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ESD SOUND TO HARBOR HEAD START ECEAP PROGRAM DESIGN

VIEWS: 13 PAGES: 12

									        ESD 113 SOUND TO HARBOR HEAD START/ECEAP
   PROGRAM DESIGN, MANAGEMENT AND FISCAL PLAN


                                                2011 - 2012




The position plan provides descriptions of job roles and responsibilities that are ongoing throughout the program
year.

The plan is based on Head Start/ECEAP Performance Standards, federal and state grant management regulations.

This plan coordinates existing written position plans for Fiscal Coordinator, Director, Director of
Program/Operations; the agency board policies and procedures; Head Start/ECEAP policies and procedures; and
fiscal desk manuals.




                                    Approved by Policy Council 05/05/11.
ESD 113 Sound to Harbor Head Start/ECEAP                                                                               PDM & FISCAL WORK PLAN




                                                           TABLE OF CONTENTS

GOAL 1: Assure a shared governance system that meets both Head Start and ECEAP Standards in
        which the Board of Directors and Policy Council fulfill their legal and financial
        responsibilities as outlined in law and in federal regulations. ..............................................................3
GOAL 2: A continuous improvement planning system will be implemented to assure a high quality
        program that meets all standards ...........................................................................................................4
GOAL 3: Establish and implement a monitoring system to assure a quality program in compliance with
        Head Start and ECEAP standards. ........................................................................................................5
GOAL 4: There will be a system established to assure ongoing, regular communication between all
        program staff and between program staff and families to facilitate high-quality outcomes for
        children and families. ...............................................................................................................................5
GOAL 5: A record-keeping system will be established that provides accurate and timely information
        regarding children, families and staff, and assures confidentiality. ....................................................6
GOAL 6: An organizational structure will be implemented that supports the required program
           management functions, ensuring accomplishment of program objectives and compliance to
           regulations. ................................................................................................................................................7
Objective 6.1 The leadership staff will have the qualifications and experience requisite for the position...................7
GOAL 7: Staff will receive training to support them in growing in their professional skills and to
        continuously improve the quality of the program .................................................................................8
GOAL 8: Parents/guardians will be provided opportunities for parent education and training to
        support them in their role as the first educators of their child ............................................................9
GOAL 9: The program will recruit and enroll children who are eligible by Head Start and/or ECEAP
        guidelines. ..................................................................................................................................................9
GOAL 10: The fiscal system will be in compliance with all applicable state and federal regulations. ..............10




Position Plans\2011 2012\PDM and Fiscal Work Plan                                                                                                          Page 2 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                             PDM & FISCAL WORK PLAN



                                  PDM AND FISCAL WORK PLAN
                                                                      OPERATIONAL
       PROCEDURE or OBJECTIVE                                                        DOCUMENT HOW OFTEN
                                                                      RESPONSIBILITY



GOAL 1: Assure a shared governance system that meets both Head Start and ECEAP Standards in
which the Board of Directors and Policy Council fulfill their legal and financial responsibilities as
outlined in law and in federal regulations.

  1.   ESD Board of Directors is a legal entity for Educational       Chairperson         BOD           Ongoing
       Service District 113, which is a quasi-state agency; and       of the board       Policies
       will continue to function in a manner required by                                  Series
       Washington State Administrative Code and laws, federal                             1000;
       regulations, and Head Start and ECEAP Standards,
       fulfilling its legal and financial responsibilities                              Board
             Board members will follow conflict of interest                            minutes
                regulations
             Board will have at least one member with                                   Board
                background and expertise in fiscal/accounting; in                       Member
                legal; and in early childhood or will arrange for a                     Roster
                consultant with such expertise.


  2.   The grantee will assure that an active Policy Council is       Exec. Dir           PC             Monthly
       operating 12 months per year, with membership as defined       ECE               Minutes
       by performance standards and the Policy Council by-laws;
       and implementing all standards as required.


