus page handbook provides suggestions about evaluation for
policymakers and managers, and encourages the use of systematic
evaluation in a practical and useful way. Its twenty-five articles are
organized in four sections: Evaluation Design—Qualitative and
Quantitative Approaches; Practical Data Collection Procedures;
Practical Data Analysis; and Planning and Managing Evaluation for
Maximum Effectiveness.

Hinterhuber, Hans H, and Wolfgang Popp. “Are You « Strategist
or Just a Manager?” Harvard Business Review, Vol. 70, No. 1,
January-February 1992.

The authors suggest that answering the ten questions covered in the
article wil! yield a profile that indicates an individual's ability to
strategize. Questions address personal vision, philosophy, and
competitiveness, as well as your employer’s corporate structure and
values.

Mintzberg, Henry. “The Rise and Fall of Strategic Planning,”
Harvard Business Review, Vol. 72, No. 1, January-February 1994,

Mintzberg distinguishes between strategic planning and strategic
thinking, stating that planning is about analysis and strategy is about
synthesis. He argues that one of the pitfalls of planning is a lack of
commitment from management. He says the fallacies of strategic
planning are unreliable forecasting and predicting, the detachment of
planners from daily details, and the need for testing systems and
procedures. The article also discusses the roles of planners as strategy
finders, analysts, and catalysts.

Amherst H. Wilder Foundation
www. wilder.org/

The Amherst H. Wilder Foundation is an endowed health and human
service organization in St. Paul, Minnesota. The foundation's goal is to
provide health and human services to help children and families grow
strong, the elderly age with dignity, and the community grow in its
ability to meet its own needs. The Web site explains four programs that
focus on serving children and families: community social services;
early childhood development services; mental health and education:
and children's residential programs. The Web site also lists
publications that can assist agencies with planning.

160

Planning and Reviewing for Success

164



HEAD START® Ep

Planning and
Reviewing for Success

Training Guides for the Head
Start Learning Community

sms,
a US. DEPARTMENT OF HEALTH AND HUMAN SERVICES
g A ion for Children and Families
3 A non Children, Youth and Families
ny Head Start Buceau

“Naas



Module 4

Summarize

Session 2: Reviewing Is a Shared
Process

Introduce Activity

Discuss Improving Process

Give Examples to
Overcome Challenges

Summarize

Referring to the Background Information on continuous
improvement, summarize the benefits of the self-review process in’
Head Start.

Using the Background Information as a reference, discuss how the
Policy Council/Policy Committee and governing body share in the
review process.

Ask participants for examples of how to increase the roles these
groups play in reviewing activities. Record responses on chart
paper.

Discuss the benefits of each listed example. Next, discuss the
challenges involved in practicing these suggestions.

Ask participants to work independently to identify methods to
overcome the challenges. Discuss their responses.

Conclude by emphasizing the importance of including the Policy
Council/Policy Committee and governing body in reviewing,
noting the following:

= Reviewing is a shared process.

= Although the actual tasks related to reviewing typically are
performed by program staff, the Policy Council/Policy
Committee and governing body also participate in making the
required policy decisions.

= Because governing bodies are responsible for overseeing the
success of a program, they must receive routine updates on
progress made toward implementing plans.

Review

149



Module 3

Write SMART Objectives 3.

Discuss SMART Objectives 4,

Summarize 5.

Activity 3-4:
Creating Work
Teams and

a Written
Program Area Plan

member to assist them to stop or reduce smoking) and when it will
be done (by the end of the operational year). The activities and
strategies, additional SMART Objectives, give more details. They
describe four specific, measurable, action-oriented, timebound
activities/strategies stating when cach task will be completed (for
example, November 5 of this year, time of enrollment, monthly);
how it will be done; and who will be responsible for doing it
(Health Services Manager, Family Advocates, Child Development
and Health Services Managers, Home Visitors). Before these
objectives are carried out, teams need to determine how realistic
they are and obtain the necessary approval to proceed.

The second and third strategies have an impact on the program area
plan(s) and indicate changes that may need to be made.

Post the goals that participants developed in Activity 3-2. Review
them and distinguish broad goals from specific objectives that may
be on the lists. Explain that they will work in groups of up to seven
individuals to write SMART Objectives (one broad objective and
additional SMART Objectives that identify strategies and action
steps) to achieve one of the goals on the list. They should record
their objectives on chart paper. Divide goals among the groups.
Distribute Handout 24: SMART Objectives for participants to use as
a reference. Allow 20 minutes for this activity.

Ask each group to explain their SMART Objectives and identify
each element. At the end of the presentations, discuss the role the
Policy Council/Policy Committee and governing body have in
developing and approving program objectives.

Conclude by discussing the importance of developing SMART
Objectives. Emphasize that when several logical, sequential, short-
term objectives are developed for a goal, the task of developing a
responsive plan is more likely to be completed. Remind the group
that the goals and objectives will be used in revising their program
area plan(s).

Purpose: In Session 1, participants will identify guidelines
for creating the ideal work teams. In Session 2, participants will
develop part of a written plan for staff training and development.

108

Planning and Reviewing for Success

lie



Module 2

Introduce Activity

Work on a Planning Team

Trainer Preparation Note:

Review Handout 13: Sample of Community Assessment and
Internal Data and answer the questions on Handout 17:
Analyze and Identify Trends, for each service area before
delivering the training on this activity.

1. State that the reasons for doing a CA are to gain information about
the community’s resources and assets and to find out what re-
sources and services are needed by Head Start-eligible families
in the service area. Remind participants that they have already
reviewed the CA process relative to determining what information
to collect, collecting the information, and compiling and displaying
the information.

Explain that this activity continues the CA process by focusing on
interpreting and analyzing data. Participants will analyze the data
from Handout 13’s scenario to make connections between what the
community and program offer and what Head Start-eligible child-
ren and families need. In Activity 2-3, they will continue the
analysis process and translate their findings into major issues and
concerns.

2. Tell participants they will each take a role as a member of a
planning team. Divide participants into three groups of four, with
each group representing a planning team (If there are more than
four participants per group, additional participants may be assigned
to planning teams as observers; if there are fewer than four
individuals for each group, some participants can take more than
one role.)

Distribute Handour 16: Planning Team Roles, and tell participants
to read the role descriptions. Note that ideally, all members of a
planning team assume many of the roles described in Handout 16;
however, in reality, members typically have skills in only a few
areas. For this activity, participants select a role they want to
practice, perhaps one that they do not normally assume. Review the
descriptions and note the tasks for this activity. Give participants
time to reflect on playing the role they selected

Tell each group that its task is to analyze the data in Haridout 13:
Sample of Community Assessment and internal Data. Each team
must select one of three areas in the scenario (Area I, Area II, or
Atea III) so that all service areas are covered. Referring to the

Take Stock

65



Module 1: Plan to Plan

The similarities of responses from families across our recruitment areas were startling. Of the 290 responses:

Fifty-one percent (148) felt concerned about children’s health issues. Of the 148 who listed this as a
concern, 63 percent had a smoker in the household.

Sixty percent (174) were seriously concerned about the frequency of ear infections for at least one of their
children.

Thirty-five percent (102) wanted assistance in finding work or improving their current level of
employment.

Ten percent (29) were parents aged 18 or below.

Results of Our Annual Self-Assessment

Results of the annual self-assessment conducted in February indicated the following:

(a)

(b

(c)

Governance

Although Policy Council and board procedures require consistent reporting on agency progress, there was
little followup at subsequent meeti:gs on problems identified as needing correction. Communication
between the Policy Council and board is inconsistent and often focuses on social activities rather than
policy issues.

The Policy Council experienced a 27-percent turnover in its first 4 months of existence, which created
problems in consistency and continuity. The Policy Council did not gel until its sixth month of operation.

Administration/Human Resources

Because of rapid expansion, many Head Start teachers have met only basic requirements in early childhood
development training. Areas most frequently cited as problems for staff include classroom management and
handling children with special needs or behavioral problems.

Review of training funds expenditures indicates that most funds were used for one-time events and little
was used for long-term skill development. We also found that new employees had not received enough
information about Head Start, the activities of our agency, and basic internal procedures.

Community Partnerships

Of seven Community Partnership agreements entered into last year, six are functioning exceptionally well.
However, one, with the health department, needs to be revised because of the new Child Health Insurance
Program (CHIP). We originally agreed that the health department would serve all children with no third-
party coverage. Now that all of those children are eligible for coverage under CHIP, the department is
changing the services it provides.

48

Planning and Reviewing for Success



WORKSHEET 11°

Instructions

Discuss the answers to the questions below. You may want to use brainstorming techniques as you
initially consider each question. After brainstorming multiple responses, decide on the responses you
want to carry out.

. What is the purpose of this work team?

2. What tasks will this team need to perform?

3. What skills are required to perform these tasks?

4. Based on the tasks and skills identified above, who should be on the work team?
Remember that individuals representing all staff should be on the work team.

5. What can we do to motivate the individuals we identify to participate on the work team?

Appendix



Module 3

Introduce Activity

Explain Gap Analysis

Where Are We Now?

Where Do We Want to Be?

= Ser standards of excellence and quality of services for
children and families.

«Clarify the direction and outcomes the prograni wants
to achieve

= Inspire and motivate all stakeholders: parents, staff,
governing bodies, and the community.

«Reflect the unique issues and challenges present in the
Head Start service area.

«Are ambitious but not excessively so, and can make a
difference in a reasonable length of time.
—————

1. Explain that participants will continue to use the sample scenario,

Handout 13, while practicing setting goals, Review the process the
participants followed in Module 2 to use the data to identify major
ues and concerns, Post the chart paper listing the major
and concerns they recorded in Activity 2-3: Identifving Major
Issues and Concerns, and discuss them,

‘Tell participants that they are now going to use the data from the
scenario to perform a gap analysis. Using the Background
Information, explain the importance of a gap analysis.

3. Record the following question on chart paper:

m= Where are we now?
Give participants 10 minutes to skim Handout 13.

Lead a brainstorming session to answer the question and record
responses.

4. Write the next question in the gap analysis on chart paper:

=) Where do we want to be? What is our vision?

Review Burt Nanus’ characteristics of visions. Lead a
brainstorming session to answer this question and record responses.

Propose Directions and Adopt Plans

103



= Everyone needs to understand how and why the planning team
came up with its findings and recommendations.

= Members of implementing teams need the oppurtunity t >
communicate with the planning team to clarify work :hey need
to do.

® Planners should be aware of the anxieties of those who must
carry out the plan. When implementers are not included in the
planning process, the results may be compromised due to lack
of adequate communication, understanding of the plan's goals,
or hostility from those not included in the planning.

= Members of the planning team and implementing teams are
more effective when they pay attention to how they interact, how
they divide the work tasks, and how they perform the work
tasks.

= Effective leaders can play a key role in the planning and
reviewing process when they promote it and continuously review
results.

Activity 1-2:
The Planning
Cycle

Purpose: Participants will identify and describe the steps in the
planning and review process.

Materials:
Handout 4: Planning and Reviewing Process
The following handouts can be used as transparencies:
Handout 5: Plan to Plan
Handout 6: Take Stock
Handout 7: Propose Directions
Handout 8: Develop and Adopt Plans
Handout 9: Review
Chart paper, markers, and tape

40 @

22 Planning and Reviewing for Success



Module 1

Propose Directions

reviews past, present, and future situations. Programs are required to
assess the strengths, needs, and resources of their communities at least
once every 3 years and update this information in the 2 intervening
years. Federal regulations (45 CFR Part 1305.3) specify the types of
information that need to be collected related to the grantees’ service
area. In general, programs need to:

* Collect demographic data about the eligible population in the
service area.

= Look for any special health, education, social service, or
nutritional needs.

= Specify the geographic distribution of eligible families in the
service area.

= Conduct a study of resources in the community that could—or
currently do—address some needs of Head Start and low-income
families.

= Identify other child development and child care programs serving
Head Start-eligibie children and the approximate number served by

each program. @

In addition to the CA data, programs also analyze their own opera-
tions by reviewing and comparing inforination from the Program
Information Report (PIR), ongoing monitoring and self-assessment
data, and federal monitoring reports. The most critical part of this
phase is analyzing the external data along with that produced by the
agency's internal sources to determine the trends and issues that exist
in the community (service area). Programs consider how this informa-
tion is related to existing plans. An agency that fails to interpret its
community information correctly may commit to directions (goals,
objectives, and plans) that do not respond to the most serious needs of
families. At this stage grantees with delegates need to make initial
decisions about delegate agencies’ allocations, based on preliminary
information about eligible children within the boundaries of the
grantees’ and each delegate’s service area.

In the third step, Propose Directions, programs formulate goals and
program and fiscal objectives that address the CA findings. The
program’s direction must be consistent with the mission of both Head
Start and the grantee. In addition, proposed goals and objectives should
reflect findings from the program’s annual self-assessment and other
internal data.

Planning and Reviewing for Success

26



Module 3

Define SMART Objectives

Ask participants to explain the difference between goals and
objectives, emphasizing that goals are broader than objectives.

Write the following goal on chart paper, telling them to assume that
a planning team wrote it after analyzing CA and program
assessment data and identifying major issues and concerns.

Reduce the exposure of children to secondhand smoke.

Referring to the Background Information, explain the meaning of
SMART Objectives.

Discuss the SMART Objectives posted on chart paper.

Broad SMART Objective:

Staff will provide at least five activities for each family member to
assist them in stopping or reducing smoking by the end of the
operational year.

Activities and Strategies (Additional SMART Objectives)

= The Health Services Manager will negotiate an agreement with
the Health Department by November 5 of this year to provide a
series of training activities for parents and staff on techniques
they can use to stop smoking.

=) Family Advocates will encourage parents to consider smoke
cessation as one of their goals in their Family Partnership
Agreements (FPA) at the time of enrollment or during initiation
of the FPA.

= The Child Development and Health Services Managers will
develop instructions on smoking hazards and include them in
the curricula for all classes. As part of this effort, a monthly
activity will be conducted in the classroom.

= Home Visitors will include a discussion on smoking and its
relationship to upper respiratory problems both during one
home visit and during one followup in parent-center meetings.

Ask participants to explain the extent to which the objectives are
SMART Objectives: specific, measurable, action-oriented,
realistic, and timebound.

The broad objective has elements of a SMART Objective: it states
what is to be done (provide at least five activities for each family

Propose Directions and Adopt Plans

107



Module 2: Take Stock

WORKSHEET:

Instructions

1. Answer the questions below to identify the characteristics of Head Start children and families,
the program, and the community.

2. Identify trends and patterns that may affect He. d Start now or in the future.
Describe Head Start-Eligible Children and Families

1, What are the characteristics of Head Start children and families?
(age, race/ethnicity, household income and employment, poverty levels, housing and
homelessness, education level of adults, languages spoken in home, educational level
of family members)

2. What are their primary strengths?

3. What are the major challenges they face?

Describe the Program

1. What are the primary strengths?

2. What challenges need to be overcome?

Appendix 173

174



Module 2: Take Stock

3. Have we already identified resources that will help us to address these major issues
and concerns?

4. How can our program deal with these major issues and concerns?

176 Planning and Reviewing for Success



Module 3: Propose Directions and Adopt Plans

Perform a Gap Analy

Te Planning and Reviewing for Success

181



Module 1

The Worksheets in the Appendix have been designed to guide you
in performing each step in the planning process in your program.
To apply the steps discussed in Module 1, use Worksheet 1,
Organize the Planning and Reviewing Process; Worksheet 2,
Prepare to Collect Data; Worksheet 3, Develop a Data Collection
Action Plan; and Worksheet 4, Compile and Display the Data.

ww
~

30

Planning and Reviewing for Success



Module 3: Propose Directions and Adopt Plans

Instructions

Goals focus our attention on the end result—what we want to accomplish. Objectives are the steps we
take to achieve our goals. Objectives should be specific, measurable, action-oriented, realistic. and
timebound (SMART). The following example demonstrates the difference between a broad goal and
one SMART Objective, including strategies/action steps, for achieving the goal:

Goul

Objective

Reduce the number of Head Start parents and guardians who smoke.

Staff will provide at least five activities for every family to assist them in stopping or

reducing smoking by the end of the operational year.

Strategies/Action Steps

Timeframe

Individual(s)
Responsible

Adopt an agreement with the health
department to provide training for parents
and staff on how to stop smoking.

June of this year.

Health Services
Manager.

Conduct training to ensure that staff
understand the “modeling behavioral"
benefits of a no smoking policy.

August preservice, once
each month at core staff
meetings.

All Managers

Develop/distribute simple handouts and
pamphlet about Smoke Reduction
Campaign.

Monthly pamphlet to send
home, monthly newsletter.

Training Coordinator,
Teachers, Family Service
Workers.

Provide one-on-one counseling to family
members of children with upper respiratory
illnesses on ways to reduce children’s
exposure to secondhand smoke.

Discussion at parent-center
meetings in October through
December, teacher home
visits/parent meetings.

Family Services Manager,
Education Manager,
Site Director.

Test the effectiveness of each objective you write:

* Is it specific? Is it focused? Does it contain enough information so everyone knows exactly what

is to be accomplished?

+ Is it measurable? Does it provide a standard for comparison for each strategy?

* Is it action-oriented? Does it name the strategies/action steps to be performed?

© Isit realistic

? Is it practical? Are the action steps possible to achieve?

¢ Is it timebound? Does it contain deadlines?

(Continued on back)

Appendix

189

——



Module 3

Introduce Activity

Discuss Goals and Objectives

Discuss SMART Objectives

Family Advocates will encourage parents to consider smoke
cessation as one of their goals in their Family Partnership
Agreements (FPA) at the time of enrollment or during initiation
of the FPA.

The Child Development and Fleatth Services Managers will
develop instructions on smoking hazards and include them in
the curricula for all classes, As part of this effort, a monthly
activity will be conducted in the classroom.

