Head Start Program Self-Assessment Checklist

How to Use This Checklist

Assign each section to the relevant program manager or coordinator to gather documentation before the assessment meeting. Hold the full self-assessment with stakeholders present to review findings together. Record both strengths and areas for improvement — an honest assessment with documented weaknesses is better than a superficial one. All findings and the resulting Quality Improvement Plan must be submitted to the governing body and policy council.

Section 1: ERSEA — Eligibility, Recruitment, Selection, Enrollment, and Attendance

Eligibility Documentation ★

• Income eligibility documentation is on file for all currently enrolled children
• Documentation type matches the income verification method used (pay stubs, tax return, benefit letter, homeless documentation, etc.)
• Over-income children enrolled under a waiver (up to 35% of enrollment): waiver documentation is current and justified
• Foster children and children who are homeless or in the child welfare system are documented according to their categorical eligibility status
• Eligibility is re-determined at least annually — all re-determination records are current
• Eligibility files are organized and retrievable within a reasonable timeframe for federal review

Recruitment

• A written recruitment plan is in place for the current program year
• Recruitment efforts are documented (outreach activities, materials distributed, community partnerships engaged)
• Recruitment reaches the hardest-to-serve families in your service area (document your strategies for reaching these families)
• Waiting list is maintained and managed according to your selection criteria
• Community need data supports the enrollment population being served

Selection

• Selection criteria are documented and consistently applied
• Priority enrollment categories are followed: children experiencing homelessness, children in foster care, children from families below the poverty line
• Selection decisions are documented with reason for selection (priority category applied)
• No child was selected outside priority criteria while higher-priority eligible children remained on the waiting list without documented reason

Enrollment and Attendance ★

• Actual enrollment meets or exceeds funded enrollment level for the current reporting period
• Enrollment forms are complete and signed for all children
• Daily attendance is recorded for each enrolled child at each service session
• Attendance tracking system can produce a record of attendance for any child for any date range within 24 hours
• Chronic absence patterns (missing more than 20% of scheduled days) are identified and family services staff are engaged
• Children who have missed [X] consecutive days have been contacted by family services staff; contact attempts are documented
• Enrollment data matches the count used in ERSEA eligibility files

Section 2: Education and Child Development

Individualized Learning

• Individual lesson plans or learning goals are developed for each child based on assessment data
• Ongoing child assessment data (Teaching Strategies GOLD, DRDP, or program-selected tool) is collected at required intervals
• Assessment data is used to inform classroom practice — evidence of this is visible in lesson plans and teacher documentation
• For dual language learners: language support strategies are individualized based on the child’s home language and English proficiency
• Transitions to kindergarten are planned individually for each child aging out of the program

Developmental Screening ★

• Developmental screening (ASQ, PEDS, or other state-approved tool) is completed within 45 days of enrollment for all newly enrolled children
• Results are documented in each child’s file
• Families received and signed documentation of screening results
• Children identified with potential developmental concerns were referred for further evaluation
• Referrals were followed up — documentation of follow-up is on file

Children with Disabilities

• Children with disabilities make up at least 10% of total enrollment (this is a federal requirement)
• All children with an active IFSP or IEP have a copy of the current plan on file
• Program is participating in IFSP/IEP team meetings and service coordination as required
• Disability services coordinator (or equivalent role) is identified and current in the role
• Reasonable accommodations and services outlined in the IFSP/IEP are being implemented

Classroom Quality

• Structured CLASS observation or other program quality assessment tool has been conducted in each classroom within the past program year
• Results are reviewed with teaching staff and inform professional development planning
• Teacher-child interactions reflect responsive and intentional teaching practices
• Learning environments are organized, safe, and support exploration across all domains (cognitive, social-emotional, language, physical)

Section 3: Health Services

Health Records ★

• A complete health history form is on file for every enrolled child
• Physical examination documentation is on file (completed within 90 days before or 30 days after enrollment, per Head Start requirements — confirm current standard)
• Dental exam documentation is on file for all children who are age-eligible (typically 3 years and older)
• Immunization records are current and on file per the state immunization schedule
• Children who are not up to date on immunizations have a documented exception (medical, religious/philosophical where permitted) or an active catch-up schedule in place

Health Screenings ★

• Vision screening completed within 45 days of enrollment (or referral documented with results pending)
• Hearing screening completed within 45 days of enrollment (or referral documented with results pending)
• Lead screening — documentation that blood lead level has been checked per state guidance is on file or referral made
• BMI/height and weight measurements recorded at required intervals
• Children identified with health concerns received follow-up referrals; follow-up is documented

Oral Health

• Dental exam completed for all age-eligible children
• Children with identified dental treatment needs: follow-up with dental care documented
• Oral health education provided to families (document when and how)
• Toothbrushing supplies available and toothbrushing conducted in classrooms (for full-day programs)

Mental Health

• Mental health consultant is under contract or available to the program
• Mental health consultations documented for children referred
• Staff have received training on social-emotional development and trauma-informed practices within the past program year
• Expulsion and suspension policy is consistent with Head Start requirements (chronic absence should be addressed before formal action; expulsion should be rare and documented)