  3.   Policies will be established and approved by both boards       Exec. Dir         Policies        Revised as
       to assure a shared governance model, including a dispute       ECE                118 P,          needed
       resolution policy and a shared governance policy. All                             119 P,
       decisions requiring approval by both boards will first be                         136 P
       processed and approved by Policy Council and then                                 137 P
       submitted to the Board of Directors for their approval


  4.   Training will be provided to Board of Directors and Policy     Exec. Dir        Minutes          Annually
       Council to ensure they understand shared governance and        ECE               of PC
       their oversight responsibilities.                                                 and
                                                                                       Board


  5.   Each board will be provided with required monthly              Exec. Dir        Minutes of       Monthly
       program, financial reports, and Office of Head Start           ECE                PC &
       communications as outlined in the 2007 Head Start Act,                           Board &
       section 642 (d)(2)(A-I)                                                          Monthly
                                                                                         Report


  6.   Operational activities that require joint approval of both     Exec. Dir         Minutes         Annually
       boards will be presented first to the Policy Council and       ECE               of PC &         or as
       then to the Board of Directors. These are identified in                          Board           needed

Position Plans\2011 2012\PDM and Fiscal Work Plan                                                   Page 3 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                             PDM & FISCAL WORK PLAN

                                                                       OPERATIONAL
       PROCEDURE or OBJECTIVE                                                         DOCUMENT HOW OFTEN
                                                                       RESPONSIBILITY


       Section 642(c)(1)(E(iv)(I, II, III, VI, X) of the Head Start
       Act and in section 1350 of Performance Standards


  7.   Policy Council members will be reimbursed for reasonable        Fiscal          PC Reimb. As needed
       expenses to assist them in participating fully in their group   Coordinator     Policy
       responsibilities.                                                               146-P


  8.   The Board of Directors will review and approve all major        Exec. Dir       Minutes of Annually or
       policies, including the annual self assessment, financial       ECE             PC &       as needed
       audit, funding applications, program’s progress in carrying                     BOD
       out grant application provisions, including implementation
       of corrective actions, personnel policies regarding hiring,
       evaluation, termination, and compensation; policies and
       procedures regarding hiring, evaluation, compensation and
       termination of Superintendent, Executive Director of Early
       Childhood, Executive Director of HR, Asst.
       Superintendent, Financial Office; and results from
       monitoring, including appropriate follow up activities.


  9.   PC will approve the hiring and termination of all               Exec. Dir       Procedure As needed
       employees paid predominantly out of Head Start funds,           ECE             180
       except the Head Start Director position.


  10. ESD Board of Directors will approve major financial              Asst. Sup.      Board         Monthly
      expenditures, annual operating budget, and monitor               Financial       minutes
      agency’s action to correct audit findings and other actions
      required.


  GOAL 2: A continuous improvement planning system will be implemented to assure a high
          quality program that meets all standards




  1.   A Planning Policy and Procedure outlines the details of         Exec. Dir        Policies      As needed
       the planning system.                                            ECE              126P, 127P
                                                                                        Procedure
                                                                                        128


  2.   An annual self assessment will be conducted, based upon         Directors of     Self           Jan –
       the current OHS Monitoring Protocol and ECEAP Self              Program and      Assm           March of
       Assessment form, using staff, parents, and community            Operations       Plan and       each year
       volunteers/consultants. A final report with identified areas                     Final
       of strength, non-compliance, and corrective action plans                         report
       will be shared with BOD, PC, funding sources, and staff.



Position Plans\2011 2012\PDM and Fiscal Work Plan                                                  Page 4 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                          PDM & FISCAL WORK PLAN

                                                                      OPERATIONAL
       PROCEDURE or OBJECTIVE                                                        DOCUMENT HOW OFTEN
                                                                      RESPONSIBILITY


  3.   A comprehensive Community Assessment will be                   Exec. Dir      Community     Every 3
       completed triennially, with annual updates and used to         ECE            Assessment    years with
       inform program planning, formulation of long-range and                                      annual
       short term goals and financial objectives                                                   update


  4.   An annual Policy Council work calendar will be                 Exec. Dir      Annual        Annually
       developed and shared with Policy Council to assure that        ECE            PC
       the council accomplishes its work around approval of                          Calendar
       policies and funding applications.


