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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
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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
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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.
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ESD 113 Sound to Harbor Head Start/ECEAP PDM & FISCAL WORK PLAN
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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.
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ESD 113 Sound to Harbor Head Start/ECEAP PDM & FISCAL WORK PLAN
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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
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ESD 113 Sound to Harbor Head Start/ECEAP PDM & FISCAL WORK PLAN
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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.
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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.
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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%.
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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
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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
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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
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