Home Visitors will include a discussion on smoking and its
relationship to upper respiratory problems both during one
home visit and during one followup in parent-center meetings.

Tell participants that the purpose of this activity is to determine the
content for part of a written program area plan that supports the
training and development requirements of the Head Start Program
Performance Standards. They will write objectives for the plan.

Using the Background Information as a reference, discuss the
difference between goals and objectives, emphasizing that goals are
broader than objectives. Explain that goals may take several years
to achieve, but many objectives can be accomplished in an
operational year,

Write the following goal on chart paper, telling participants to
assume that a planning teain wrote this goal after analyzing CA and
program assessment data and identifying major issues and
concerns.

Reduce the number of Head Start staff and parents who smoke.

Referring to the Background Information, explain the meaning of
SMART Objectives.

Discuss the broad SMART Objective posted on chart paper, asking
participaats to explain the extent that it is specific, measurable,
action-oriented, realistic, and timebound.

Staff will provide at least five activities for every family member to
assist them in stopping or reducing smoking by the end of the
operational year.

Propose Directions and Adopt Plans

117



Module 4

Identify Monitoring Techniques

Discuss Monitoring Techniques

Discuss Self-Assessments

Objectives for meeting the goal. Explain that the exercise is
designed to help participants develop ways to integrate and monitor
the objectives written in plans with the ongoing operations of a

program. Review Part I of Handout 26.

Referring to the Background Information in Module 3, review
SMART Objectives. Review the elements for each objective on the
handout (strategies/action steps, individuals responsible,
timeframe).

Review Part II of Handout 26. Explain that each group is to list
methods for monitoring each SMART Objective. State that many of
the objectives lend themselves to using multiple self-review
techniques. Tell each group they have 20 minutes to generate as
many monitoring techniques as possible. To assist them in their
task, distribute hats, badges, or signs labeled Monitoring Maven
(maven means expert) for all participants to wear.

Ask groups to explain the techniques they identified to monitor
each strategy.

Conclude the discussion with the following:

® Internal monitoring is an ongoing process, which looks ata
program’s progress in meeting the specific steps toward
implementing plans and accomplishing objectives and goals.

= Ongoing monitoring includes choosing activities to look at
Frequently that give a good indication that agency systems,
procedures, and services are on target.

= Grantees and delegate agencies can use ongoing monitoring as
an opportunity to build cooperative relationships between
grantee and delegate agency staff by:

— Communicating often about the results of monitoring.
— Exchanging ideas about planned improvements.

Write Annual Self-Assessments on the chart paper. Referring to the
Background Information, discuss the importance of self-assessment
in Head Start.

Emphasize that each grantee and delegate must establish its own
self-assessment process. State that you will write suggested steps to
follow for a self-assessment process on the chart paper. Tell
participants that these suggestions were taken from the guidance

140

Planning and Reviewing for Success

142



Module 4; Review

‘WORKSHEET 14 Plan to Review

Instructions

Answer the questions below to help you plan how to review the progress your program is making
towards meeting your goals and objectives.

1. What techniques/strategies shoul:! we use to review the progress we are making in
meeting our objectives? How should we use the measurement standards in the
objectives to determine whether, or to what extent, the objectives have been achieved?

2. Who should be involved in the review process? (Consider how to involve managers and
supervisors, staff, parents, the policy group, the community, and governing body.)

3. How should we use our findings?

BEST COPY AVAILABLE

Appendix 191

190



Module 2

Take Stock

Outcomes

Key Concepts

After completing this module, participants will be able to:

Identify ways to categorize and display data collected for the
Community Assessment (CA) clearly and accurately.

Analyze both internal and external data to identify trends and major
issues relevant to the Head Start-eligible population.

Prepare an outline for a CA Report that serves as an effective
source of facts for making decisions.

It is easier to interpret information when data is displayed clearly
and accurately. Use a variety of visuals—such as pie charts, bar
charts, tables, graphs, maps, and diagrams—to show how different
aspects of the information relate to each other. These techniques
help the CA to be an effective resource for interpreting
information.

If the planning team analyzes the data thoroughly, team members
are more likely to understand its implications and make meaningful
recommendations on program development and operations.

The planning team needs to be able to interpret and analyze
demographic data, quality-of-life indicators, and the geographic
area that the Head Start program serves. This includes using
information from the Program Information Report (PIR),
enrollment and monthly status information, profiles of children and
families currently served, existing program options, and
information about current services.

A well-written CA Report is an important decision-making tool. It
should be written for a variety of audiences and contain visual aids
that clarify its information.

Take Stock

57

64



Module 3

Activity 3-5:
Shared
Decision-Making

Introduce Activity

Discuss Responsibilities

Purpose: Participants will describe the responsibilities of the
governing body, Policy Council/Policy Committee, and the grantee
or delegate management staff in shared decision-making. in addition,
they will identify associated challenges and strategies to overcome
these challenges.

Materials
Copies of Head Start Program Regulations and Program Guidance
for Parts 1304 and 1308, 1304.50, Appendix A: Governance
and Management Responsibilities, p. 175 on planning and p.
177, Key and Definitions as Used in Chart.

Trainer Preparation Notes:

To ensure that you understand the Head Start Program
Performance Standards on program governance and how to
apply these standards, read the section Head Start Program
Regulations and Program Guidance, from Subpart D-Program
Design and Management, Program Governance, 1304.50, pp.
158-177 (from the Head Start Publication Centers). When
reviewing 1304.50 Appendix A: Governance and Management
Responsibilities, tell participants that the chart does not contain
all the Standards.

1. Tell participants that Head Start regulations require the
involvement of the governing body and Policy Council/Policy
Committee in decision-making about critical policy issues. The
purpose of this activity is to discuss the responsibilities of these
groups in the planning process, identify the challenges they face,
and suggest activities to overcome the challenges.

2. Distribute copies of Head Start Program Regulations and Program

Guidance for Part 1304.50 on planning, p. 175, Appendix A:
Governance and Management Responsibilities, and p. 177, Key
and Definitions as Used in Chart. Explain the chart, reviewing the
meaning for the letters A, B, C, and D. Write the following
question on chart paper, telling participants they will review the
responsibilities listed on the chart to answer this question:

What are the responsibilities of the governing body, Policy
Council/Policy Committee, and Executive director in the shared
decision-making part of the Head Start planning process?

114

Planning and Reviewing for Success

118



Module 2

Data in the Economy and Employment category might include:

«In Early Head start, 40 families out of 120 participating are
employed, in Head Start, 300 families out of 440 enrolled are
employed.

«In Early Head Start, fifty families receive job training; in Head
Start, forty families receive job training.

® = The geographic distribution for Early Head Start families below
the poverty level in urban areas is 43 percent. The distribution
in rural areas is 57 percent.

CWC information for the Education category might include:

= The number of households in Early Head Start that have
individuals who received a high school diploma is 80; the
number in Head Start is 170.

= Ten Early Head Start households and 130 Head Start
households include individuals who have educational levels

benveen ninth and twelfth grades.

The category on Major Issues and Trends could include the
following data:

= Unemployment is largely seasonal.

= A lack of public transportation prevents adults who do not have
their own means of transportation from obtaining jobs that
require them to travel.

Instruct participants to complete the handout on their own.

Discuss Outline 7. Discuss their outline by using the following questions:

= How would you evaluate your outline? What are its strong
points? What information was missing from the sample CA
data? How did this missing information prevent you from
making the outline more effective? From writing a
comprehensive outline?

«Are there categories on Handout 18 that were not relevant to
the CWC service area?

Take Stock 75



Module J

Surimarize

Activity 1-3:
Implementing

the Planning
Process

Session 1: The Work Plan

Introduce Activity

Discuss Planning Calendar

Discuss Timing of Tasks

4. Conclude the activity by summarizing the process. Distribute
Handout 4: Planning and Reviewing Process.

Purpose: This activity, divided into two sessions, gives participants
an opportunity to relate the steps in planning activities to a Head
Start program’s planning cycle. In Session /, participants develop a
work plan that identifies milestones to achieve in this process. In
Session 2, participants consider the significance for the planning
process of data and issues related to obtaining . 31.

Materials:
Handout 4: Planning and Reviewing Process
Handout 10: Sample Planning Calendar
Handout 11; Planning Cycle Work Plan
Handout 12: Blank Planning Calendar

1. Review the essential tasks of the planning and reviewing process.
Explain that in this activity participants will have the opportunity to
relate these planning activities directly to a Head Start program's
planning cycle.

2. Distribute Handout 10: Sample Planning Calendar, reviewing the
major activities of the governing body, Policy Council/Policy
Committee, and program staff. Ask participants to comment on
how these activities are carried out in their programs. Point out
that—depending on their funding cycle--they may need to adjust
the timeframes. For grantees with delegates, a two-tiered process
may be needed that requires the grantee to determine the grantee’s
overall process, describe how each delegate’s process must relate
to the grantees’ process, and set timelines that both agencies can
meet.

3. Ask the following questions to encourage thinking about the timing
of planning tasks. (There are no absolute answers; it is more
important for participants to see the relationship of the tasks to the
planning process.)

= How many months in advance of the funding application due
date should the CA be completed? If the grantee has delegates,
what portion of the assessment will be done by each delegate?

= Should program goals and objectives be established before or
after the CA is completed? Why?

= Where do the program area goals and objectives come from?

24

Planning and Reviewing for Success

32



Module 3

SMART Objectives are specific, meaning detailed, particular, and
focused. An objective is specific if everyone knows exactly what is to
be achieved. Ask whether it specifies:

What is to be done?

When is it to be done?

How will it be done (strategy)?
Who will do it?

When will it be done?

SMART Objectives are measurable. A measurable objective provides a
standard for comparison. It uses words like increase, reduce, decrease,
or lower and uses percentages or numbers to quantify change.

SMART Objectives are action-oriented. They inciude strategies for
how to achieve the objective.

SMART Objectives are realistic. They are neither out of reach nor
below standard performance. They make sense and are practical.

SMART Objectives are timebound. Deadlines encourage individuals to
complete their tasks. A deadline helps organize what needs to happen,
when it should happen, and who is responsible.

For example, assume a program’s goal is to:
Reduce the exposure of children to secondhand smoke.

A broad SMART Objective for achieving this goal is:

Staff will provide at least jive activities for every family member to
assist them in stopping or reducing smoking by the end of the
operational year.

Activities and strategies for achieving the broad SMART Objective
might include additional SMART Objectives with specific details:

The Health Services Manager wiil negotiate an agreement with the
Health Department by November 5 of this year to provide a series of
training activities for parents and staff on techniques they can use to
stop smoking.

Family Advocates will encourage parents to consider smoke cessation
as one of the goals in their Family Partnership Agreements (FPA) at
the time of enrollment or during initiation of the FPA.

The Child Development and Health Services Managers will develop
instructions on smoking hazards and include them in the curricula for

96

Planning and Reviewing for Success

160



Introduction

Audience

Performance Standards

reports; organizational and management staff plans; and
community partnership agreements.

With the exception of developing program goals and objectives, each
of the operational plans and agreements listed above describes how the
agency organizes its services and internal procedures for efficient and
effective service delivery.

This is a Guide for Head Start directors, management teams, Policy
Councils and Policy Committees, governing bodies, and Executive
directors.

The Head Start Program Performance Standards specify
requirements for program planning and CA that are incorporated into
the learning activities in this Guide. Planning regulations seek the
following program responses:

= Develop a systematic ongoing process for program planning in
consultation with:

— Governing bodies.

Policy Councils/Policy Committees.
— Program staff.

— Community groups and agencies serving Head Start-eligible
families and other low-income families with young children.

= Assess community strengths, needs, and resources.

= Formulate multiyear program goals and short-term program and
financial objectives.

= Develop program area plan(s) for implementing services in each
program area.

Head Start regulations on program self-assessment and ongoing
monitoring direct programs to:

= Establish and implement procedures for ongoing monitoring.

= Conduct an annual self-assessment of their progress toward
meeting program goals and federal regulations.

Planning and Reviewing for Success

13



Module 2

= What are the challenges in completing a CA outline? Why?
What can you do to manage the challenges?

Summarize 8. Tell participants that preparing an outline for the CA Report is a
very significant step. When you take time to write 1 comprehensive
outline, the CA Report is more likely to be a vital planning
document.

716 8 3 Planning and Reviewing for Success



Module 2: Take Stock

Handout 17: Analyze and identify Trends (continued) Ad

Describe the Community

1. What is the community like?
(resources, agency history, community demographics, economy, location. political
climate, social issues, health issues)

2. What are the primary strengths of the community?

3. What are the major challenges faced by the community?

Identify the Trends

What trends/patterns are evident that may affect Head Start now or in the future?

84

Planning and Reviewing for Success

&9


Preface

The architects of Head Start built on a foundation of research and
analysis. What they proposed was a dream that had never been tested.
The ideas came from a multidisciplinary group of individuals, each
bringing his or her own piece of the puzzle . . . the child development
piece, the health services piece, the family and community pieces, and
the management piece, and interlocking them in an integrated service
delivery system. The process used by that founding group resembles
the work of planning and reviewing in Head Start.

Planning and reviewing involves an ongoing process with peaks of
intensity during critical periods. Planning to plan requires all of the
key players to be involve. _ ad that the best way to collect data about
the community needs to b. mined, The trends and critical issues
impacting children and far. that are obtained from the data provide
a context for planners to identify the kinds of services needed in light
of those already available in the community. Program leaders take
stock when they interpret internal and external data to make recom-
mendations for the prograin. They rely on their vision of a better
tomorrow when they propose directions and adopt plans for where the
program should be going and how it can get there. To stay on track,
programs rely on the review process.

@ We have built a tall monument of success from the visions of the
original architects. Head Start's commitment to meet the needs of those

we serve drives the planning process. From the Community Assess-
ment (CA) of what the community has and needs, to monitoring and
self-assessing how well the program is operating, Head Start leaders
are focused on improving services. Like a puzzle, all the individual
pieces—collecting and analyzing CA data, developing goals and
objectives, monitoring and self-assessment activities—fit together to
build a beautiful design.

Planning and Reviewing for Success offers a blueprint for developing
the skills and methods for a program's planning process. It recognizes
the contribution of all the stakeholders in Head Start and builds in a
review process that is part of one continuous cycle of success.

Preface ix



Module 3

Prepare to Write a Plan

Discuss Written Plans

Summarize

Increase efficiency of our Human Resources Management System.
Write on chart paper broad objectives related to this goal.

=) Have all teachers complete the requirements for a bachelor's
degree within the next 5 years.

= Redesign our orientation process by the end of this calendar
year to provide complete information on all aspects of our
organization.

Explain that the answers to the following questions help work

teams develop written plans (statement of program goals and

objectives and a program area plan),

Record each question on chart paper, discussing its importance.

= How are our services currently integrated?

= Should we move standards across service areas to better reflect
our system of services?

= Are there issues in the CA and self-assessment that should be
considered in developing our plan for services?

= What is to be done?

= How will it be done? What strategies will we use?

= Who will do it?

= When will it be done?

Tell participants to work in groups to write a program plan on staff
development and training for the program in the scenario.
Distribute Handout 24: SMART Objectives and Handout 25:
Guidelines for Developing a Written Program Area Plan for
participants to use as a resource. Allow 40 minutes for this activity.
Ask each group to explain their plan to the entire group.

Conclude by summarizing the information that should be included

in a written program area plan, In addition, emphasize the
importance of a diversified work team when developing a plan.

Propose Directions and Adopt Plans

113



Module 2: Take Stock

Handout 16: Planning Team Roles
BOB

You are very good at leading the planning team in sifting through the data collected in the CA. You know how to look
for trends relevant to Head Start families. In addition, you can translate the data into a profile of the community and
recognize issues that may affect the quality of life for children and families. During meetings of the planning team,
yous

1. Keep the planning team focused on interpreting the data from different viewpoints (Activity 2-2).
2. Help them understand what the data is saying (Activity 2-2).
3. Explore the implications of the data to identify major concerns/issues (Activity 2-3)

CAROL

You are extremely effective in making sure that information and decisions are communicated to everyone who is
affected. During meetings, you encourage all participants to give their opinions and strive to understand what
everyone is saying. You excel in making sure that the planning team’s message is clear and easily understood by staff
and parents as well as policymakers in local and state institutions. During meetings of the planning teamt, you:

1. Take notes for the planning team (Activity 2-2 and 2-3).

2. Summarize discussions and ask individuals for clarification on their comments to ensure that you record the
correct information (Activity 2-2 and 2-3).

3. Summarize your notes, reviewing the major issues and concerns {Activity 2-3) and the impact of the data
(Activity 2-3) in a clear and articulate manner.

TED

You know the community better than any other member of the planning team and are in a good position to encourage
resource sharing within the community. Your role is to make connections benveen what the planning team defines as
needs and the resources available in the community to help meet those identified needs. During meetings of the
Planning team, you:

1. Encourage and participate in discussions that analyze the extent and impact of resource sharing in the community
(Activity 2-2),

2. Encourage discussions to identify major issues and conceri.s reiated to increasing resource sharing between
Head Start and the community (Activity 2-3).

ALICE
You make sure that the planning team collects significant data and analyzes the data effectively, This allows the team

to present the issues that are most prevalent and have the greatest impact on low-income families with young
children. During meetings of the planning team, you:

1, Ask questions to validate the significance of data (Activity 2-2).

2. Encourage members to propose a variety of major issues and concerns, even if they seer impractical to you and
other members (Activity 2-3).

3. Use an analytical, problem-solving approach to identify the impact of major isstes (Activity 7-3).

Take Stock 81



Module 3

Session I: Creating the Ideal
Program Area Work Team

Introduce Activity

Materials:
Extra copies of Handout 13: Sample of Community Assessment and
Internal Data
Copies of Head Start Program Performance Standard, 1304.52,
()(1)-(3)
Chart paper, markers, and tape
Collect chart paper from Step 2 and Step 5 to use in Session 2.