Nutrition

• Meals served meet CACFP meal pattern requirements for the age groups served
• Special dietary needs are documented and accommodated with written plans
• Nutrition education provided to families (document activities)
• CACFP claim records are complete and current

Section 4: Family Engagement

Family Partnership Agreements ★

• A Family Partnership Agreement (or family goal-setting document) is developed with every family within 90 days of enrollment
• Family Partnership Agreements are updated at least annually
• Goals in the agreement are specific, family-identified, and meaningful — not generic forms completed without family input
• Progress toward goals is documented in subsequent contact notes

Home Visits (if applicable to program option)

• Required home visits are completed for all families per the Head Start Performance Standards for your service option
• Home visit dates, duration, and topics are documented in family records
• Home visits are not being scheduled and then completed on paper — verify actual completion against documentation

Parent Committee and Policy Council

• Parent committee (at the site level) has met the required number of times this program year
• Meeting dates, attendance, and minutes are documented and on file
• Policy Council has met the required number of times this program year
• Policy Council meeting minutes are documented, signed, and retained
• Policy Council members have been properly elected — election documentation is on file
• Policy Council has been provided with all required documents for review (budget, financial reports, self-assessment, Quality Improvement Plan)
• Policy Council has had meaningful opportunity to approve or disapprove items requiring their approval

Parent Activities and Volunteer Engagement

• Parent education and engagement activities have been offered this program year (document dates, topics, attendance)
• Volunteer opportunities are available to families and are documented
• Family transitions into employment, education, and training are tracked where families have consented to share this information

Section 5: Governance

Governing Body

• Governing body (board of directors or equivalent) has met at least quarterly
• Meeting minutes are complete, signed, and retained
• Governing body has received and reviewed all required reports (financial, enrollment, self-assessment findings, compliance data)
• Governing body composition meets requirements (parent representation, community members, etc.)
• Governing body has approved required items including budget, audit, and program changes

Policy Council

• Policy Council has approved the program’s budget
• Policy Council has reviewed the annual self-assessment findings
• Policy Council has approved the Quality Improvement Plan
• Policy Council has had the opportunity to participate in hiring the program director (or higher-level staff, per your program’s procedures)

Organizational Documentation

• Current organizational chart is on file and reflects actual staffing
• Position descriptions are current for all funded positions
• Delegate agency agreements (if applicable) are current and signed
• Memoranda of understanding with community partners are current and on file

Section 6: Fiscal Management

Budget and Financial Oversight

• Federal grant budget has been approved by the governing body and policy council for the current budget period
• Program is operating within the approved budget — no unapproved significant budget modifications
• Non-federal match requirement is being met; documentation of in-kind contributions is on file
• Annual audit has been completed (if applicable) and any audit findings have an active corrective action plan

ERSEA and Payment Records Alignment ★

• Eligibility documentation on file matches the children for whom the program is receiving federal funding
• Enrollment counts reported in PIR and federal data systems match actual enrollment records
• Any changes to enrollment counts reported correctly and in a timely manner

Annual Self-Assessment Process Steps

Follow this sequence each year to ensure the self-assessment meets federal requirements.

Step 1: Assemble the Self-Assessment Team

The team should include:

• Program director
• Education coordinator
• Family services coordinator
• Health coordinator
• Fiscal manager
• At least two current or recent parent representatives
• Policy Council representative
• Governing body representative

Identify team members and confirm participation at least 8 weeks before the assessment.

Step 2: Collect Data (6-8 weeks before assessment meeting)

Assign each coordinator to pull documentation for their service area using the checklists above. Data to collect includes:

• Enrollment and attendance records
• Health screening completion rates
• Developmental screening rates and follow-up rates
• Family Partnership Agreement completion rates
• Parent committee and Policy Council meeting records
• Training and professional development records for all staff
• Classroom observation data
• Prior year Quality Improvement Plan — status of each improvement item

Step 3: Conduct the Assessment Meeting

• All required stakeholders present or represented
• Each service area presented with strengths identified and documented
• Each service area reviewed for gaps and areas for improvement; gaps documented honestly
• Root causes discussed for any area that did not meet the standard
• Preliminary improvement priorities identified

Step 4: Document Findings

• Written findings document completed summarizing results of each section
• Strengths and areas for improvement recorded for each service area
• Document is signed or acknowledged by the team lead and program director

Step 5: Develop the Quality Improvement Plan

The QIP must be specific, not general. For each identified area for improvement:

• Specific goal stated (what will be different)
• Strategy or action steps described
• Person responsible identified by name and role
• Timeline established with intermediate checkpoints
• How progress will be measured defined

Step 6: Submit to Governing Body and Policy Council

• Self-assessment findings submitted to governing body for review at their next scheduled meeting
• Self-assessment findings submitted to Policy Council for review at their next scheduled meeting
• Quality Improvement Plan approved by governing body
• Quality Improvement Plan approved by Policy Council
• Approval documented in meeting minutes

Step 7: Implement and Monitor

• QIP is distributed to all responsible staff
• Progress is reviewed at least quarterly against the QIP
• Governing body and Policy Council receive quarterly progress updates
• Prior year QIP status is the first section reviewed at next year’s self-assessment