  GOAL 3: Establish and implement a monitoring system to assure a quality program in
          compliance with Head Start and ECEAP standards.


  1.   A monitoring system will be designed and implemented           Exec. Dir      Procedure     Update as
       that includes policies, procedures and forms                   ECE               122         needed


  2.   Each content area will monitor for compliance to the           Program         Content        As per
       regulations in their area on a regular basis, using direct     Coordinators   area forms     schedule
       observation, desk top monitoring of databases, review of
       child and family files and other required paperwork.


  GOAL 4: There will be a system established to assure ongoing, regular communication between
          all program staff and between program staff and families to facilitate high-quality
          outcomes for children and families.


  1.   A well articulated system of communication will be             Exec. Dir      Procedures     Ongoing
       outlined in policies and procedures, that outlines effective   ECE             108, 208,
       communication, professionalism, and methods of                                   224
       communicating


  2.   Confidentiality of all child and family files will be          Exec. Dir      Procedures     Ongoing
       maintained at all times as per policies and procedures and     ECE               202,
       position plans. The code of conduct (202) and the fiscal                       204,206,
       code of conduct (204) articulate expectations of                                 224
       professionalism and behavior.


  3.   Communication, both oral and written, will be in the           Directors        Family       Ongoing
       family’s first language as a first priority. Exceptions to     Program and    communica
       written communication may be made for literacy level,          Operations      tion logs
       availability of translators and interpreters, and family
       preference.




Position Plans\2011 2012\PDM and Fiscal Work Plan                                               Page 5 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                            PDM & FISCAL WORK PLAN

                                                                       OPERATIONAL
       PROCEDURE or OBJECTIVE                                                         DOCUMENT HOW OFTEN
                                                                       RESPONSIBILITY


  GOAL 5: A record-keeping system will be established that provides accurate and timely
          information regarding children, families and staff, and assures confidentiality.


  1.   The ESD will establish and maintain a human resource            Executive       Personnel      Ongoing
       record-keeping and reporting system that meets all              Director          Files
       applicable requirements of state and federal regulations.       Human
       Such a system (s) will include recruitment, applications,       Resources
       interviews, hiring, new staff orientation, tracking of
       qualifications and credentials and training. The system
       will include those requirements unique to Head Start, such
       as initial and periodic health examinations, and TB
       screening. A personnel file will be established for each
       employee.


  2.   The ESD business office will establish and maintain a           Asst. Sup.     Accounting      Ongoing
       financial record-keeping and reporting system that meets        Financial       manuals,
       all applicable state and federal systems. The system will       Department       fiscal
       track grants and contracts by separate codes for                                records,
       accountability to funding sources. It will include all                          Business
       required components, such as payroll, accounts payable,                          Office
       accounts receivable, etc.                                                       Decision
                                                                                       Making
                                                                                        Matrix


  3.   Child and family files will be established at each center for   Directors of    Child and      Ongoing
       all enrolled children and will include enrollment, health,      Program and      Family
       family support, and child development information.              Operations        Files
                                                                                       Procedure
                                                                                          132


  4.   Databases such as ChildPlus and cc.net will be established      Exec. Dir       Child Plus     Ongoing
       and implemented to assist with accurate record keeping          ECE               cc.net
       and reporting of services for children and families; and to
       report child outcomes.


  5.   Monthly program and financial reports will be made to the       Exec. Dir      Minutes of      Monthly
       Board of Directors and Policy Council as required by            ECE             PC and
       regulations                                                                      BOD


  6.   Weekly enrollment reports will be sent to the Director.         Data Manager    E-mailed        Weekly
                                                                                        reports




Position Plans\2011 2012\PDM and Fiscal Work Plan                                                 Page 6 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                         PDM & FISCAL WORK PLAN

                                                                     OPERATIONAL
       PROCEDURE or OBJECTIVE                                                       DOCUMENT HOW OFTEN
                                                                     RESPONSIBILITY


  7.   An annual report, with all required elements, will be         Exec. Dir        Annual       Annually, in
       issued to the community via placement on the Sound to         ECE              Report        the spring
       Harbor website. Limited paper copies will be made for
       distribution to the Board of Directors, county coalitions,
       and other collaborative groups. Head Start Act 644 (a)(2)


  8.   Regular monthly reports sent to the Director include, but     Data Manager,    Reports        Monthly
       are not limited to USDA, program data reported to the         Fiscal Coord.
       BOD and PC, Center Director reports, attendance,
       enrollment, health data, etc.