Trainer Preparation Notes:

1. To ensure that you understand Head Start Program
Performance Standards on Human Resources Management
and how to apply them, read Head Start Program
Regulations and Program Guidance for Parts 1304 and
1308, Human Resources Management, 1304.52, (k)(1)-(3)
(distributed by the Head Start Publication Center), pp.
209-211.

2. Post the following questions on chart paper, writing one
question per sheet:

= What is the purpose of this work team?

= Based on the internal data and the HRM requirements
of the Standards, what tasks do they need to perform?

= What basic skills do team members need to perform
these tasks?

«=~ How can we get individuals who have creative and new
ideas to participate on this work team?

= How can we ensure that individuals representing all
staff areas are included on this work team? Why is this
important?

1. Tell participants that they will use the Human Resources
Management Section of the Head Start Program Performance
Standards in this activity. explain that they will take the role of a
member of a management team for a Head Start program in
Session 1; their task will be to establish guidelines for determining
which individuals should participate on the work team for devel-
oping a staff training and development plan. In Session 2 they will

Propose Directions and Adopt Plans

109

113



Module 3

A goal is an outcome you try to reach by improving service delivery
and agency operations. Goals draw on the CA data, the self-
assessment, the Head Start Program Performance Standards, and the
philosophy cf Head Start. They provide the framework for secondary
planning that needs to occur. To determine program goals, consider the
major issues and concerns identified in the CA and program self-
assessment that directly affect your activities and services.

Determining ap_ropriate goals requires the ability to focus on the
following questions:

= Are the goals future-oriented, yet practical enough to achieve?

= Are the goals appropriate for Head Start—do they fit in with the
agency’s history, mission, and values as well as the needs of
children and families?

"To what extent do they set standards of excellence and quality of
services to children and families?

= Do they help to clarify the direction and purpose of the program?

= Will the goals inspire and motivate all stakeholders: parents, staff,
the governing body, and the community?

= Do the goals reflect the unique issues and challenges present in the
Head Start service area?

«Are the goals ambitious enough? Are they too ambitious to make a
difference in a reasonable time period?

Goals focus on realistic outcomes that will have a positive effect on a
given issue or concern. When used in this Guide, the term goals refers
to broad statements that may take several years to achieve.

For example, according to CA findings, an agency may be experienc-
ing significant demographic changes within its service area. A Head
Start program that began by serving one particular ethnic group may
now be experiencing new ethnic, linguistic, and cultural diversity. This
in turn may require extensive changes in the agency’s implementation
of the Head Start Program Performance Standards.

In this example, the planning team wants to set a long-range goal to
handle the demographic change over the next 3 years. They might
develop the following goal to address the issue described above:

94

Planning and Reviewing for Success

98



Module 2

Overview of Skills

1. Categorize Data

2. Display Data

3. Analyze Data

To help you understand and use the data from the CA effectively, this
module focuses on the skills listed below:

After the data is compiled, it needs to be categorized to help you
understand the information that has been collected. Examples of
categories of data include information on:

= Demographics: Geographic location, population numbers, children
with disabilities, Head Start-eligible children and families, race and
ethnicity, gender, age.

= Environment: Air and water quality, preservation of green space.

= Health: Statistics on medical care, communicable diseases, causes
of death from serious injuries, substance abuse, related crime.

« Education: High school graduation rates, literacy programs,
language proficiency, educational level of adults.

= Economy and employment: Income and poverty levels, economic
growth, housing costs, transportation, public assistance rates,
homelessness, employment statistics.

» Community services: Social service agencies such as child care
agencies, family day care providers, collaborative agreements.

= Community safety: Issues involving crime, citizen involvement,
domestic violence, child abuse, causes of natural disasters,
emergency preparedness.

«Internal data on how Head Start services are delivered: Staffing
information, governance, program strengths and challenges,
existing partnerships and results.

After the data have been categorized, use visuals to display the facts
and the relationships among the data. Adults, like children, learn in
different ways. The more variety used in presenting the CA findings,
the more opportunities there are to reach people who can contribute to
analyzing what the data tells.

The planning team is now ready to make connections between the data
and the Head Start-eligible population. The team looks for trends that
may affect young children and their families now or in the future.

The analysis process should support the Head Start Program
Performance Standards that require grantees to establish partnerships

Take Stock

59



Module 1: Plan to Plan

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22



Module |: Plan to Plan

Handout 13: Sample of Community Assessment and Internal Data

COMMUNITY WELLNESS CORPORATION (CWC) HEAD START

Background Information

The Community Wellness Corporation (CWC) is a private, nonprofit agency located in Hamilton County. The
city of Lake Mathews is the county seat. A lake named Lake Mathews is a focal point of this area. The
lakefront communities that surround Lake Mathews—Chevy Shores, Covington Corner, and Sheridan
Shores—are part of a semi-urban sprawl. Ninety-two percent of the county population resides in these
communities and the city of Lake Mathews.

Other parts of the county are rural. Its entire population is 389,000 residents living within a 4,250-square-mile
area. The CWC Head Start service area encompasses the entire county except for a small portion of the
northeast. This area consists of a Native American reservation with a population of 16,000. The Tribal Council
is the Head Start grantee and serves 75 children.

Hamilton County is centrally located within the state and its natural resources have impacted how local
communities developed. The county’s centerpiece is the city of Lake Mathews, a popular resort for state and
national residents, The area’s climate is mild and favorable for year-round camping, sailing, and other
recreational activities. However, tourism, a major industry for county residents, is seasonal. There are large
gaps between the major recreational seasons of summer and winter. Other economic opportunities in the county
are limited, although the city of Lake Mathews has small light industry compared to the limited tourist
industry. Small logging companies are scattered in less-populated sectors, including Cherry Creek, Clinton,
Ellery, Harmony, North Pass, Patterson, South Grant, and Van Derveer. The densely populated urban areas of
the county are located near the lake, including the city of Lake Mathews with a population of 290,000;
Sheridan Shores, 38,000; Chevy Shores, 18,300; and Covington Corner, 11,700. Beaver Creek and Alliance
have privately owned resorts that are open from May through August as well as during the winter season,
November through February. Low-income families residing in these areas frequently face a loss of income
during nonactive tourist months.

Many of the families eligible for Head Start face unemployment during some portion of the year. The county
as a whole has an unemployment rate of 33 percent. Forty-nine percent of households have incomes of $30,000
or more, but at least 20 percent have incomes below the poverty level. Of those, 36.7 percent are eighteen
years of age or younger and 20 percent are sixty-five years of age or older. The TANF caseload for the
previous year was 10,000, although many of these are neither long-term nor continuous users of the program.
If public transportation were available, many of the residents might find work in an adjacent county where
there is a large petroleum products industry. However, since many families don’t own a car, finding ways to
commute to work is difficult at best.

Community Wellness Corporation (CWC)

CWC has been in existence for more than 25 years. Its early mission was to develop community programs to
eliminate the causes and effects of poverty. Currently, CWC operates programs in the areas of aging,
nutrition, housing, community services, and child and family services. The agency's main office is located in

Plan to Plan 43



Module t: Plan to Plan

Agency Data and Statistics

Results from Our Program Information Report (PIR) and Health Services

Area Respiratory Otitis Media Skin Ailments Immunizations
uipesscs |

Number | Percent |} Number Percent | Number | Percent Number Percent
AREA I 72 52 66 57 55 6l 58 60
AREA {1 40 29 32 27 26 30 26 28
AREA III 2 2 1 1 1 1 1 1
AREA IV 12 9 9 8 4 5 5 5
AREA V 11 8 8 7 3 3 6 6
TOTAL 137 100 116 100 89 100 96 100

Health of the 685 children served last year:

137 children (20 percent) had respiratory problems

116 children (17 percent) suffered from otitis media or mild ear infections

96 children (14 percent) had not begun or were not up to date with immunizations
89 children (13 percent) had skin aiiments (eczema, psoriasis)

The chart above illustrates the extent of health problems in children enrolled in each of our recruitment areas.
Since health issues confronted last year were very similar, we included questions about them in our annual
November survey of parents to collect additional information. Results follow:

Survey Results

A total of 480 survey forms were distributed. Survey forms were delivered to families and filled out during
home visits or in person while a family member was at a Head Start site. A total of 290 survey forms were

turned in for a response rate of 60 percent. We consider this to be an exceptional response.

The survey sought to collect information in four areas:

. Issues or concerns for the adults in your family

. Issues or concerns about the children in your family

. Issues or concerns about the Head Start Program

. Issues or concerns about your community

Plan tw Plan 47



Module 2: Take Stock

Handout 15: Gallery of Visuals (continued)

Population of Hamilton County

Lake Mathews |

(280,000) i
BAR CHART
Sheridan Shores |:
(38.0
8.000) A bar chart compares data. In this
Chevy Shores} example, the populations of the urban
(18,300) areas of Lake Mathews, Sheridan Shores, |)
Covington Corner f Chevy Shores, and Covington Corner are |
(14,700) compared with the population of the
Pural Areas tural areas of Hamilton County.
(31,000)

0 50,000 100,000 150,000 200,000 250,000 300,000
(Total population of Hamilton County: 389,000)

Poverty Level and Unemployment in
Areas I-lll of Hamilton County
Ki}

28 GRAPH
26

2 ——— wa
22 A graph shows the relationship between

20 two variables. One set of data is plotted
% _ on the side of th# graph, or the Y axis.

14 a Another set is plotted across the bottom,
12 or the X axis.
10 —

8 ==.

Percent

6

H 4
u 2
0

Areal Area Il Area Ill

Poverty Level
! — — — Unempioyinent Level

Planning and Reviewing for Success



Module 4

Discuss Responsibilities

Part Two:

Prepare a 5-minute role play discussing your answers to the
questions. During the role play, some individuals may need to take
opposing viewpoints to fully demonstrate the issues.

Give groups 45 minutes to discuss the questions and prepare their
role plays.

Allow each group 5 minutes to present its role play. After each
presentation, ask the remaining participants for their reactions and
discuss the following questions:

= What did you learn about the issues affecting the reviewing
process in your program?

= Did the role play give you ideas for improving reviewing
activities and restructuring the roles of managers and
supervisors, staff, the Policy Council/Policy Committee, and
the governing body?

Using the Background Information as a reference, discuss the type
of information to give the Policy Council/Committee and governing
body to ensure that they share in decision-making.

Examples of what information to provide policymakers and how
frequently to provide it include the following:

= The status of enrollment: monthly.

= Expenditure reports (with status of funds and variations from
planned expenditures): monthly.

= Status of completion of program targets (such as implementing
partnership agreements): quarterly.

= Action on audit findings: as designated by governing body.

Summarize Emphasize the importance of including the Policy Council/Policy
Committee and governing body in the program review process,
noting:
= Self-review is a shared process.

«© Although the actual tasks related to self-review typically are
performed by program staff, the Policy.Council/Policy
Committee and governing body also participate.
146 Planning and Reviewing for Success

145



Module 4

Introduce Activity

Discuss Ongoing Monitoring

Trainer Preparation Notes:

1. Review Head Start Program Regulations and Program
Guidance for Parts 1304 and 1308, 1304.51(I)(1), pp.
187-189 on the guidance for self-assessments and
monitoring.

2. Collect hats, badges, and/or signs, labeling them Moni-
toring Maven, to distribute to each participant in Step 3.
—

1. State that self-review, a key process in the Head Start environment,
leads to continuous improvement and high-quality outcomes. Write
Review on chart paper. Refer to the Background Information and
explain the comprehensive process of review as defined in this
Guide.

Lead a discussion about the significance of self-review. Include the
following points:

= Reviewing is a comprehensive process that includes ongoing
monitoring and the annual self-assessment (including the more
indepth assessment done every 3 years).

a Self-assessment includes determining the extent to which goals
were met and determining the impact of services on issues and
concerns that were identified in the CA.

= Programs that focus on continuous improvement are always
seeking ways to use the Head Start Program Performance
Standards to improve their program to benefit their
constituents.

= Everyone contributes to program quality; when a part of a
system is not functioning efficiently, it is everyone's
responsibility to make it better.

2. Write Ongoing Monitoring on the chart paper. Using the
Background Information, explain the importance of ongoing
monitoring. Explain that this activity will now focus on identifying
monitoring strategies.

Divide participants into groups and distribute Handout 26: Excerpt
from a Written Plan. Explain that this handout contains one goal
based on a major issue in the data from the scenario and SMART

Review

139



Introduction

At A Glance

Modules

Activity

Time Materials

Module 1: Plan to Plan

(W) Activity 1-1:
Planning Is a Team
Effort

2 hours Handout 1; Instructions for
Observers

Handout 2: Instructions for
Planning Team

Handout 3: Instructions for
Implementing Team

Lego structure and Lego pieces

(W) Activity 1-2:
The Planning Cycle

70 minutes | Handout 4; Planning and
Reviewing Process

Handout 5: Plan to Plan
Handout 6: Take Stock
Handout 7: Propose Directions

Handout 8: Develop and Adopt
Plans

Handout 9: Review
Chart paper, markers, and tape

(W) Activity 1-3:
Implementing the
Planning Process

Session 1: | Handout 4: Planning and
The Work | Reviewing Process

Plan Handout 10: Sample Planning
Calendar

Handout 11: Planning Cycle Work
Plan

Handout 12: Blank Planning
Calendar

Session 2: | Handout 13: Sample of Community
The Data | Assessment and Internal Data

Chart paper, markers, and tape

70 minutes

2 hours

Planning and Reviewing for Success

17



Module 4

Discuss Achievement of Goals

6.

manual Head Start Program Regulations and Program Guidelines
for Parts 1304 and 1308, 1304.51(I)(1), pp. 187-188.

Write the following suggestions, one at a time, on chart paper.

Specify a time schedule.

Select a self-assessment team.

Provide training about the self-assessment process.
Assess the program.

Analyze and share findings.

Develop and implement action steps.

AMAWND>

After writing each suggested step, give participants time to answer
the quéstions below on their own. Next, lead a group discussion to
answer the questions for each suggestion.

= Does your program currently perform this step? Why? Why
not?

= What is involved with implementing this step?

Using the Background Information, explain that one of the
significant review procedures is to assess the extent to which
programs have achieved tl. .r goals. In other words, what are the
results and impact for Head Start children and their families of the
efforts programs have taken to achieve their goals; in addition,
what is the impact on the community.

Ask participants to give examples of program goals and list them
on chart paper. Examples of goals appear below:

Goal 1: Expand the services our program provides to ensure that
all families and children eligible for Head Start are
served.

Goal 2: Provide training in job search skills to all Head Start
parents and guardians who are unemployed.

Discuss the following to help participants identify techniques to
assess whether goals have been met and the impact of the goals.

Write Results? on chart paper.
Ask:

What review techniques can be used io determine results? The
extent that a program has obtained their goals? For example, how

Review

141

143



Module i: Plan to Plan

Attachment 2: Map of Hamilton County

CWC’s
Head Start/Early Head Start
Service and Recruitment Areas

4
North |”
77’ Pass |” Ellery

Alliance J&A y @ a 1 GEG

/

Green Ridge
Reservafion

(not im Seryice—

Area I
Lake Mathews

Beaver
Creek

y Sheridan
Shores

“ Chevy

Area it’

Covington
Corner

South
Grant

. BEST COPY AVAILABLE

52 Planning and Reviewing for Success

60



Contents

Module 2: Take Stock ...........00....... 55

OUICOMES oe teen ee tee
Key Concepts .......
Background Information

Activities 6 cece
Activity 2-1: Displaying and Explaining Data sae O61
Activity 2-2: Interpreting and Analyzing Data ........ 64
Activity 2-3: Identifying Major Issues and Concerns .... 67
Activity 2-4: Analyzing Data and Summarizing

Concerns and Major Issues .... 000-000 eve vee 69
Activity 2-5: Preparing the CA Outline 71

Next Steps: Ideas to Extend Practice ...... teeeeeee T7

Handouts oe teens 79
Handout 15: Gallery of Visuals 79
Handout 16: Planning Team Roles... .. 81
Handout 17: Analyze and Identify Trends . . 83
Handout 18: Questions to Consider in Compiling and

Analyzing CA Data... 1... 0... ee eee eee 85
Handout 19: Outline for Community
Assessment Report 2... 0... eee ee eee eee 86

Module 3: Propose Directions and
Adopt Plans .....00 000000. 87

OUICOMES Le eet ee eee
Key Concepts 00.0 eee eee
Background Information
Activities 0. eee oe
Activity 3-1: A First Step in Proposing Directions ..... 99
Activity 3-2: Setting and Presenting Goals .......... 102
Activity 3-3: Writing SMART Objectives ........... 106
Activity 3-4: Creating Work Teams and a Written Program
Area Plan... ee eee
Activity 3-5: Shared Decision-Making . .
Activity 3-6: Developing a Written Plan with
SMART Objectives... 0... 0. ce eee ee 116

Next Steps: Ideas to Extend Practice . . 120

- 123

. 123

Handout 21: Using Metaphors in Setting Directions . ~ 124

Handout 22: Guidelines for Setting Goals ....... . 125

Handout 23: Feedback Sheet ................... 126

vi Planning and Reviewing for Success

6



Module 3. Propose Directions and Adopt Plans

Develop Guidelines for a Program Area Plan: |

Tnstructions
Answer the questions below to develop guidelines for writing a program area plan.

1. How are our services currently integrated?

2. Should we move standards across service areas *9 better reflect our system for services’?

3. Are there additional issues in the CA and self-assessment that should be considered in
developing our plan for services?

4. What are we going to do?

How will we do it?

uw

6. Who will do it?

7. When will it be done?

BEST GOPY AVAILABLE

Appendix 1 8 6 187



Module 2: Take Stock

‘Analyze.and ‘Identify
Describe the Community
1. What is the community like?