  GOAL 6: An organizational structure will be implemented that supports the required program
          management functions, ensuring accomplishment of program objectives and
          compliance to regulations.
  Objective 6.1 The leadership staff will have the qualifications and experience requisite for the
                 position


  1.   ESD 113 will have an organizational structure that            Superintendent Org. Chart      Updated as
       includes, at a minimum, identified divisions, and                                             needed
       foundational departments that support all divisions, such                      Business
       as HR, fiscal, and technology.                                                  Office
            The business office will have a clear separation of                      Decision
               duties, as per generally accepted accounting                           Making
               practices                                                               Matrix


  2.   The early childhood division will have an organizational      Exec. Dir       Org. Chart       Update
       structure that includes, at a minimum, content experts,       ECE              of Head        names as
       supervisors for center operations, fiscal, transportation,                     Start &         needed
       food services, technology, facilities, and a team providing                    ECEAP
       overall support for the entire operations.


  3.   The Head Start Director (Executive Director, Early            Exec. Dir       Personnel       Ongoing
       Childhood), Asst. Superintendent Fiscal, Exec. Dir. HR,       ECE               Files
       Business Office Director, Fiscal Coordinator, Directors of
       Program & Operations, and all content area experts will
       have the required qualifications prior to hire.


  4.   Content areas requiring assigned leadership are: child        Directors of    Org. Chart     Update as
       development, mental health, health, dental, nutrition,        Program and                     needed
       disabilities, family support, community partnerships.         Operations
       Some content areas may be combined with others under
       the leadership of one content expert.




Position Plans\2011 2012\PDM and Fiscal Work Plan                                                Page 7 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                             PDM & FISCAL WORK PLAN

                                                                      OPERATIONAL
       PROCEDURE or OBJECTIVE                                                        DOCUMENT HOW OFTEN
                                                                      RESPONSIBILITY


  5.   It is a goal that all staff meet current qualifications for their Exec. Dir     Personnel      As needed
       positions. Occasionally, due to a limited labor pool,             ECE             Files
       employees may be hired who will need training and
       support to acquire the certification, credential or degree
       required by the position. This will be done only with the
       approval of the Director and with a plan for meeting the
       qualifications.


  6.   Annual performance reviews of all staff will be conducted       Directors of    Employee        Annually
       no later than June 30th of each year. Such reviews will         Program and     Personnel
       include an employee self assessment, review of previous         Operations        Files
       year’s goals, and setting of new professional development
       goals.


  7.   A professional development plan will be created and             Exec. Dir       Procedure       Ongoing
       implemented to assure that all teachers meet the minimum        ECE                222
       qualifications by September 2011.


  8.   Due to the complexity of the fiscal systems, the Head Start     Exec. Dir        Fiscal         Ongoing
       and ECEAP program will have a program level fiscal              ECE             Notebook
       coordinator who will manage funding source reporting                           and Manual
       requirements, and program budget and expenditures.


  GOAL 7: Staff will receive training to support them in growing in their professional skills and to
          continuously improve the quality of the program


  1.   An annual staff and parent training plan will be developed      Directors of     Annual         Annually
       annually, submitted to the Regional Office of Head Start        Program and       Staff
       and implemented.                                                Operations       Training
            The plan will identify costs.                                                Plan
            The plan will include annual required training, as
               well as in-depth, over-time training.
            Annual training will include child abuse and
               neglect, blood borne pathogens, medication
               administration.
            College credit will be offered in conjunction with
               the community college for the over-time child
               development seminars.
            The plan will also include CDA training to
               support teacher assistants in obtaining the
               credential.
            Transportation, facilities, food services, and office
               training will be identified by those content area
               experts.
            Trainings and conferences outside the program
               will be included in the annual plan.

Position Plans\2011 2012\PDM and Fiscal Work Plan                                                  Page 8 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                           PDM & FISCAL WORK PLAN

                                                                     OPERATIONAL
       PROCEDURE or OBJECTIVE                                                       DOCUMENT HOW OFTEN
                                                                     RESPONSIBILITY


               Other topics as appropriate.


  GOAL 8: Parents/guardians will be provided opportunities for parent education and training to
          support them in their role as the first educators of their child


  1.   Parent education will be offered through multiple venues:     Center          Newsletters      Ongoing
       family nights, parent meetings, parent training sessions      Directors        Agendas
       offered by community partners, center newsletters, home                       Community
       visits, and center conferences.                                                 flyers


  2.   The “Parent Interest Survey” will be the basis for            Center             Parent       Annually in
       identifying the parent education topics for the year          Directors         Interest       Sept-Oct.
                                                                                       Survey


  GOAL 9: The program will recruit and enroll children who are eligible by Head Start and/or
          ECEAP guidelines.


  1.   Each center will conduct recruitment on an ongoing basis         Center       Recruitment      Ongoing
       to reach out to the neediest families and children and to       Directors      notebook
       assure full enrollment


  2.   Annual training will be conducted to assure that all staff    Family &        Agenda &        Spring and
       enrolling children understand and implement the policies      Community        sign in         Summer
       and procedures correctly.                                     Coordinators     sheets


  3.   Each child’s eligibility will be verified by staff and will   Center            Income         Ongoing
       include a statement signed by both the staff and parent.      Director        Verifications


  4.   Policies and procedures will be written, updated annually,    Family &         Policies        Annually
       and implemented to assure that only eligible children are     Community          and
       enrolled.                                                     Coordinators    procedures
            Families with income between 100 – 130% FPL                             series 500
               may not be enrolled as income eligible without
               approval of the Executive Director, ECE
            A minimum of 10% of the enrollment will be
               children with an IEP as of the mid-point of each
               center’s calendar year.
            The enrollment of over-income families will be
               limited to 10%.




Position Plans\2011 2012\PDM and Fiscal Work Plan                                                 Page 9 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                           PDM & FISCAL WORK PLAN

                                                                    OPERATIONAL
       PROCEDURE or OBJECTIVE                                                      DOCUMENT HOW OFTEN
                                                                    RESPONSIBILITY


  5.   Weekly monitoring reports of enrollment will be sent to      Data Manager Enrollment           Weekly
       the Director                                                                Report



  6.   Head Start families will not be charged a fee for            Fiscal            Policies
       participation. Families enrolled in FDFY and receiving       Coordinator      312P, 313P
       Working Connections child care subsidy or similar state                           &
       subsidy will pay their required co-payment to the program                     Procedures
                                                                                      314, 316


  7.   Attendance will be tracked and monitored at the center       Center             Center        Daily and
       level by the teacher, first and then the Center Director,    Director         Operations      Monthly
       with causes of absenteeism analyzed. Action will be taken                      Position
       as per policies and procedures                                                   Plan


  GOAL 10: The fiscal system will be in compliance with all applicable state and federal
          regulations.


  1.   An annual audit will be conducted by the State Auditors      Asst. Super.       Audit          Annual
       office in accordance with OMB Circular A-133 and other       Fiscal             Report
       state and federal regulations


  2.   Policies and procedures will be established and              Asst. Super.       ESD
       implemented to determine allowability, allocability, and     Fiscal; Fiscal Policies and
       reasonableness of costs.                                     Coord. HS      Procedures
            Include the cost allocation formula and rationale                       section
               in the annual refunding application for Head Start                     6000;
               and ECEAP proposals                                                  Procedure
                                                                                       102


  3.   Obtain an indirect rate from the Office of the               Asst. Super.      Letter of    Annually or
       Superintendent of Public Instruction (OSPI) at least         Fiscal            Indirect      biennial
       annually, as they are the cognizant agency for the ESD                           Rate