(resources, agency history, community demographics, economy, location, political climate,
social issues, health issues)

2. What are the primary strengths of the community?

3. What are the major challenges faced by the community?

Identify the Trends

What trends/patterns are evident that may affect Head Start now or in the future?

174 Planning and Reviewing for Success

175



Module 2

Summarize

Activity 2-5:
Preparing
the CA Outline

fe)

1°]
E38)

Lead a brainstorming discussion to answer these questions:

= Based on your analysis of the data, what are the most prevalent
issues affecting the families in this service area?

= What resources m.7ht affect these issues?

Writing the information on chart paper, analyze suggestions,
categorize responses, and identify major issues and concerns.

5. Conclude by reviewing the tasks in the CA process. Focusing on
the purpose of this activity, discuss the following:

What new insights do you have on the CA process and its link to
program planning and decision-making?

Purpose: Participants will identity information to include in a
CA Report and suggest a method to prepare an outline.

Materials:
Extra copies of Handout 13: Sample of Community Assessment and
Internal Data
Handout 19; Outline for Community Assessment Report
Sets of prelabeled index cards: CA Data Categories
Sets of prelabeled index cards: CA Data Samples

a
Coach Preparation Notes:

1, This activity can also be delivered as a workshop.

2. Review the sections in the Background Information titled
Categorize Data and Analyze Data to identify some of the
data categories that can be used in a CA Report. Prepare
two sets of cards for each participant (or group of
participants) following the instructions below.

= Create the first set of cards by labeling eight 3 x 5
blank index cards with the following caiegories for a
CA Report: Demographics, Environment, Health,
Education, Economy and Employment, Community
Services, Community Safety, and Major Issues and
Trends

Take Stock

71



Module 1

Introduce Activity

Work in Groups

Explain Steps in Process

Trainer Preparation Notes:

1. Before this workshop, label five sheets of chart paper at the
top as follows: Plan to Plan, Take Stock, Propose
Directions, Develop and Adopt Plans, and Review. Tape the
sheets to the wall where they can be seen by participants
when they are standing in the circle during Step 2.

2. Prepare five cards labeled: PLAN TO PLAN, TAKE
STOCK, PROPOSE DIRECTIONS, DEVELOP AND
ADOPT PLANS, and REVIEW to distribute in Srep 2.

3. The group needs a large open space in which to form a
circle. The activity can be adapted to the size of your
training group. The ideal number of participants in the circle
is fifteen. If the group is ten or less, assign one or two
people to each step in the planning process. If the group is
larger than twenty, consider making two circles.

Tell participants that the planning process is a continuous cycle.
Although the steps are sequential, some overlap and many are
ongoing and repeated throughout the program year. This activity is
designed to help participants visualize planning and reviewing as a
big circle that depends on a sequence of important steps.

Have participants form a large circle. Divide the circle into five
groups; distribute cards randomly to each of the five groups,
labeled as follows: Plan to Plan, Take Stock, Propose Directions,
Develop and Adopt Plans, and Review. Ask groups to arrange
themselves in the order that the steps occur.

Next, give each group 20 minutes to answer the question “What
are the mest critical tasks in this phase of the process?” by
decorating chart paper to represent the tasks or writing the tasks for
each step.

On the posted chart paper, record how each group explains the
critical features of each step. Expect some of the groups to give
similar responses. Explain that the planning cycle has natural
overlap and repetition. Distribute and review Handouts 5-9,
comparing the information on the chart paper to the information on
the handouts. Discuss challenges that each step may present and
how to overcome the challenges.

Plan to Plan

ot 2B



Module 2

Discuss Findings

1. Review the data you analyzed in Activity 2-2 for the service
area you studied.

2. Based on the characteristics of both Head Start-eligible families
and the community and the trends you identified:

— What are the major issues and concerns affecting Head
Start-eligible children and families?

— What additional information do you need to collect to
analyze the service area further?

Tell each group to select a speaker to report on the major issues
and concerns that they identify. Give groups 20 minutes for this
activity.

Ask each group to report on its findings. Encourage members of
other groups to comment on each group’s findings, asking for
clarification as needed.

After all the group reports are completed, discuss the following:

= What challenges are associated with identifying major issues
and concerns from CA data?

= Waat recommendation would you make if the data clearly show
that the families most in need of Head Start services do not
reside in the areas that have been your program's historical
recruitment areas?

= What new insights do you have on the CA and its link to
program planning and decision-making ?

Summarize 5. Conclude by emphasizing the importance of identifying major

issues and concerns.

Activity 2-4: Purpose: Participants will practice skills relative to collecting

Analyzing Data and analyzing data and summarizing major issues and concerns.

and Summarizing

Concernsand = ==4 Materials:

Major Issues Handout 13: Sample of Community Assessment and Internal Data
(Tell participants to keep this handout since it will be used in
other activities.)

Handout 18: Questions to Consider in Compiling and Analyzing
CA Data
Take Stock 69

“6



Module 4

Next Steps:
Ideas to Extend
Practice

Participants can build on the skills developed in this module by
completing the following activities. Some activities may contribute to
the participants’ Professional Development Plan.

= Many programs may already use their written plans for reviewing
accomplishments. If your program does not have a format for your
written plans that can be used as a working document to review
your program’s progress, appoint a team to design a form. The
format may need to be a multipurpose document that allows you to
monitor key items in your program area plan(s) as well as in your
community goals and objectives. Information that may be useful to
include consists of the action steps/strategies, individuals
responsible for implementing the strategies, the timeframe for
implementing the objectives and review steps, and review
techniques.

= Add time to the agenda at all staff meetings to discuss written plans
and review activities. Encourage staff to report on the progress of
reviewing strategies, results to date, and actions taken to address
the findings. Used in this way, plans truly become working
documents that aid programs in monitoring their progress.

«Arrange a staff meeting to discuss how to involve policy groups in
the self-assessment process. Staff should discuss and propose the
type of information that these groups need from ongoing
monitoring and how frequently this information should be reported.
It is important to keep in mind during the discussion that this
information provides a foundation for members of policy groups to
participate in self-assessment activities; in addition, this
information helps policy groups make decisions about self-
assessment activities when an agency reviews the impact of its
services.

= The Worksheets in the Appendix have been designed to assist you
in performing the steps in the planning and reviewing process
described in this Guide. To apply the reviewing procedures
discussed in Module 4, use Worksheet 14: Plan to Review.

150

Planning and Reviewing for Success



Module 2

Categorize Data

Read Scenario

Discuss Data in Scenario

4.

Explain that performing a CA includes identifying data to collect;
collecting data: compiling, categorizing, and displaying it; and
interpreting and analyzing the data to identify trends, major issues,
and concerns, Internal data should be included in this process. This
activity focuses on categorizing and displaying data. Categorizing
data helps agencies determine what information to display visually.
This is a very important step because the task of interpreting and
analyzing the data is easier when the data is displayed accurately
and clearly.

Explain that after data is compiled it needs to be categorized or
grouped. Visuals can be designed from the categories of data. The
categories of information and visuals to display the information are
very helpful in interpreting and analyzing data.

Using Background Information, lead a discussion on the categories
of data that can be obtained from a CA and internal data (for
example, demographics, environment, health, education, economy
and employment, community services, and community safety). List
the categories on chart paper. Participants will refer to these
categories in Step 5.

Distribute Handout 13: Sample of Community Assessment and
Internai Data. Explain that this scenario contains some of the types
of da: : that can be collected for a CA. It is not intended to be a
complete CA report. Give participants 15 minutes to read the
scenario and underline significant data about the service area.

Ask:

= What data did you identify in the scenario?
Possible responses may be geographic layout, major industries,
seasonal unemployment, county unemployment rate of 33
percent, factors affecting families in poverty, descriptions of
areas where Head Start operates, child care services, health-
related issues affecting children and families, results of parent
surveys, and results of the annual self-assessment.

List responses on chart paper.

= What categories can be used to group this data?
Possible responses include demographics, education, health,
economy and employment, environment, community services,

and internal data,

List a category on chart paper next to each data example.

62

Planning and Reviewing for Success

63



Module 1

Background Information

The Planning Team

Planning and reviewing are the starting and ending points of the
ongoing cycle.of delivering high-quality Head Start services. This
module provides an overview of the process and the many benefits
programs derive from it.

The planning process focuses attention on the program's most critical
challenges and opportunities. Leaders can gain insight into the future
direction of their agency's prograins and services and the way they
affect the community at large. Planning provides an opportunity for
program leaders to think about the future and commit to goals and
activities that will set or keep the program on course over the next few
years

A good planning system is dynamic and includes all the significant
players: staff and parents, Head Start managers, and other grantee and
delegate staff as well as the Policy Council/Policy Committee and the
governing body. Programs operating with delegate agencies may need
to add a layer to their planning process that integrates the delegate's
planning activities into the grantee’s planning cycle. It is the grantee’s
responsibility to advise its delegates about the overall planning process
and the way delegates’ activities will be integrated.

Each agency needs to establish its planning team or group. The team
may be a special work group that collaborates to develop and
implement a systematic process. This process includes establishing
the planning calendar and procedures, assessing community and
programmatic needs, and formulating long- and short-range goals.
When these goals have been established, the planning team may step
aside and allow those involved in developing, implementing, and
monitoring the goals, objectives, and program and operational plans
to take over.

Who should participate on the planning team? The planning team
should, if possible, represent all stakeholders in the Head Start
program. This includes representatives from staff, parents, the
governing body, and the Policy Council/Policy Committee. Finding
ways to coordinate planning activities with other community agencies,
such as conducting a joint CA, is an important aspect of a community's
service delivery system.

Members need to be skilled in collecting and analyzing data and know
how to present their findings in written, spoken, and visual formats.
Other important skills and knowledge include creative thinking, good

judgment, experience, and future orientation. Perhaps the most

fundamental characteristic that all planning team members need to

Planning and Reviewing for Success

24



Module 1: Plan to Plan

Handout 3: Instructions for Implementing Team

Directions:

Your assignment is to reproduce the Lego structure from the written instructions the planning team gives
you. Only the planning team will see the Lego structure. You may not speak to members of the planning
team or receive any additional instructions other than the written ones that they give you. You may speak
only to the members of your team. If you need further clarification on the instructions you receive, you
must rely on how you and the other members of your team interpret the instructions.

When your team members all agree that you have finished building the structure according to the planning
team’s instructions, you have completed the assignment.

While you are waiting to receive instructions from the planning team, discuss your expectations for the
instructions you will receive. In addition, discuss the best way to work together to complete this
assignment, including the skills you will need to use to do the task.

Plan to Plan

4i



Appendix

Appendix: Worksheets
These worksheets are based on the skil's developed in this guide. They are intended to be used after reviewing the
information in each module. The module from the guide that discusses the subject of each worksheet appears
below.

TITLE OF WORKSHEET

MODULE I: PLAN TO PLAN

Worksheet 1 Organize the Planning and Reviewing Process ....-.. 6.0.00 sees ee eeeeee 165
Worksheet 2 Prepare to Collect Data... 6... eee eect tee eee e nee 167
Worksheet 3 Develop a Data Collection Action Plan... 6... eee eee eee eee eee eee 169
Worksheet 4 Compile and Display Data ..... 6... cee eee ee eee 171

MODULE 2: TAKE STOCK

Worksheet 4 Compile and Display Data ... 2... 0... 2c cece ete eee eee eee 171
Worksheet 5 Analyze and Identify Trends ........... Cee eee eee eee ene +. 173
Worksheet 6 Identify Major Issues and Concerns 175
Worksheet 7 Write a Report of Your Findings ......... 00.0 cee eee cece cece eee eeee 177
MODULE 3: PROPOSE DIRECTIONS AND ADOPT PLANS
Worksheet 8 Performa Gap Analysis .. 0.0... e eee ete tee eee eee e eee taee 179
Worksheet 9 Develop Guideiines for the Statement of Program Goals and Objectives ........ 181
Worksheet 10 Set Major Goals 2... 1... ee eee teen en ett e te neee 183
Worksheet 11 Create the Ideal Work Team - 185
Worksheet 12 Develop Guidelines for a Program Area Plan .........6 000 eee eee eee eeee 187
Worksheet 13 Write SMART Objectives 2.6... cece eee ce eee ree eee eet ee eee 189
MODULE 4: REVIEW
Worksheet 14 Plan to Review... 2... 0c cc eee eee cette ten eee 191
Appendix 163

166



63

BEST COPY AVAILABLE



Module I

Develop and Adopt Plans

Review

Activity 1-1:
Planning Is
a Team Effort

The next step, Develop and Adopt Plans, commits the agency to
agreed-on directions that are selected from those proposed. Program
area and operational plans are developed and adopted.

By adopting goals and objectives, the agency’s policymakers identify
key issues that influence other processes and activities: recruitment,
selection and enrollment, site placement, expansion priorities,
collaborative relationships and activities, and development/revision of
program area plans. During this phase, the initial planning team may
need to involve more staff in developing the program area and other
operational plans that they will implement.

When developing program area plans, staff with specific content area
expertise may be helpful in identifying the philosophical directions for
these plans, such as the use of specific curricula, the adoption of
strategies for working with families, case management, group work,
and so on.

The last step is Review. In this Guide, the term review or reviewing
includes two processes, ongoing monitoring and self-assessment.

Ongoing monitoring is a more frequent review of operations to ensure
that an agency is moving along the path toward accomplishing
established targets such as full enrollment, completion of health exams,
completion of family partnership agreements, and a balanced
expenditure of funds.

Self-assessment includes two phases. The first is the annual procedure
that checks the results of implementing objectives and strategies and
program area plan(s). This phase determines whether an agency’s
activities producing the desired outcu:nes and moving toward
achieving goals. The second phase is the annual self-assessment
conducted in concert with planning for the next 3-year cycle. This
phase continues to focus on determining whether desired outcomes
have been achieved and full implementation of the agency's plans has
occurred. However, the second phase of the self-assessment also
involves the agency’s determining the extent to which program goals
are met and the impact that services have had on the issues and
concerns selected for action during the CA.

Purpose: Participants will identify the critical skills related to effective
group behavior, interactions between groups, and the work process
that planning and implementing teams must practice. They will identify
the role of leaders in promoting program planning and reviewing
results.

Plan to Plan



Module 4

Identify Monitoring Strategies

«Everyone contributes to program quality; when a part of the
system does not function properly, it is everyone's
responsibility to improve it.

4. Write the following on chart Paper: ongoing monitoring >

reporting > decision-making.

Using the Background Information, explain the importance of
ongoing monitoring. Emphasize that the process includes
monitoring activities such as observing classroom activities;
speaking to parents, staff, and community members; reporting; and
using the information to make decisions. Explain that this activity
will help participants develop ways to integrate and monitor the
objectives written in plans with the ongoing operations of the
program,

Distribute Handout 26: Excerpt from a Written Plan. Discuss the
objectives and monitoring strategies in Part /, including the
following, in your remarks:

Imagine that the program that prepared this plan is seeking to
answer the question: “Do we have systems in place to demonsirate
that we are in compliance and delivering quality services?” They
have selected key items from the Standards to monitor. Note that
the third strategy—improve the quality of fiscal and program
reporting to the Policy Council/Policy Committee—relates to a
finding in their self-assessment. By highlighting it as a problem,
this agency has given extra emphasis to a management system
problem that they want to improve. They are trying to correct this
situation with new strategies and ongoing monitoring to see if
improvements occur.

Review Part H of Handout 26: Excerpt from a Written Plan.
Explain that this section contains one goal based on a major issue
in the data from the scenario and SMART Objectives for meeting
the goal.

Referring to the Background Information in Module 3, review the
elements of SMART Objectives. Explain that each participant is to
work independently to list methods for monitoring each SMART
Objective on Handout 26. Multiple review techniques can be
suggested for an objective.

After participants complete their lists, discuss the review strategies
they identified.

148

Planning and Reviewing for Success

15g



Module 3

Gap Analysis

Visioning

with families, staff, and the community will need to change to provide
the necessary support for accomplishing new goals and objectives.

The self-assessment will need to determine whether outcomes planned
in goals and objectives and services proposed met proposed targets.
The budget and commitment of funds may need to be redirected,
particularly for staff training, supplies, and other categories that will
help to assure that resources, both human and financial, are available to
support planned activities.

This brief example describes the importance of the planning system and
its reliance on every other mane zement system (governance,
communication, record-keeping, reporting, ongoing monitoring and
self-assessment, human resources, and fiscal management) to deliver
the program and services of an organization.

A gap analysis can help you use CA and program data effectively. A
gap analysis involves answering the following questions:

= Where are we now?
m=) Where do we want to be? What is our vision?

=) = What goals can we establish to reposition our program to make a
difference?

To answer Where are we now'?, programs use CA and program data to
look at the agency’s current position in relation to the community and
program assessment information. Planning teams refer to the trends
and major issues they identified from the internal and external data.

To determine how to handle major issues, programs need to identify
their vision by answering Where do we want to be? Identifying a vision
allows teams to determine where they would like to be in both the near
and more distant future.

When considering What goais can we establish to reposition our
program to make a difference?, teams need to analyze what it would
take to move them toward achieving their vision. To answer this
question, they need to set goals.

The major challenge faced when setting direction is clarifying the
choices raised by major issues and concerns identified by the planning
team. Programs need to answer the question Where do we want to be?
by formulating a vision for their Head Start program (if one does not
already exist).

92

Planning and Reviewing for Success

96



Module 3: Propose Directions and Adopt Plans

(continued)

Major issue:

Goal:

Major Issue:

Goal:

Major Issue:

Goal:

Planning and Reviewing for Success

184



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Plan to Plan

Module 1:

Jepuaeg suruuelg dures :g] jnopuezy

40



Module 2: Take Stock

6.

LL

Directions: This assignment gives you practice in writing an outline for a CA Report. Use the data in
Handout 13: Sample of Community Assessment and Internal Data and Handout 18: Questions to Consider
When Compiling and Analyzing CA Data to prepare the outline.