  4.   The cash management procedure outlines the process for       Fiscal           Procedure
       minimizing the time elapsing between the advancement of      Coordinator         102
       funds from PMS and the disbursement of those funds


  5.   Develop and implement a Head Start and ECEAP budget          Fiscal             Budget        Monthly
       that limits the overall administrative costs to 15%.         Coordinator        reports
             Monitor monthly to assure compliance with 15%


  6.   Establish and implement a plan and system to earn and        Fiscal             Annual        Ongoing


Position Plans\2011 2012\PDM and Fiscal Work Plan                                               Page 10 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                            PDM & FISCAL WORK PLAN

                                                                     OPERATIONAL
       PROCEDURE or OBJECTIVE                                                       DOCUMENT HOW OFTEN
                                                                     RESPONSIBILITY


       document the required 25% non-federal share. The non-         Coordinator       refunding
       federal share will include both cash match and in-kind                         application;
       services. Monthly reports will be made to PC and BOD.                             budget
            Records of in-kind will include activity, signature                        reports
                of volunteer or donor and dates of service or
                donations.
            Cash match will include ECEAP and state
                transportation funding as approved in the annual
                Head Start refunding application.


  7.   Required fiscal policies and procedures will be established   Asst. Super.     ESD Series
       and implemented in the following areas:                       Fiscal
            Procurement to assure open and competitive                               600 P & P
              purchasing                                                              Procurement
            Contracts with child care partners and professional                        records
              services are current, signed and dated.
            Injury and liability insurance will be purchase for
              facilities, vehicles, child, staff and volunteers
            An inventory of property and equipment will be
              established and maintained, with a physical
              inventory conducted every two years.
            Payroll records will include time and effort, cost
              allocation, employee signature, and approval by
              supervisor.



  8.   Facility costs are charged as per federal and state           Business         ESD P &
       regulations:                                                  Office           Series 600
            If a facility is owned by the ESD and used by           Director;
                Head Start, depreciation or a use allowance is the   Fiscal
                basis for the charging of occupancy costs.           Coordinator
            Occupancy costs for facilities leased are charged
                directly to Head Start based upon an allocation
                plan.
            Approval from the Office of Head Start for facility
                purchase or major renovation of a Head Start
                facility is obtained prior to the expenditure of
                federal funds.
            All contracts for facility repair, renovation, or
                construction in excess of $2,000, including
                materials, will comply with the Davis-Bacon Act



  9.   Payroll process will comply with all applicable federal and   Exec. Dir          Payroll      Annually
       state regulations, and grant/contract terms.                  ECE                records
             Wages charged to Head Start will be reasonable
                and supported with appropriate documentation.
             A wage comparability study will be conducted

Position Plans\2011 2012\PDM and Fiscal Work Plan                                              Page 11 of 12
ESD 113 Sound to Harbor Head Start/ECEAP                                              PDM & FISCAL WORK PLAN

                                                                       OPERATIONAL
      PROCEDURE or OBJECTIVE                                                          DOCUMENT HOW OFTEN
                                                                       RESPONSIBILITY


                every three years.
               Required federal tax forms such as 941, etc. will
                be completed and submitted on time.
               All salaries charged to the Head Start grant will be
                limited to the salary level published in the most
                recent communications from the Office of Head
                Start
                 Such salaries and positions will be identified
                    in the annual refunding application



  10. The program will comply with the terms of all grants             Exec. Dir         Financial   Ongoing
      awarded, including the annual Head Start and ECEAP               ECE                records
      funding, Cost of Living, Quality, Program Improvement,
      Training, etc.


  11. Financial reports will be accurate and timely and will           Asst. Super.
      include the following:                                           Fiscal;
               Budget, year-to-date expenditures, monthly             Fiscal
                   expenditures, assets, liabilities, income or        Coordinator
                   grant awards.
               Financial status reports will be provided to the
                   BOD, PC and staff monthly




Position Plans\2011 2012\PDM and Fiscal Work Plan                                               Page 12 of 12

								
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