1. What is the purpose of the CA Report? How will the report be used?

2. Who will read the report?

3. What information about the community (external environment) should be included?

Handout 19: Outline for Community Assessment Report

What information about the delivery of services in our program (internal environment) should be
included?

What categories should be used to group the external and internal data (for example, General
Description of Service Area, Demographics, Euvironment, Health, Economy and Employment,
Education, Community Resources, Community Safety, Internal Program Services, Trends, and
Major Issues and Concerns)?

What visuals should we include to help all the readers understand the report (types of visuals and
content)?

86

Planning and Reviewing for Success

91



Module 3: Propose Directions and Adopt Plans

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Success

for

Planning and Reviewing

190



Module 2

Activity 2-1: AO,
Displaying and é& 3
Explaining Data SSF

Introduce Activity

In Step 2, Take Stock, agencies Ic ath inside the Head Start
organization and outside at the co. anity in which Head Start
operates. This involves compiling, categorizing, displaying, and
analyzing data. It is at this point that the CA Report is written. This
analytical procedure is an essential step in planning—it begins the
process of determining how the current CA data is relevant to the
services Head Start needs to provide.

Purpose: Using sample CA and internal data, participants will discuss
how to categorize the data and develop visuals to display it. In
addition, they will practice skills needed to present the information to a
variety of audiences.

Materials:

Handout 13: Sample of Community Assessment and Internal Data
(Tell participants to keep this handcut because they will use it
for other activities in this Guide.)

Handout 15: Gallery of Visuals

Chart paper, markers, and tape

Trainer Preparation Notes

1. Handout 13: Sample of Community Assessment and Internal
Data (a scenario containing CA and program data for an
imaginary Head Start service area), is used in this module.
The trainer must read and understand this handout before
delivering training on this activity.

2. Prepare chart paper with the following directions:
Using at least one visual technique, display data from the
scenario that shows these two contrasting populations:

1. A densely populated urban area and the risk factors
associated with this area's Head Start-eligible families.

2. A rural population and the risk factors associated with
this area's Head Start-eligible families.

1. Introduce the activity by explaining to participants that the CA tells
a story about the community where their Head Start program is
located. This contrasts with the self-assessment, which is a story
about the program. Refer to Background Information for additional
descriptive information on the CA.

Take Stock

61



Propose
Directions
and Adopt

Plans



Module 3: Propose Directions and Adopt Plans

Handout 21: Using Metaphors in Setting Directions

Our greatest glory is not in never failing,
but in rising every time we fall—Confucius

There are two ways of spreading light: to be the
candle or the mirror that reflects it—Edith Wharton

Only the flexible creative person can really manage
the future. Only the one who can face novelty with
confidence and without fear—Abraham Maslow

We are essentially activists. We have our precepts
and our principle, and then we act—Cesar Chavez

“nee

\

\

|| Nobody, but nobody can make it out here alone—
Maya Angelou

We must use time creatively and forever realize
that time is always hope to do great things—
Martin Luther King

124

Planning and Reviewing for Success
] on
a]



Module 3: Propose Directions and Adopt Plans

LL —____|

Handout 24: SMART Objectives
Ss Specific
M Measurable
A Action-Oriented
R Realistic
T Timebound

Check the effectiveness of the objectives you develop by applying the “SMART test.”

Specific

Does the objective specify:

=) =Who is doing what?

@ ~=When and how it is to be done?

® If appropriate, where it will be done?

Specific means detailed, particular, or focused. An objective is specific if everyone knows exactly what is
to be achieved. Specific means spelling out the details.

Measurable
Does the objective say:
@ How the change will be determined?

A measurable objective provides a stas.ard for comparison. (Use words like increase, reduce, decrease, or
lower and use percentages or numbers to specify the amount of change.)

Action-Oriented
Does the objective say:
® ~=What strategies will be used?

An action-oriented objective describes the tasks to be performed.

Realistic
Is the objective stated so that:
TM It is possible to achieve?

Realistic objectives make sense and are practical. They can be attained because they are neither out of
reach nor below standard performance.

Timebound
Does the objective state:
= The deadlines for it to be achieved?

Time constraints encourage individuals to complete their tasks. An objective with a deadline helps organize
what needs to happen, when it should happen, and who is responsible.

Propose Directions and Adopt Plans 127

, 130


Module I

Reflect on Scenario

Summarize

Activity 1-4: is)

What Does 9
Planning Mean aH}
in Head Start? ==="

3. Identify issues/challenges to consider in obtaining the data.
4, List major tasks involved in collecting the data.

When groups have completed their assignment, ask each group to
report its findings, allowing up to 5 minutes for each report.

6. Distribute Handout 13: Sampie of Community Assessment and
Internal Data. Explain that this scenario will be used in each
module to help them develop the skills presented in this Guide.
Give participants 5-10 minutes to skim the scenario and identify
the data it contains. When they have finished skimming, discuss
their impression of this document. Ask:

= Why is this a useful document?
= What is the significance of the data it contains?

® = What additional data not found in the scenario would be
useful?

7. Conclude the activity by making the following points:

= Data is essential to help planning teams understand their
environment and make recommendations.

= A data collection plan should ensure that relevant data is
obtained and challenges in gathering the data are considered.

«Planning to coilect data involves several tasks: determine the
significant data to collect, identify sources for the information,
identify challenges and issues to consider, and identify tasks
involved in obtaining the data.

Purpose: Participants will identify the sequential steps of planning
and explain how to apply these steps toa CA.

Materials:

Background Information for Module I

Handout 4: Planning and Reviewing Process
Handouts 5-9 below can be used as transparencies:
Handout 5: Plan to Plan

Handout 6: Take Stock

Handout 7: Propose Directions

Handout 8: Develop and Adopt Plans

Plan to Plan

27

AV

[ou



Resources

National Center for Nonprofit Boards (NCNP)
www.nenb.org

The goal of NCNP is to improve the effectiveness of nonprofit
organizations by strengthening their boards of directors. This Web site
lists more than 80 booklets, books, videotapes, and audiotapes on
topics related to governance and leadership.

U.S. Department of Health and Human Services
Office of the Assistant Secretary for Planning and Evaluation
aspe.os.ahhs.gov/

The Office of the Assistant Secretary for Planning and Evaluation is
responsible to the Secretary of Health and Human Services for policy
analysis and advice, policy development, strategic and implementation
planning, and research on evaluation. This Web site describes research
initiatives, including those related to children and families.

U.S. Department of Health and Human Services
Administration on Children, Youth and Families
Research, Demonstration and Evaluation Branch
www.acf.dhhs.gov/programs/rde/

The Research, Demonstration and Evaluation Branch coordinates social
and behavioral research and evaluation activities for the Administration
on Children, Youth and Families. This Web site describes activities
related to Head Start research and evaluation, child care research and
evaluation, and child welfare research and evaluation.

Resources

161



Introduction

This Guide provides the key knowledge and promotes the key skills
related to planning and reviewing that the Head Start community needs
to succeed in an increasingly complex, changing environment,

Planning and Reviewing for Success stresses the need for Head Start
administrative and managerial leadership to;

* Maintain a holistic, integrated approach by thinking about the
entire process as well as the individual steps. Using this approach
makes:

— The products, such as program goals, objectives, strategies,
area plans, and collaboration and partnership agreements, more
effective.

— The solutions to complex problems easier to understand and
discuss.

«Use the strength and resources of Head Start team members—the
governing body, the Policy Committee/Policy Council, program
and agency staff, community partners, and alliances—in planning
and reviewing.

= Identify the reasons for the plans and decisions made by programs
and identify their mudtiple effects. Analyzing these issues makes it
easier to detect potential future problems and determine how to
respond,

= Review operations and program implementation for conformity
with proposed plans and regulatory requirements.

«Review the long-term consequences of Head Start program
decision-making that impact the lives of children, families, and the
community at large.

Planning and Reviewing for Success attempts to satisfy the needs

for both educational and training materials related to program
development. The Guide’s objective is to meet the needs of the Head
Start learning community both for a process guide that helps Head Start
participants develop skills that translate into quality practices and
products, and for a how-to text that incorporates sound planning
theories and methodologies.

This Training Guide provides concrete, practical information that can

be used within the current context of a local program's unique history,
issues, resources, and priorities. Programs can choose how they want
to integrate the suggested process into their current planning and

Planning and Reviewing for Success

ii



Module 4

Introduce Activity

Identify Reviewing Skills

1.

Trainer Preparation Notes:

1. Prepare four posters, writing one of the following phrases
on each: Seeking Underwater Adventure, Dancing,
Exploring Outer Space, and Playing Music. If desired,
pictures illustrating each phrase can be placed on each
poster. Place one poster in each corner of the room.

2. Write the following questions on chart paper:

=~ What skills are needed for the activity depicted on your
poster?

=~ What does the self-review process in Head Start have in
common with the activity depicted on your poster?

= What skills are needed for the Head Start reviewing
process?

Introduce the activity by writing the following question on chart
paper:

Why review your program?
Ask for responses.

Possible answers include: helps find out what is working in
your program; can improve work being done by identifying
program strengths and weaknesses; helps identify changes that
need to be made in how work is being done; helps determine if
goals are realistic and if they are being met (results/outcomes
and impact); can assess effectiveness of objectives and rewrite
them to make them more obtainable; and can determine extent
to which program activities help to meet federal regulations.

Review the meaning of reviewing in Head Start discussed in
Activity 4-1.

Ask participants to silently read the posters. Explain that they are
going to use their creativity to determine what Head Start review-
ing activities have in common with the activities depicted on one of
the posters.

Review

143


Review

Module 4:

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Review



Resources

Goodstein, Leonard D., Timothy M. Nolan, and J. William
Pfeiffer. Applied Strategic Planning: A Comprehensive Guide. San
Diego, CA: Pfeiffer & Co., 1992.

This 368-page planning text is intended for managets concerned about
the overall direction of their organizations. It covers why strategic
planning is necessary, benefits of the recommended model, and how to
apply the model. It also helps consultants manage an organization’s
planning process, Chapters cover envisioning, environmental
monitoring, values scan, mission, performance audit, gap analysis,
integrating action plans, and contingency planning and implementation.

Nanus, Burt. Visionary Leadership, Creating a Compelling Sense of
Direction for Your Organization. San Francisco: Jossey-Bass
Publishers, 1992.

In this book, Burt Nanus describes a step-by-step process that allows
an organization to create and implement a powerful new sense of
direction. He uses examples to show how to perform a “vision audit.”
formulate a vision. overcome resistance to change, and track the extent
to which the vision is being achieved. Nanus believes that employees’
behavior is shaped by a shared vision of a better tomorrow. Therefore,
the most important task a leader can perform is to develop and promote
this vision.

Nolan, Timothy M., Leonard Goodstein. and J, William Pfeiffer.
Plan or Die: 10 Keys to Organizational Success. San Diego, CA:
Pfeiffer & Co., 1993.

This 170-page book provides a framework for how to plan. The
authors examine ten topics critical to shaping an organization's future,
including basing decisions on values, making the mission clear,
rallying support and persevering, promoting and rewarding risk-taking,
empowering everyone in the organization, creating a learning
organization, encouraging innovation and flexibility, monitoring and
managing “down board,” maintaining a market focus, and conducting
strategic planning.

O’Connor, Judith. The Planning Committee. Washington, DC:
National Center for Nonprofit Boards, 1997.

This 20-page booklet touches on topics related to strategic planning,
including the need for a planning committee; its size, composition, and
responsibilities; the use of consultants; and the roles played by mission,
vision, goals, objectives, and strategies.

158

Planning and Reviewing for Success

162



Module 1: Plan to Pian

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Planning and Reviewing for Success

1



Introduction

Overview

Purpose

The mission of Head Start programs is to identify children and families
that need comprehensive services, determine services that best fit the
identified need, and deliver the services in a high-quality fashion. To
accomplish this, Head Start staff, parents, policy groups, and govern-
ing bodies must have structures and systems ia place that promote the
ongoing and dynamic cycle of meeting these needs. This Training
Guide, Planning and Reviewing for Success, represents both the
beginning and the end of a cycle; like a cycle, planning and reviewing
is a continual process of asking these important questions:

= What are our priorities?

= Are we focused on the needs of children and fainilies in our
community?

= How do we implement services that meet their needs?

=~ What internal and external changes do we need to make to achieve
optimal service delivery?

Thus the end of one cycle is the beginning of the next.

Planning involves many skills, such as thinking analytically, using
good judgment, and demonstrating a capacity to learn from experience
while looking to the future. Planning also involves creativity and
instinct, a willingness to change directions, and, at times, taking a
calculated risk.

There are two ways to look at planning in Head Start: it is both a
process that contributes to continuous improvement and a process that
produces written documents or products. Head Start regulations call
for developing several different planning products, including the
Community Assessment (CA), program goals and objectives, and
program area plan(s) for implementing services. The products are
created through the planning process, and the process lives on even
after the interna! planning documents have been written and approved.
Many of the activities in this Guide deal with developing the products,
but the focus is on the process of planning and reviewing. It is this
process that keeps the management team asking the important questions
about how to best meet the needs of children and families.

Introduction



Module 1: Plan to Plan

The Planning Team

Handout 6: Take Stock

Collects information about the community

Organizes, reviews, and analyzes internal and
external data

Ensures that its activities support the requirements
to:

— Assess the strengths, needs, and resources of
the community at least once every 3 years

— Update this information in the 2 intervening
years

Identifies trends, major issues, and concerns
affecting the well-being of low-income families with
young children

36

Planning and Reviewing jor Success

44



Module 3: Propose Directions and Adopt Plans

=

Handout 20: Using Gap Analysis in Setting Directions

1. Where are we now?

Based on trends, major issues, and concerns identified in CA:

Based on major issues and concerns, strengths, and accomplishments identified in program
assessment:

2. Where do we want to be? (What is our vision?)

Based on trends, major issues, and concerns identified in CA:

Based on major issues and concerns identified in program assessment:

3. What goals can we establish to reposition our program to make a difference?

Propose Directions and Adopt Plans 123



Module I

Plan to Plan

Outcomes

Key Concepts

After completing this module, participants will be able to:

= Identify the responsibilities of leaders to understand and promote
program planning and review the results that grantees and delegate
agencies achieve.

= Describe the significant steps in Head Start planning and reviewing
as well as the skills and tasks involved in making this process
successful.

= Develop a workplan, determine the data to collect for a Community
Assessment (CA), and identify how to obtain and use CA data.

= Planning is a multifaceted, dynamic, and ongoing activity that helps
formalize interactions between systems and people. Agencies that
plan well are better equipped to meet the unexpected and create a
vision for the future.

= Effective leaders play a key role in the Head Start planning and
reviewing process. Planning provides the opportunity for leaders in
the program, including members of the governing body and Policy
Council/Policy Committee as well as the Executive director and
Head Start director to commit to specific targeted plans and
activities.

= Grantees with delegate agencies must establish the parameters for
planning, not only for themselves but also for their delegate
agencies. They must advise the delegates on how to integrate their
planning activities.

= The ideal planning process in the “*~ad Start learning community
consists of sequential steps: Plar ‘an, Take Stock, Propose
Directions, Develop and Adopt Fian., and Review.

= Data is essential in helping planning teams analyze their environ-
ment, make decisions and recommendations, and establish a
baseline to review improvements. Planning teams need to deter-
mine what CA data they need to collect, how to obtain it, and the
data’s significance.

Plan to Plan



Introduction

Issues.

Summarizing
Concerns and Major

Modules Activity Time Materials
(C) Activity l-4: 70 Background Information for
What Does Planning minutes Module |
Mean in Head Start? Handout 4: Planning and
Reviewing Process
Handout 5: Plan to Pian
Module 1: Plan to Plan Handout 6: Take Stock
(Continued) Handout 7: Propose Directions
Handout 8: Develop and Adopt
Plans
Handout 9: Review
Handout 14; Data Collection
Worksheet
(W) Activity 2-1: 2 hours Handout 13: Sample of Community
Displaying and Assessment and Internal Data
Explaining Data Haadout 15: Gallery of Visuals
Chart paper, markers, and tape
(C) Activity 2-2: 90 Handout 13: Sample of Community
Interpreting and minutes Assessment and Internal Data
Analyzing Data (extra copies)
Handout 16; Planning Team Roles
Handout 17: Analyze and Identify
Trends
Module 2: Take Stock (W) Activity 2-3: 90 Handout 13: Sample of Community
Identifying Major minutes Assessment and Internal Data
Issues and Concerns (extra copies)
Handout 16; Pianning Team Roles
Chart paper from Activity 2-2,
Step 3
Chart paper, markers, and tape
(C) Activity 2-4: 90 Handout 13: Sample of Community
Analyzing Data and minutes Assessment and Internal Data

(extra copies)

Handout 18; Questions to Consider
in Compiling and Analyzing CA
Data

Introduction



Contents

Handout 24: SMART Objectives ... 2.2.0... eee eee 127
Handout 25: Guidelines for Developing a Written Program

Area Plan 2... eect ene 128

Module 4: Review ................000000 0. 129
OUICOMES ee ee eee

Key Concepts .......
Background Information
ACHVITES Co ee ee

Activity 4-1: What Is Self-Review?

Activity 4-2: What Skills Do I Need?

Activity 4-3: Self-Review, A Shared Process

Activity 4-4: Reviewing Means Results ..... .
Next Steps: Ideas to Extend Practice ...........4..+--
Handouts oo ee tee

Handout 26: Excerpt from a Written Plan ...........

Continuing Professional

Development .............0.0 cece ee 155
ReSOUICES 0... 137
Appendix: Worksheets .................04. 163

Worksheet 1: Organize the Planning and Reviewing Process . . 165
Worksheet 2: Prepare to Collect Data ..........-...-..

Worksheet 3: Develop a Data Collection Action Plan
Worksheet 4: Compile and Display Data ....... :
Worksheet 5: Analyze and Identify Trends .............
Worksheet 6: Ideniify Major Issues and Concerns
Worksheet 7: Write a Report of Your Findings .. . .
Worksheet 8: Perform a Gap Analysis ..........-....-
Worksheet 9: Develop Guidelines for the Statement of Program

Goals and Objectives .. 0.0... 0c ec eee eee eee 181
Worksheet 10: Set Major Goals ........... 200s eee 183
Worksheet !1: Create the Ideal ‘Work Team ............ 185
Worksheet 12: Develop Guidelines for a Program Area Plan . 187
Worksheet 13: Write SMART Objectives .............. 189
Worksheet 14: Plan to Review... 2... .. 00.0 c eee eee 191

Contents

vii

«I



Module 4

Continuous Improvement Continuous improvement is an ongoing process of improving services
and operations as a result of ongoing monitoring and self-assessment. It
implies that programs will strive for excellence by constantly asking:

= What can we do better?

«= How can our services or procedures be more integrated and
responsive ?

= What changes can we make to beiter address the issues affecting
children and their families?

Programs that monitor and assess their achievements on an ongoing
basis seek to continuously improve their results. They seek ways to use
the Head Start Program Performance Standards to create innovative
responses to issues and problems. They always use problem solving
techniques and implement corrective actions to improve the services
their programs provide to the children and families in their service
area.

Designing Systems Programs can be creative in designing their ongoing monitoring and
self-assessment systems. Grantees and delegate agencies must be
knowledgeable about the most recent federal regulations that govern @
Head Start and must incorporate these requirements when designing
operating systems. There are no mandated processes or formats for
self-assessment or ongoing monitoring. However, when these two
systems are fully integrated into others (record keeping, reporting, and
communications, for example), an agency’s operations can flow more
smoothly and problems can be detected and corrected more easily.

Some tools that may be useful in designing review procedures include
the Program Information Report (PIR), Head Start Family Information
System (HSFIS), the Head Start Cost Management System (HSCOST),
and the Program Review Instrument for Systems Monitoring (PRISM).
In addition, local or program-specific tools such as the CA and results
from the most recent audit, self-assessment, and federal monitoring
reports provide potentially useful information. Finally, staff can use
program or center data such as checklists or other review instruments.

The key to successful self-review is asking a lot of questions—the right
ones—and answering them truthfully. The self-review processes may
produce some conflict; however, this kind of disagreement can be a
constructive opportunity. (It is always healthy to share different
perspectives on an issue.)

136 Planning and Reviewing for Success

13

Co

tye
ede



Module 3

Discuss Guidelines

Summarize

Session 2: Developing Part
of a Program Area Plan

Introduce Activity

Discuss Program Goals
and Objectives

7.

implement Section 1304.52, (k)(1)-(3) of the Head Start Program
Performance Standards.

Tell each group to record the guidelines they develop on chart
paper. Allow 30 minutes for this activity.

Ask each group to report on the guidelines developed. Lead a
discussion to reach consensus on a general list of guidelines for
creating this work team. Record the guidelines on chart paper.
Collect the guidelines to use in Session 2.

Conclude with the following points:

= When management teams discuss their expectations for a work
team before the team is formed, the team’s work is more likely
fo meet management 5 expectations,

= Management teams need to provide guidelines te work teams to
ensure that the team members understand what they are to
accomplish.

= When a cross-section of staff members work on developing a
written plan, they are more likely to support and implement the
plan. In addition, the plan is more likely to address the
program's diversified needs.

Materials:

Extra copies of the Head Start Program Performance Standards for
Parts 1304.52, (k)(I)-(3)

Handout 24: SMART Objectives

Handout 25: Guidelines for Developing a Written Program Area
Plan

Chart paper prepared during Step 2 and Step 5 from Session I

Explain to participants that they will now assume the roles of
members of the program area work team discussed in Session I.
Divide participants into groups. Each group represents a team in
the process of developing a staff training and development work
plan as required by the Performance Standards. Ask participants to
select a role to play within the group, making sure that their work
team represents a cross-section of individuals from the program.

Review the chart paper from Session J, Step 2 identifying the
scenario’s staff development issues and the requirements of the
Performance Standards on training and development that relate to
this program. Record the following goal on chart paper:

112

Planning and Reviewing for Success

116



Module 2

Introduce Activity

Identify Major Issues
and Discuss Importance

Work in Groups

1.

3.

Tell participants that this exercise builds on the analysis they
performed in Activity 2-2 when they interpreted data from the
scenario to identify trends. In this exercise, they will continue their
analysis of the service area they studied and identify major issues
and concerns.

Explain that they will work in the same planning team groups
established in Activity 2-2 and use the analysis they performed at
that time. Participants may select different roles to play in this
exercise. Review the roles of team members described on Handout
16: Planning Team Roles.

Ask:

Why is it important to use CA data to identify major issues and
concerns?

Emphasize that this is an extremely important step in developing
appropriate program goals. If agencies focus only on gathering
statistical information—without analyzing the data and identifying
major issues—they will not be able to provide quality services.

Ask the question below and record responses on chart paper:

What are some exainples of major issues and concerns that you
remember from the scenario?

Some examples appear below:

Nearly one in five Head Start children suffered from upper
respiratory problems and/or ear infections.

One in six Head Start children was behind in receiving
immunizations.

One in seven Head Start children had skin problems (eczema and
psoriasis).

Ask:

What impact do these major issues and concerns have on Head
Start services?

Review the 7s*ignment posted on chart paper. Give each group
chart paper and markers to record their responses:

68

Planning and Reviewing for Success



Module 1

Introduce Activity

Explain Group Activity

Meet with Groups

Materials:

1.

Handout 1: Instructions for Observers
Handout 2: Instructions for Planning Tec.
Handout 3: Instructions for Implementing Team
Lego structure of ten to fifteen pieces

Lego pieces to replicate the structure

Trainer Preparation Notes:
This activity was adapted from Phase III Training.

1, Construct a simple Lego structure that consists of ten to
fifteen pieces. Conceal the structure until it is used in the
activity.

2. Place a set of unconnected Lego pieces that are needed to
build the Lego structure in a bag for each implementing
team.

Referring to the Background Information, explain the importance
of the planning process. In addition, explain the role of a planning
team and the benefits of a team composed of individuals who have
diverse Head Start experiences and skills. Explain that they will
participate in a group activity to help identify essential skills and
processes needed for successful planning.

Divide participants into three groups: a planning team, an
implementing team, and observers. If the group is larger than
twenty-four, consider having two or more implementing teams.
Distribute the appropriate instruction sheet (Handout 1, Handout 2,
or Handout 3) to each teain and tell them to read the instructions.
Explain that you will meet with each group to clarify their
instructions. You will review the instructions first with the
observers, then with the planners, and last with the implementers.
Ask each group to go to a separate room or different parts of a
large room to review their instructions.

Review Handout 1: Instructions for Observers with the observers.
Explain that while the planning team is developing instructions and
the implementing team is interpreting the instructions, they are to
take notes on what they observe. They are to record the skills team
members demonstrate in each activity related to performing the
assignment (work process) and working together (group process).

20

Planning and Reviewing for Success

28



Module 4

Activity 4-4: { 00

Reviewing {Ay
Means Results

Session 1: What Is Self-Review?

Introduce Activity

Define Reviewing

Discuss Importance of Self-Review

= Because governing bodies are responsible for overseeing the
success of a program, they must receive routine updates on
Progress made toward implementing plans.

Purpose: in Session ] participants will practice reviewing
program activities. In Session 2, participants will discuss the
importance of including the Policy Council/Policy Committee and
governing body in reviewing activities.

Materiais:
Background Information for Module 4
Handout 26: Excerpt from a Written Plan

1, State that self-review, a key process in the Head Start environment,
leads to continuous improvement and high-quality outcomes. Ask
participants what words they would use to describe the self-review
process. Write these words on chart paper.

2. Write the following question on chart paper:
What does the process of reviewing mean in Head Start?

Distribute copies of the Background Information for Module 4 and
ask participants to read it before answering the question.

After participants finish reading, discuss strategies for monitoring
ongoing progress and self-assessing the results.

3. Lead a discussion about the significance of self-review. Include the
following:

= Reviewing should indicate the extent to wnich goals are being
met and the impact of services on issues and concerns identified
in the CA.

® Reviewing is a comprehensive process that includes monitoring
activities, self-assessing program strengths and compliance,
and determining the impact of goals.

= Programs that focus on continuous improvement are always
seeking Ways to use the Head Start Program Performance
Standards to improve their program.

Review

147

yA



Introduction

Organization

Planning and Reviewing for Success consists of four modules.

Each module includes Outcomes, Key Concepts, and Background
Information that support the Guide outcomes. Module Outcomes
identify the skills participants will develop through completing the
activities in the module. Key Concepts outline the important ideas

that participants need to learn to achieve the training outcomes. The
Background Information expands on the Key Concepts and provides
a context for the training activities.

This Training Guide also includes various formats for training: work-
shop activities, coaching activities, next step activities for applying the
skills developed in each module to a program’s planning process, and
continuing professional development activities. The final sections
consist of an annotated list of resources that trainers and participants
can use to expand their knowledge and an appendix containing
worksheets that can serve as guidelines when participants apply

the steps to their own programs.

The following modules are included in this Guide:
= Module 1: Plan to Plan

This module presents sequential steps in the planning and review-
ing process and clarifies the roles and responsibilities of Head Start
leaders in promoting program planning and continuous improve-
ment. The activities provide information on establishing planning
teams, understanding the steps in the planning cycle, and deter-
mining significant data to collect for the CA.

= Module 2: Take Stock

This module helps participants understand how to use community
data and external program data. Participants practice displaying and
analyzing data to identify trends and major issues relevant to the
Head Start-eligible population. Finally, participants compile their
findings in a draft outline for 2 Community Assessment Report.

= Module 3: Propose Directions and Adopt Pians

After analyzing the data and identifying major issues and concerns,
participants are ready to focus on formulating goals, objectives,
and plans. They see how goals and objectives influence the
development of varied operational plans. These operationa! plans
describe service delivery, organizing systems and procedures, and
coordinating Head Start services with services of other agencies.
When these steps are completed, programs are ready to implement
their plans.

Introduction

i4



Module 4

Trainer Preparation Note:
Write the following directions on chart paper:

Part One:
Work with the members of your group to answer:

1, What do we need to know to be involved in reviewing
activities?

2. What do we need to do to be effective?

3. Whar makes it very challenging for us to be involved in
reviewing activities?

4. What do we need to do to overcome the challenges we
face?

Part Two:

Prepare a 5 minute role play discussing your answers to the
questions. During the role play, some individuals may need to
é take opposing viewpoints to fully demonstrate the issues.

Introduce Activity 1. Introduce the activity by stating that it will focus on who should be
involved in self-review activities and their roles and
responsibilities.

Work in Groups 2. Divide participants into four groups so there is one group to
represent each of the following: managers and supervisors, policy
group, governing body, and staff. Explain the following directions
posted on chart paper:

Part One:
Work with the members of your group to answer:

1. What do we need to know to be involved in reviewing
activities ?

nN

What do we need to do to be effective?

3. What makes it very challenging for us to be involved in
reviewing activities?

@ 4. What do we need to do to overcome the challenges we face?

Review 145

147



Module 1

Complete Sample We Plan

Complete Sample Calendar

@ Summarize

Session 2: The Data

«= How does the information from the self-assessment feed into
Program goals and objectives?

= When should the annual self-assessment be completed?
= When should program area plans be developed?

4, Distribute and review Handout 1: Planning Cycle Work Plan.
Give participants 5 minutes to work independently and estimate a
date for completing each task. (Depending on the composition of
the group, they may work alone or in pairs with someone from
their program.) When everyone has estimated the dates on the
work plan, if possible ask participants from the same program to
review their responses with each other. Encourage them to try to
agree on the dates.

5. Distribute Handout 12: Blank Planning Calendar. Tell participants
to transfer the tasks from the Planning Cycle Work Plan to the
Blank Planning Calendar. After 15 minutes, ask participants to
share their responses with the entire group.

6. Conclude by summarizing the tasks involved in the planning
process. Include the responsibilities of the governing body, Policy
Council/Policy Committee, and program staff.

Materials:
Handout 13: Sample of Community Assessment and Internal Datc
Chart paper, markers, and tape

Trainer Preparation Note:

Prepare and post the following directions for Step 5 on chart
paper:

1. Develop a list of sources where data about the program
and the community can be obtained.

2. Explain why the data will be collected and how it will be
used.

3. Identify issues/challenges to consider in obtaining the data.

4. List major iasks involved in collecting the data.

Plan to Plan

25

33



Module 2: Take Stock

Instructions

In order to develop program plans, each Head Start grantee is required by the Head Start Program
Performance Standards to assess community strengths, needs, and resources and perform an annual
program self-assessment. A report explaining significant data from these assessments is a helpful

document to write. Titis worksheet will help you plan the report and determine the information you
want to include in it.

1, What is the purpose of this report?

(Remember that this report is a reference tool describing the characteristics, strengths,
challenges, and resources in the internal and external environments.)

2. How will this report be used?

3. Who will read this report?

Appendix

178



Module 3

Where Are We Now?

What Is Our Vision?

Tell participants that they are going to put on their creativity hats
and use a metaphor to begin to think about answering the first
question in a gap analysis: Where are we now?

Define a metaphor as figurative language (that is, words or phrases
that /iterally denote one idea, but suggest another). For this
activity, participants need to think in terms of language and mental
images that correspond with the metaphor they choose.

Explain that the assignment is to select a metaphor that describes
their current situation. Next they are to explain how the metaphor
relates to their program by using words or graphics to illustrate
their current assessment of where the program is. Give the
following example, writing it on chart paper:

Metaphor: Today's mighty oak is just yesterday's little acorn that
held its ground.

Describe how the current situation in a program could relate to
mietaphor.

We have cultivated and nurtured collaborative agreements with
many agencies that work with our families. The branches of our
tree are growing strong as we participate on advisory committees
and in staff development and marketing activities. We are
branching out by participating on the boards of other organizations
and by attending their activities. There are many new acorns
developing as our families are getting new Services.

Distribute Handout 2/: Using Metaphors in Setting Directions, and
discuss the metaphors. Tell participants they may use one of the
metaphors on the handout or one of their own for this activity.

Give participants 15 minutes to work independently. Discuss
responses and how they relate to the first question on the handout:
Where are we now? Emphasize that this is not intended to be a
comprehensive analysis of their program.

Refer to the second question on Handout 20: Where do we want to
be? (What is our vision?) Review Burt Nanus’ characteristics of
visions.

Tell participants their next task is to describe the answer to Where
do we want to be? (What is our vision?) using words or pictures.

Give the following example of how to use the oak tree metaphor to
answer this questio:

100

Planning and Reviewing for Success

104



Module 4

Identify Skills

Ask participants to go to the poster that they believe best represents
the skills involved in the Head Start review process. However,
since the groups must be approximately equal in size, they may not
be able to select their first choice.

Give the groups 20 minutes to record on chart paper answers to the
questions you have alzeady posted:

= What skills are needed for the activity depicted on your poster?

= What does the self-review process in Head Start have in
common with the activity depicted on your poster?

« What skills are needed for the Head Start reviewing process?

3. Reconvene the entire group and ask each group to report. As they
do so, list on chart paper the skills they have listed as needed in the
Head Start reviewing process. Ask groups to clarify why the skills
are needed.

When all groups have reported, review the list and ask if any
additional skills need to be added. Discuss the reason for each
addition listed.

Possible answers include skills related to: planning; time
management; collecting, compiling, and analyzing data;
working with others; understanding statistics; interviewing;
facilitating focus groups; observing; writing reports; managing
the process; troubleshooting; and tracking.

4. Conclude by emphasizing the importance of the review process in
Head Start and summarizing the skills needed.

Purpose: Participants will describe the roles and responsibilities of
managers and supervisors, staff, parents, members of the Policy
Council/Policy Committee, and the governing body in the Head Start
teview process.

Summarize

Activity 4-3: “AGA,
Self-Review, é 3
A Shared SF
Process ——_
144

Planning and Reviewing for Success



Module 3

Goal Setting

Burt Nanus,' a well-known management expert, describes the special
characteristics of visions as follows. They:

Are appropriate for the organization and the times: Visions fit
into the organization’s present situation and provide a realistic and
informed assessment of what is attainable in the future.

Set standards of excellence and reflect high ideals: Visions
depict the organization as responsive to the community, having a
sense of integrity.

Clarify purpose and direction: Visions define what the
organization wants to happen and legitimate aspirations for
organization members. They create focus.

Inspire enthusiasm and encourage commitment: Visions widen
the agency’s support base by reflecting the needs of many
stakeholders, transcending differences in race, age, gender, and
other demographic characteristics. They draw stakeholders into a
community of concerns about the future of the organization.

Are well-articulated and easily understood: Visions are stated in
such a way that they serve as a guide for taking actions and they
are easily internalized by those who attempt to turn the vision into
reality.

Reflect the uniqueness of the organization: Visions emphasize
the organization's characteristics, its goals, and its achievements.

Are ambitious: Visions represent undisputed progress and expand
the organization’s horizons. Visions often call for sacrifice and
emotional investments.

(Refer to the Training Guide Participating in the Management Process
for guidance on how to develop a program vision. The term “mission”
is used in the same context as the term “vision.”)

After a program's vision has been identified, the next step is to answer
What goals can we establish to reposition our program to make a
difference? Answering this question involves identifying community
and program goals.

* Burt Nanus, Visionary Leadership. Creating a Compelling Sense of Direction for Your Organization, (San
Francisco: Jossey-Bass Publishers, 1992), p. 28-29.

Propose Directions and Adopt Plans

93



introduction

= Module 4: Review

This module focuses on the review process. It discusses ongoing
monitoring and assessing goals and objectives to determine the
impact of an agency’s services. Participants examine who should
be involved in these processes, including the roles of governing
bodies and Policy Committees/Policy Councils.

Planning and Reviewing for Success reinforces the Head Start
philosophy that learning is an ongoing process for individuals and
organizations and that staff, parents, Policy Councils/Policy
Committees, and governing bodies must continuously improve how
they meet the needs of children, families, and communities.

Planning and Reviewing for Success

15



Module 3

Activity 3-1: tS o

A First Step
in Proposing Ay

Directions —a

Introduce Activity

Explain Gap Analysis

Purpose: This activity develops gap analysis skills. It will help
participants understand how this technique can be used as a first
step in proposing directions.

Materials:
Handout 20: Using Gap Analysis in Setting Directions
Handout 21: Using Metaphors in Setting Directions

Coach Preparation Notes:

Tell participants in advance they will be referring to
information obtained in a CA and a program assessment. If
they have time, ask them to review the data collected in their
program’s most recent assessments,

1. Review the steps in the planning and reviewing process covered in
Modules I and 2. Briefly explain the tasks involved in proposing
directions: developing a vision, setting goals, developing
objectives, and writing objectives and an integrated program area
plan.

2. Explain that this activity focuses on answering:
= Where are we now?
= Where do we want to be? (What is our vision?)

= What goals can we establish to reposition our program to make
a difference?

Refer to the Background Information for an explanation of the
meaning and importance of performing a gap analysis. Distribute
and review Handout 20: Using Gap Analysis in Setting Directions.

Explain that CA and self-assessment data will be used in a gap-
analysis exercise. Ask participants to think about what they have
learned from their program’s assessments.

Emphasize that this is a practice exercise. Participants will not use
all the information collected in their program’s assessments and
they will not perform a comprehensive gap analysis of their
program. This activity allows them to practice the techniques.

Propose Directions and Adopt Plans

99

1u3



Module 3

What Are Our Goals?

Discuss Goals

Set Goals

5.

6.

Give participants time to review the major issues and concerns
from Activity 2~3 posted on chart paper, Next, ask participants to
silently read the answers posted on the chart paper to the first (wo
questions from the gap analysis. Using the Background
Information, define goals that will assist them in answering this
question, Based on this information, ask participants to brainstorm
answers to the question below,

mm What goals can we establish to reposition our program to make
a difference?

Discuss response:

Discuss the characteristics of effective goals, focusing on the
following key points posted on chart paper:

Effective Head Start goals:

= Are future-oriented, yet practical enough to implement.

= Are appropriate for Head Start--they fit in with the agency’:
history, mission, and values as well as children’s and fc.nilies’
needs.

«Ser standards of excellence and quality of services for children
and families.

= Clarify the direction and outcomes the program wants to
achieve,

= Inspire and motivate all stakeholders: parents,
bodies, and the community.

, governing

= Reflect the unique issues and challenges present in the Head
Start service area.

= Are ambitious but not excessively so, and can make a difference
in a reasonable length of time.

Tell participants their next task is to use the major issues and
concerns identified in Activity 2-3 (displayed on the chart paper)
and the information they obtained during the gap analysis to
develop long-term, multi-year goals that set the direction for the
program described in the scenario. For assistance in developing
goals, refer to the posted questions and Handout 22: Guidelines for
Setting Goals.

4

Planning and Reviewing for Success

108



Module

Next Steps:
Ideas to Extend
Practice

The following activities will help participants apply the skills in this
module to their own programs.

= Have a contest to select a metuphor or motto that represents the
ideal future for your Head Start program, Examples such as those

used in Activity 3-/ can be suggested, although there should be an

incentive for being original and creative. If possible, give a prize
or recognition to the winning metaphor or motto. Use the selected
metaphor or motto as a theme for stating program goals and
objectives when writing the program area plan(s).

= Develop a planning model for your program.

Arrange a series of meetings among the Head Start director, the
management team, the Policy Council/Policy Committee, and the
governing body to review the steps in the planning process
described in this guide.

Before the first meeting, duplicate and distribute the following to
everyone invited: the /ntroduction to this Guide, the Background

Information for each module, Handout 4: Planning and Reviewing

Process, and the Resources Section. In addition, assign an
individual to facilitate the meeting; this individual will lead a
discussion on reviewing and critiquing the planning model.

At the first meeting, review and critique the planning model
described in this Guide. Note that books with additional planning

models are described in the Resources Section. Establish an action

plan for developing a planning model for your program. Schedule
as many meetings and activities as needed until you develop your
own model.

= Establish a group to develop guidelines for work teams that are
assembled to develop written plans.

From a general perspective, these guidelines should include how to

structure and facilitate meetings, how individuals should interact
with each other in the meetings, the purpose of each work team,
the tasks that each team needs to perform, the results they are
expected to achieve, and a format for the written plan. More

specifically, the guidelines might include instructions to reorder the

Head Start Program Performance Standards so that appropriate
groupings are established to better reflect how your program
currently plans to implement the standards.

120

Planning and Reviewing for Success



Module 2

Explain Visuais

Summarize

Ask each group to prepare an oral presentation that explains the
visuals they develop. All group members should participate in the
presentation. Assign each group a different audience for its
presentation, ensuring that presentations are prepared for the
governing body, the Policy Council/Policy Committee, and the
staff.

6. Give each group an opportunity to explain its visuals. After each
presentation, ask group members:

= How does your display enhance the CA Report and help the
reader understand the service area?

= What types of factual or statistical data did your group look at
to create your display?

After each group reports, ask all participants:

= How effectively did this presentation meet the needs of the
audience?

= Could a non-English-speaking parent benefit more from the
narrative scenario or your display?

7. Conclude the activity by summarizing the importance of collecting
significant data and compiling, displaying, and presenting the data
effectively. Emphasize the importance of meeting the needs of the
audience.

Activity 2-2: Purpose: Using a portion of a sample CA, participants practice
Interpreting interpreting and analyzing data to identify trends that may affect Head
and Analyzing Start now or in the future.
Data
Materials:
Extra copies of Handout 13: Sample of Community Assessment and
Internal Data
Handout 16: Planning Team Roles
Handout 17: Analyze and Identify Trends
Collect chart paper prepared by each team in Step 3 for additional
use in Activity 2-3.
64

Planning and Reviewing for Success

71



Module 2

Introduce Activity

Discuss CA Data

Analyze Data

1, Tell participants that this exercise gives them an opportunity to
practice some of the tasks involved in the CA process. This activity
focuses on identifying and analyzing data and using it to identify
major issues and concerns.

2. Distribute Handout 13: Sample of Community Assessment and
Internal Data. Ask them to read the scenario and answer the
question: Whar significant information about the Head Start service
area is found in this scenario? Suggest that participants underline
significant information as they read. Give participants 15 minutes
to read.

To facilitate the discussion, ask:

= What did you learn about the service area from this summary?
= Do you feel that all the data in the summary is significant?

= Why is it important to collect significant data?

=~ What planning steps need to be taken to better ensure that
significant data is collected?

= What challenges are involved in identifying data to collect? In
collecting it?

= Why is it important to compile and display the data effectively
in the CA Report?

3. Tell participants they will now analyze the data on CWC’s service
area. Emphasize that performing a CA is a process. They have
already discussed issues related to identifying and collecting data.
Explain that this process also involves analyzing data and
identifying major issues and concerns.

Distribute Handout 18: Questions to Consider in Compiling and
Analyzing CA Data. This gives participants key questions to
consider when analyzing CA data. Allow participants 20 minutes to
answer the questions independently.

Discuss responses, listing the major points in their analysis on chart
paper.

Identify Issues 4. Tell participants that now that they have practiced interpreting data,
it is time to identify major concerns and issues.
70 Planning and Reviewing for Success

(7



Introduction

Modules

Activity

Time

Materials

Module 3: Propose
Directions and Adopt Plans
(Continued)

(W) Activity 3-4:
Creating Work Teams
and a Written Program
Area Plan

Session 2:
Developing
Part of a
Program
Area Plan

1 hour, 40
minutes

Head Start Program Performance
Standards for Parts 1304.52,

(k) (1)-(3) (extra copies)

Handout 24: SMART Objectives
Handout 25: Guidelines for
Developing a Written Program
Area Plan

Chart paper prepared in Session /,
Step 2 and Step 5

(W) Activity 3-5:
Shared Decision-
Making

90

minutes

Copies of Head Start Program
Regulations and Program
Guidance for Parts 1304 and
1308, 1304.50, Appendix A:
Governance and Management
Responsibilities, p. 175 and p.
177, Key and Definitions as Used
in Chart

(C) Activity 3-6:
Developing a Written
Plan with SMART
Objectives

2 hours, 15
minutes

Head Start Program Performance
Standards for Parts 1304.52,
(k)(1)-(3) (extra copies)

Handout 13: Sample of Community
and Internal Assessment Data
(extra copies)

Handout 24: SMART Objectives

Handout 25: Guidelines for
Developing a Written Program
Area Plan

Module 4: Review

(W) Activity 4-1:
What Is Self-Review?

2 hours

Handout 26: Excerpt froma
Written Plan

Hats, badges, or signs labeled
Monitoring Maven for each
participant

Chart paper, markers, and tape

(W) Activity 4-2:
What Skills Do I
Need?

1 hour

Chart paper, markers, and tape

Introduction



: Plan to Plan

Module 1.

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Appendix



Module 3

What Goals Can Our Program Set?

Summarize

5.

We want to clear ground and prepare soil to plant several new oak
trees, One large new tree will branch out into the chamber of
commerce and others will offer shade in the yards of private child
care providers who collect and nourish our acorns during times our
program is closed.

Give participants 15 minutes to work independently. Discuss
responses.

Write the third question on Handout 20 on chart paper:

What goals“ we establish to reposition our program to make a
difference?

Using the responses to the first two questions, facilitate a session
that answers this question in words rather than in metaphors. Ask
participants to identify long-range goals and list them on chart
paper.

Continue to emphasize that this exercise is not intended to he a
comprehensive assessment of their program: it is a practice
activity.

Conclude by using imagery from metaphors to review the
importance of this task. For example:

= An assessment of where we are and where we want to be
provides the path for a journey of a thousand iniles.

TM Setting the direction by performing a gap analysis allows
everyone in the program to go forward toward achieving a
better tomorrow.

= Plant and nurture the acorns (goals), prune away the parts that
need to go (continuous improvement), make sure there is plenty
of sunshine and water (staff and resources), and your Head
Start program will have an everlasting mighty oak.

= Create a better future for Head Start families by imagining how
things could be different and planning goals to get there.

= Carefully setting the course will ensure program goals are
completed successfully.

Propose Directions and Adopt Plans

101

1us

rr



Module I

The Planning and Reviewing
Process

Plan to Plan

Take Stock

share is a commitment to the planning pre
time and patience.

ss, Which can take a lot of

Planning team members must communicate the results of the planning
process to those who will implement them, ft is important that everyone
involved in the program understands how and why the planning team
came up with the proposed recommendations. Tezm members with
good interpersonal skills can encourage links between the planning
team and other staff, parents, and interested community partners.

The steps in the planning and reviewing process are Plan to Plan,
Take Stock, Propose Directions, Develop and Adopt Plans, and
Review. Keep in mind that while a program begins a new planning
proces~., it continues to implement the current plan. Therefore,
planning and implementing happen simultaneously.

Because planning is a dynamic and multifaceted activity, many of the
steps overlap and are continuous or repeated throughout the program
year, calendar year, or the timeframe of the long-range plan. For
instance, when a program or agency has taken stock and proposed
direction, and then finds out through its internal ongoing monitoring
process that the plans it adopted are not working well, it may be
necessary to propose a new direction and/or adopt different approaches
to issues than the ones originally chosen. Making the adjustments and
fine-tuning the results of ongoing monitoring and self-assessment data
are essential continuous improvement activities.

Getting organized is the basic task of the first step, Plan to Plan.
Important elements include selecting and orienting the planning team
and getting the necessary commitment to proceed from the Policy
Council/Policy Committee and governing body. This process also
involves determining the data needed for the CA and the tasks involved
in collecting the data. In planning for the CA, team members need to
know how to gather information from sources such as the U.S. Census
Bureau; local and state planning departments; local and state education
departments; welfare departments; public health, housing, and
employment oftices; organizations that provide community services for
children with disabilities; and child care resources. Team members also
need to understand how to collect and interpret both hard data from
quantitative reports and soft or qualitative data such as opinions,
surveys, focus group discussions, and interviews with community
institutions, families receiving or needing services, and staff and
agencies that work with Head Start-eligible families.

The second step in the Head Start program planning process is to Take
Stock. In this step the planning team analyzes the environment and

Plan to Plan



Module 1; Plan to Plan

- 7
Hamilton County Health Department—offers well-baby clinics once a month in each of the three towns
and provides immunizations.

Hamilton County Social Services Department—provides information on requirements for assistance to
families who may soon be ineligible for TANF.

Hamilton County Mental Health Department—holds sessions with parents once a month in each
community to discuss topics chosen at a prior meeting. These are very well-attended.

Hamilton County Development Agency-—meets once a month to discuss economic issues that affect
these communities, Initially, attendance at these meetings was low. In the last year, parents of children
in Head Start and child care have begun attending and asking what cari be done to create more jobs in
the area.

Of the total population, 20 percent live below the federal poverty level. Unemployment stands at 13 percent.
There are 4,890 households in this area and 10 percent of the households are headed by single woraen.
Caucasians account for 73 percent, 17 percent are Hispanic, 5 percent are Native Americans, and 5 percent are
identified as “other.”

Twenty percent of persons with incomes below the poverty level are eighteen years of age or younger and 18
percent are sixty-five years of age or older. The teen birth rate is 11 percent. Last year, nine of the eighty-nine
reported births were to mothers between sixteen and eighteen.

Immunization rates for infants and young children were higher than in the county as a whole. It is believed that
collaborative efforts with the health department along with outreach by Head Start and Child Care staff have

improved the participation rates. Only 0.5 percent of youngsters had not been immunized when they entered
school.

Health problems most frequently cited for young children in this area are related to the well water that many
consume and increasing problems with runoff of pesticides and fertilizers from some of the nearby small
farms. Gastrointestinal illnesses are the most often reported problems for young children.

CWC currently serves thirty-six children age zero to five years in home-based programs.

Areas IV and V

Since time for completing this activity is limited, this scenario does not include data on Area IV and Area V.

46 Planning ane Reviewing for Success

iss
qT



Module 3

all classes. As part of this effort, a monthly activity will be conducted in
the classroom.

Home Visitors will include a discussion on smoking and its relationship
to upper respiratory problems both during one home visit and during
one followup in parent-center meetings.

The first objective is a broad statement because it refers to “five
activities” without identifying the activities. However, this objective
also has elements of a SMART Objective: it states what is to be done
(provide at least five activities for each family member to assist them to
stop or reduce smoking) and when it will be done (by the end of the
operational year). The additional SMART Objectives give more details.
They describe four specific, measurable, action-oriented, timebound
activities/strategies stating when each task will be done (for example,
November 5 of this year, time of enrollment, monthly); how it will be
done; and who will be responsible for doing it (Health Services
Manager, Family Advocates, Child Development and Health Services
Manager, Home Visitors). Before these cbjectives are carried out,
teams need to determine how realistic they are and obtain the necessary
approval to proceed with them.

Both the second and third strategies have an impact on the program
area plan(s) and indicate changes that may need to be made.

Careful attention must be given when developing or revising the
program area plan(s) to respond to the goals and objectives and other
changes that may be needed as a result of the CA and/or self-
assessment; agencies need to consider each of the four questions in the
guidelines for developing the statement of program goals and objectives
as well as the three additional questions that form the guidelines for
developing the program area plan(s).

Each agency's program area plan is unique in that it describes how the
management and program systems are integrated to deliver quality
services.

Each agency has the choice of whether its plan will be viewed as a
single document or as multiple plans. In addition, when writing the
plan(s), there is discretion to move standards from one service area to
another (for example, from Child Health and Developmental Services
to Program Design and Management) if this would provide a better
description of the agency’s systems.

Grantees should ensure that their plans do not restate the Performance
Standards. Each of the program area plan(s) must describe how the

Propose Directions and Adopt Plans

o7

101



Module 1

Next Steps:

Ideas to Extend
Practice

The following activities can help participants review key information,
practice using skills, and assess their understanding of the concepts in
this module. The suggested ideas offer participants an opportunity to

put the skills discussed into practice in their own programs.

* Contact planning bodies in the community such as the county or
city economic development department, the health department, the
United Way, or other social services organizations. Arrange for a
representative from their planning groups or from the management
team to meet with the Head Start planning team. Ask the represent-
ative to bring data and documents, and offer to reciprocate by
sharing data collected about Head Start children and families. Such
collaborative exchanges open up opportunities for joint planning
projects to benefit Head Start families.

=~ Use Handout 11; Planning Cycle Work Plan as a guide to deter-
mine critical planning tasks and projected dates for accomplishing
them in your program. When it is clear what needs to happen, then
it becomes easier to accomplish the planning tasks in a more
orderly manner.

Next, transfer the tasks related to collaborating among staff, the
governing body, and the Policy Council/Policy Committee to
Handout 12: Blank Planning Calendar. The calendar serves as a
pertinent planning reference tool in implementing a collaborative
planning process.

= Publicize the CA process by making sure staff and parents know
the process, why it happens. and what happens with its findings.
Use internal communication networks such as staff and parent
meetings, bulletin boards, newsletters, and flyers. Publicity will
raise awareness that a CA will take place and invite participation
and interest. This pays off when the findings and recommendations
are shared. An inclusive CA process forges a link among staff,
parents, and the community.

«Expand the planning process to include strategic planning concepts
beyond those required by the Head Start Program Performance
Standards. For example, programs must assess community
strengths, needs, and resources. Go a step further to complete an
environmental scan that looks beyond these factors to opportunities
and threats on the horizon. This type of assessment is often called
SWOT: assessing Strengths, Weaknesses, Opportunities, and
Threats.

Plan to Plan

29



Module 3: Propose Directions and Adopt Plans

Instructions

Using the analysis of the external and internal data, answer the questions below.
1. Where are we now?

(What is our program like now? What are our major accomplishments? What are our strengths?
Our challenges? What trends are identified in the CA data? What major issues do we face?)

2. Where do we want to be?
(What is our vision for the future?)

3. What goals can we set to reposition our program to make a difference?
(What do we ! 10 do to better achieve our vision? Given the trends and major issues
identified in the CA data, what changes do we need to make?) .

REST COPY AVAILABLE

(Continue on back)

Appendix 179

1.0



Module 4

Shared Process

Benefits of Review Systems

Ongoing monitoring and self-assessment are integral parts of the
planning cycle. Everyone participates in the process. Head Start
encourages comprehensive, integrated approaches to service delivery.
It is not appropriate to think in terms of separate components with
separate goals and separate responsibilities. Everyone contributes to
program quality, and when a part of the system does not function
effectively, it is everyone’s responsibility to work om corrective
actions.

While much of the actual review work—such as conducting the annual
self-assessment—usually rests with program staff, it is crucial to make
the process inclusive. It is especially important that the Policy
Council/Policy Committee and the governing body—and, when
possible, community members—participate. Governing bodies have
oversight responsibility for their programs. They must be updated
routinely on progress toward implementing plans and any changes
proposed to help meet goals. The results of ongoing monitoring and
self-assessment provide the information for these updates.

Systems for both ongoing monitoring and self-assessment should
include procedures for making reports to policymaking groups so they
can use this information in their decision-making. These reports may
include information about accomplishments as well as the shortfalls and
barriers that programs experience. This ailows policymaking groups to
learn about the program and make better decisions about the agency’s
policies and directions.

Examples of information to provide policymakers (and how frequently
to provide it) include:

= The status of enrollment: monthly.

= Expenditure reports (with status of funds and variations from
planned expenditures): monthly.

= Status of completion of program targets (such as implementing
partnership agreements): quarterly.

= Self-assessment results and any proposed corrective action:
annually.

= Action on audit findings: as designated by governing body.

Ongoing monitoring and self-assessment systems promote healthy
programs. Rather than feeling threatened, staff and parents should see
the benefits of early detection of needed changes. Using internal
monitoring and self-assessment to find and correct problems requires

Review

137

139



Introduction

Modules

Activity

Time

Materials

Module 4: Review
(Continued)

(W) Activity 4-3
Self-Review, A S. «red
Process

1 hour, 45
minutes

(C) Activity 4-4:
Reviewing Means
Results

Session 1:
What Is
Self-
Review?

90 minutes
Session 2

Reviewing
Is a Shared

Process

lL hour

Background Information for
Module 4

Handout 26: Excerpt froma
Written Plan

C = Coaching Activities
W = Workshop Activities

rate}
a

Planning and Reviewing for Success



Module 2

a

with other groups and agencies in the community. This means looking,
for potential collaborations within the community that would offer
resources to augment Head Start services.

In addition, the planning team develops a list of issues that affect the
quality of life and adequacy of current services for eligible children and
their { umilies. The planning team needs to answer the following kinds
of questions while taking stock of the data that has been collected:

= What do the program and the community offer in the way of
current or prospective employment, training, education, housing,
and transportation?

= What does the data say about the nuinber of unserved families
residing in the community?

= How does this information impact on planning for expansion?

« How can this information assist the management team in planning
for quality improvement projects?

4. Plan CA Report When CA data is comprehensively and accurately covered in the CA
Report, the report will be a tool that can be used to effectively plan and
create strategies for providing quality services to children and families. Cy

Before writing the report, a simple outline should be used to organize
the important information. The outline helps ensure that all data is
organized clearly and logically and that all pertinent information is
included in the report. Since many audiences can benefit from the
information, it is important to prepare the written document by using a
variety of visual displays. The outline can identify the type of visuals to
use and the content for the visuals.

Each agency must decide how to format the CA Report so that this
comprehensive document accomplishes its purpose. For example, the
first section can begin with a Gerieral Description of the Service Area
that includes information on the grantee and on general characteristics
of the community such as geographical features, landmarks, unique
attractions, and climate. Specific data can be categorized under
Demographics, Environment, Health, Economy and Employment,
Community Services, Community Safety, and Internal Data (see
explanation of these categories in the Background Information section
titled Categorize Dara). Finally, the analysis can be described in a
section on Major Issues and Trends. For example, population trends
might address growth, decline, and stability. Economic trends might
include issues affecting employment and their impact on the population.

60 Planning and Reviewing for Success

67



Module 4

2. Self-Assessment

problem areas; activities at this level of monitoring include
observations and conversations with staff, parents, and community
members. Reporting problems and recommendations for corrective
actions is the final level and the link between monitoring and reporting
systems,

For example, in order to determine whether health tracking is working,
the tracking procedure will need to document whether health and dental
examinations have been completed, immunizations are up to date, and
follow-up services have been planned and completed. The ongoing
monitoring system includes procedures to determine whether the
tracking procedure is adequate to ensure that eack of these and other
required services are being completed for each child and family.

If the grantee has delegates, an ongoing monitoring process of the
delegates’ operations must also exist. The contract between the two
entities should describe the scope, frequency, and resolution process
for any identified problems. The delegates’ own monitoring process
should provide reports that are used by the delegates’ policymakers and
managers, and by the grantee.

The grantee’s monitoring of delegate operations has the same purpose:
to ensure that the delegates’ operations effectively implement the Head
Start program.

An agency's ongoing monitoring, record keeping, and reporting
systems are interwoven to ensure that progress is being made toward
planned outcomes, documentation is maintained for followup and for
historical references, and information is provided to keep managers and
policymakers informed, Some of the information collected from
ongoing monitoring and reporting will be used to provide information
to policymakers. This keeps them informed about the progress of the
program and provides the knowledge base that is needed to make
informed decisions.

All of the information should be used by program managers to make
adjustments or improvements in agency systems and procedures as the
program is being implemented.

Assessing refers to the Head Start Program Performance Standard that
Tequires grantees to conduct self-assessments at least annually. Self-
assessment provides an opportunity to review current practices,
policies, procedures, and activities at a given time to see if they are
helping the program meet its objectives, implement federal regulations,
and achieve desired outcomes for children and families. The process
measures accomplishments and identifies strengths and weaknesses to
determine how to improve plans and services and provide timely

134

Planning and Reviewing for Success

136



Module 3

Discuss Strategies
to Overcome Challenges

Summarize

Activity 3-6:

Developing a 99
Written Plan
with SMART
Objectives

Divide participants into groups, assigning each different
responsibilities from items (b)-(g) in Appendix A. Ask groups to
post their responses on chart paper. Allow 20 minutes for the
group activity.

Ask each group to report on their respons
After each report, ask the other participants:

to the two questions.

TM How do you feel about the challenges this group identified?

@ Are there additional challenges you believe will be encountered
in carrying out this responsibility?

What is your reaction to this group's suggestions for handling
the challenges?

Do you have any other suggestions?

® Are there any standard practices an agency can adopt to reduce
the challenges (e.g. training governing body and policy group}?

Conclude by emphasizing the importance of shared decision-
making in Head Start.

Purpose: Participants will practice using SMART Objectives to
develop part of a written plan.

Materials

Extra copies of the Head Start Program Performance Standards for
Parts 1304.52, (k}(1)-(3)

Copies of Handout 13: Sample of Community Assessment and
Internal Data

Handout 24: SMART Objectives

Handout 25: Guidelines for Developing a Written Program
Area Plan

Coach Preparation Note:
Prepare chart paper as follows:

Staff will provide at least five activities for every family member
to assist them in stopping or reducing smoking by the end of the
operational year.

The Health Services Manager will negotiate an agreement with
the Health Department by November 5 of this year to provide a
series of training activities for parents and staff on techniques
they can use to stop smoking.

116

Planning and Reviewing for Success



Module 3

Activities and Strategies (Additional SMART Objectives)

mTM The Health Services Manager will negotiate an agreement with
the Health Department by November 5 of this year to provide a
series of training activities for parents and staff on techniques
they can use to stop smoking.

m Family Advocates will encourage parents to consider smoke
cessation as one of their goals in their Family Partnership
Agreements (FPA) at the time of enrollment or during initiation
of the FPA.

The Child Development and Health Services Managers will
develop instructions on smoking hazards and include them in
the curricula for all classes. As part of this effort, a monthly
activity will be conducted in the classroom.

@ Home Visitors will include a discussion on smoking and its
relationship to upper respiratory problems both during one
home visit and during one followup in parent-center meetings.

The second and third strategies have an impact on the program area
plan(s) and indicate charges ‘:.at may need to be made.

Ask participants to explain the extent to which these objectives are
SMART Objectives: specific, measurable, action-oriented,
realistic, and timebound.

The first objective is a broad staternent because it refers to five
activities without identifying the activities. However, this objective
also has elements of a SMART Objective: it states what is to be
done (provide at least five activities for each family member io
assist them to stop or reduce smoking) and when it will be done
(by the end of the operational year). The additional SMART
Objectives give more details. They describe four specific,
measurable, action-oriented, timebound activities/strategies stating
when each task will be done (for example, November 5 of this
year, time of enrollment, monthly); how it will be done; and who
will be responsible for doing it (Family Advocates, Child
Development and Health Services Managers, Home Visitors).
Before these objectives are carried out, teams need to determine
how realistic they are and obtain the necessary approval to
proceed.

Ask participants to write different SMART Objectives that they
believe would be appropriate for their program to implement to
accomplish the goal: Reduce the number of Head Start parents and

118

Planning and Reviewing for Success

122



Preface

4 The first time last year that I met with other members of our Head Start program to
create a planning team, I was not sure what a planning team was all about. Some things
we wondered about during our first meeting were “What is our function? Do we have the
resources we need in terms of people skills, information, and technology? How do we
approach the task of developing a process for planning and reviewing in our Head Start
program?" But soon the pieces in the planning and reviewing puzzle started to make
sense. When I heard someone mention that we were going to plan to plan and develop
an action plar: to collect data, I realized work was beginning on the first step in the
puzzle.

1am a center manager from one of the rural areas and had never been exposed to the
big picture program-wide. My eyes were opened when I was asked to meet with staff and
parents from other areas in our program, central office staff, and a board member for
several months to get the planning and reviewing process established, Besides looking at
mountains of data about our county and our program, we also learned how to analyze
this information, looking for trends and identifying major issues and concerns, It became
clear that the next piece in the puzzle was to take stock of our community and our
program.

After several months of meetings and hard work, we were finally able to see some of the
emerging areas that our program needed to address. For example, we recognized from a
review of health department data, Program Information Report (PIR) statistics, and our
most recent self-assessment that children and families were having recurring infections of
the skin, ears, and upper respiratory system. We were able to recommend that the
program address this issue as a priority area and we developed a long-range goal to
focus on education and changing behavior to reduce the incidence of infection.

In our coordinated planning process with the grantee board (Community Wellness Corporation), we were able to
develop strategies that included other pariners throughout Hamilton County. We held town meetings and notified the
community with public service announcements and flyers in several languages. We used lots of visuals to get our
message across about issues facing our community. This part of the process helped us to get input from the families
who will be most affected by the plans we adopt. From this input we developed goals and objectives. We were able
to provide better and more specific information in our recruitment process and to betier target our selection criteria,

Our program area plan includes activities and tasks that relate to our goals and objectives. The program design and
options we have operated for 15 years will be changed as a result of this process. We clearly see that the needs of
families in our service area are vastly different now. All of these activities were part of our process to propose
directions and adopt plans, the critical phase in the planning and reviewing puzzle when we made commitments to
the community.

Now, one year later, we are realizing the fruits of our efforts. With cooperation from the health department, the
local medical society, and our own Health Services Advisory Committee, special attention is focused on the causes of
the recurring infections in children. We have mounted a countywide campaign to educate the community about the
hazards of secondhand smoke, particularly for children with respiratory problems. Doctors who serve Head Start
children have agreed to focus attention on these issues and to suggest preventive actions parents can take whenever
a child is brought in for an appointment,

At this point we are actively involved in the final piece of the planning puzzle, review. We have monitored our
progress throughout the year and recently completed our self-assessment. Our reports to the board and Policy
Council kept them updated. The results of our self-assessment indicate that the issues we chose to address are fully
incorporated into our program.

What I learned from my year on the planning team is that a dream can become a reality with a planning and
reviewing process that asks: “What can we do better? How can our services be more integrated and effortless? What
changes can we make to be more responsive to the issues affecting our children and their families?”

—Remarks from a Head Start Center Manager

viii Planning and Reviewing for Success

. BEST COPY AVAILABLE
8



Module 3

Guidelines for Developing Plans

SMART Objectives

Increase the ethnic diversity of our staff to reflect the children and
families our program will serve.

After goals have been set, objectives that describe how the agency will
teach its goals need to be established. The program area plan(s) for
implementing the Head Start Program Performance Standards may
need to be updated or rewritten once goals and objectives are adopted.

Programs should develop guidelines for all teams to use to develop
both their statement of program goals and objectives and their program
area plan(s). For the statement of program goals and objectives, the
guidelines should answer the following questions:

= What are the issues from the CA and self-assessment that we have
chosen to work on?

=) What are our goals (to address the issues)?
=) Who will work on them?
= When will they be achieved?

For the program area plan(s), the guidelines should answer the
following questions, in addition to the questions above:

= How are our services currently integrated?

= Should we move standards across service areas to better reflect our
system of services?

Are there additional issues in the CA and self-assessment that
should be considered in developing our plan for services?

To complete the statement of program goals and objectives, the
planning team must write specific objectives to respond to the first four
questions above. Keep in mind that goals are broader than objectives.
They focus attention on the end result—what we want to accomplish.

Objectives should specify how, who, when, and where so the team can
monitor its progress. At this level, objectives are often called SMART
Objectives because they are:

S = Specific

M Measurable

A Action-oriented
R Realistic

T = Timebound

Propose Directions and Adopt Plans

95

993



Module 1: Plan te Plan

Handout 4: Planning and Reviewing Process

Plan to Plan

Select planning team
Orient planning team
Propose work plan
Adopt work plan

Identify internal and
external data to collect

Determine tasks to collect data

Take Stock

Collect irformation
about community

Organize internal and external data
Analyze data
Identify trends

Identify major issues and concerns

Propose Propose community
Directions and program goals
and Adopt Develop community objectives
Plans Develop statement of program goals
and objectives
Develop integrated program area
plan(s)
Adopt plans
Review Perform ongoing monitoring
Self-assess
Update governing body
and policy group
a4 Planning and Reviewing for Success

BEST COPY AVAILABLE

42



Module 1: Plan to Plan

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165

Appendix



Module 3; Propose Directions and Adopt Plans

—

Handout 25: Guidelines for Developing @
a Written Program Area Plan

Instructions:
Your task is to revise the Human Resources Management (HRM) portion of the program area plan for the
agency in the scenario. This revision will enable the program to implement its HRM goal and objectives
(written below) and improve effectiveness in implementing Section 1304.52 (k)(1)-(3) of the Head Start
Program Performance Standards.
Step One: Review the program's HRM goal and objectives listed below.

Goal: Increase the efficiency of our Human Resources Management System.

Objectives: Have all teachers complete the requirements for a bachelor’s degree within the next 5
years.

Redesign our orientation process by the end of this calendar year to provide complete
information on all aspects of our organization.

Step Two: Answer the questions below to help you develop action steps and strategies (SMART
Objectives) for achieving the program’s HRM objectives. (These questions should also be
answered before writing the statement of program goals and objectives.)

1. How are our services currently integrated? @

2. Should we move standards across service areas to better reflect our system for services?

3. Are there issues in the CA and self-assessment that should bz considered in developing our plan for
services?

4, What are we going to do?

5. How will we do it?

6. Who will do it?

7. When will it be done?

Step Three: Sunmarize your answers to Questions 4-7 by writing SMART Objectives to describe the
action steps and strategies that you propose.

128 Planning and Reviewing for Success

131



Activity 3-2:
Setting and
Presenting Goals

= Moving ahead relentlessly toward program goals ensures a
prize of thriving children and families that result from
thoughtful planning.

Summarize the activity by reviewing the three questions used in a
gap analysis and discussing the importance of this technique as a
first step in setting directions.

Purpose: Participants wil! practice using information from a
CA and a self-assessment to perform a gap analysis and develop
program goals. In addition, they will practice techniques for
presenting the goals.

Materials:

Extra copies of Handout 13: Sample of Community Assessment
and Internal Data

Handout 22: Guidelines for Setting Goals

Handout 23; Feedback Sheet

Chart paper, markers, and tape

Chart paper used in Activity 2-3

(Collect the goals each team develops in this activity so they
can be used in Activity 3-3, Writing SMART Objectives.)

meme)

Trainer Preparation Notes:

1. You will need to review Module 2, Activity 2-3: Identifying
Major Issues and Concerns for this exercise. In addition,
post the chart paper the participants prepared in Activity
2-3, Step 3.

2. This activity continues to use the sample scenario (Handout
13: Sample of Community Assessment and Internal Data).
Have extra copies of the scenario available.

3. Write the following on chart paper:
Effective Head Start goals:
® Are future-oriented, yet practical enough to achieve.
= Are appropriate for Head Start—they fit in with the

agency's history, mission, and values as well as
children’s and families’ needs.

102

Planning and Reviewing for Success

106



Module 1: Plan to Plan

Handout 7: Propose Directions

Use the information collected and analyzed to:

TM Formulate goals (for community and program
issues) and program objectives that address
‘he findings and recommendations of the CA

mTM Ensure that the program’s direction is
consistent with the philosophy and mission of
both Head Start and the grantee

& Ensure that the proposed goals and objectives
address the findings of the program’s annual
self-assessment

Plan to Plan 37