[Federal Register Volume 62, Number 241 (Tuesday, December 16, 1997)]
[Proposed Rules]
[Pages 65778-65780]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-32748]
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Part 1302
RIN 0970-AB52
Head Start Program
AGENCY: Administration on Children, Youth and Families (ACYF),
Administration for Children and Families (ACF), HHS.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Administration on Children, Youth and Families is issuing
this notice of proposed rulemaking to amend its procedures regarding
replacement of Indian tribal grantees. The proposed change would add
provisions to implement a new statutory provision that allows Indian
tribes which are Head Start grantees to identify an agency, and request
that the agency be designated by the Department as an alternative
grantee, when the grantee is terminated or denied refunding.
DATES: In order to be considered, comments on this proposed rule must
be received on or before February 17, 1998.
ADDRESSES: Please address comments to the Associate Commissioner, Head
Start Bureau, Administration for Children, Youth and Families, P.O. Box
1182, Washington, D.C. 20013. Beginning 14 days after close of the
comment period, comments will be available for public inspection in
Room 2217, 330 C Street, S.W., Washington, D.C. 20201, Monday through
Friday between the hours of 9:00 a.m. and 4:00 p.m.
FOR FURTHER INFORMATION CONTACT: Douglas Klafehn, Deputy Associate
Commissioner, Head Start Bureau, Administration for Children, Youth and
Families, P.O. Box 1182, Washington, D.C. 20013; (202) 205-8572.
SUPPLEMENTARY INFORMATION:
I. Program Purpose
Head Start is authorized under the Head Start Act (42 U.S.C. 9801
et seq.). It is a national program providing comprehensive
developmental services primarily to low-income preschool children, age
three to the age of compulsory school attendance, and their families.
In addition, Section 645A of the Head Start Act provides authority to
fund programs for families with infants and toddlers, known as Early
Head Start programs. To help enrolled children achieve their full
potential, Head Start programs provide comprehensive health,
nutritional, educational, social and other services. Additionally, Head
Start programs are required to provide for the direct participation of
the parents of enrolled children in the development, conduct, and
direction of local programs. Parents also receive training and
education to foster their understanding of and involvement in the
development of their children. In fiscal year 1996, Head Start served
752,000 children through a network of over 2,000 grantees and delegate
agencies.
While Head Start is intended to serve primarily children whose
families have incomes at or below the poverty line, or who receive
public assistance, the Head Start Act and implementing regulations
permit up to 10 percent (and more for Indian tribes under certain
circumstances) of the children in local programs to be from families
who do not meet these low-income criteria. The Act also requires that a
minimum of 10 percent of the enrollment opportunities in each program
be made available to children with disabilities. Such children are
expected to participate in the full range of Head Start services and
activities with their non-disabled peers and to receive needed special
education and related services.
II. Summary of the Proposed Regulation
The authority for this Notice of Proposed Rulemaking (NPRM) is
section 646 of the Head Start Act (42 U.S.C. 9841), as amended by
Public Law 103-252, Title I of the Human Service Amendments of 1994.
Section 646(e) directs the Secretary to specify a process by which an
Indian tribe may identify an agency, and request that the agency
identified be designated as the Head Start agency providing services to
the tribe, if (a) financial assistance to the tribal grantee is
terminated, and (b) the
[[Page 65779]]
tribe would otherwise be precluded from providing Head Start services
to its members because of the termination. The Act specifies that the
regulation must prohibit the designation as Head Start grantee of an
agency that includes an employee who served on the administrative or
program staff of the terminated agency when that employee was
responsible for a deficiency that was the basis for the termination.
The proposed rule:
Adds a new definition for Indian tribe;
Provides that an Indian tribe may identify an agency to
serve as the alternative grantee at the time that it receives a notice
of termination or a notice of denial of refunding;
Allows the tribe to participate in the selection of the
replacement grantee;
Allows the tribe a second opportunity to identify an
alternative agency if the Department finds the first agency identified
by the tribe is not an eligible agency capable of operating a Head
Start program. If the second agency identified by the tribe is not
selected as a Head Start grantee, a replacement grantee will be
designated under 45 CFR Part 1302.
III. Section by Section Discussion of the NPRM
Section 1302.2 Definitions
We propose to add to this section a definition for the phrase
``Indian tribe,'' which is the same definition that appears in Section
637(10) (42 U.S.C. Sec. 9832(10)) of the Head Start Act.
Section 1302.30 Procedure for Identification of Alternative Agency
Section 1302.30 outlines the procedures by which an Indian tribe
may identify an agency to the Department as an alternative grantee and
request that the agency be designated as a grantee in the event that
the tribe has been terminated or denied refunding as Head Start
grantee. While section 646(e)(1)(A) of the Head Start Act refers only
to the ``termination'' of financial assistance, we have interpreted
``termination'' in this section to mean either termination of a grant
or denial of refunding of the grantee, as there is no substantive
difference between these two actions in terms of their impact on a
grantee's Head Start program.
Section 1302.30(a) states that a grantee may take advantage of this
procedure only if it was the sole agency that was receiving funding to
provide Head Start services to the tribe, and if the members of the
tribe would otherwise be precluded from receiving Head Start services
because of the termination or denial of refunding. These basic
qualifying criteria are found in Section 646(e)(1) of the Head Start
Act.
Under section 1302.30(b) of the proposed procedures the Department,
if it moves to terminate or deny refunding to a tribal grantee, must
notify the grantee that it may propose an alternative agency to the
Department, in writing, within the time limits established for
appealing the Department's decision to deny refunding or terminate the
grant at 45 CFR Sec. 1303.14(c) and 45 CFR Sec. 1303.15(b)(2).
If the Department finds that the alternative agency identified by
the tribe is not an agency that is both eligible and capable of
operating a Head Start program, the Department will, under section
1302.30(b)(3), so notify the tribe, and the tribe will have another
opportunity to identify an alternative agency and request the
designation of that agency as the alternative agency. This must be done
within 15 days of the Department's sending notification to the grantee
that the agency identified is unsuitable. Section 1302.30(b)(4)
specifies that if the Department finds this second agency also not
capable of operating a Head Start program, a replacement grantee will
be selected by the Department according to the regulations under 45 CFR
part 1302. Funding of the grantee will continue during any appeal, as
provided under section 1302.30(c). The steps outlined in this proposed
regulation for designation of an alternative agency identified by the
tribe will be carried out during the appeal process.
Section 1302.30(d) provides that if the tribe does not identify an
agency and request that it be appointed as alternative agency, the
Department will seek a permanent replacement grantee under 45 CFR part
1302.
Section 1302.31 Requirements of Alternative Agency
The purpose of this section is to make clear that any agency
designated by the Secretary to replace the grantee serving the Indian
tribe must meet the minimum requirements for Head Start agencies as
established by the Head Start Act. These are minimum requirements,
which no agency designated a Head Start agency may fail to meet.
However, merely satisfying these requirements does not qualify an
agency to be a Head Start grantee. The Department will analyze the
capabilities and experience of the agency identified by the tribe to
determine whether that agency is capable of operating a Head Start
program. This analysis will be guided by the criteria for agency
designation found in section 641(d) of the Head Start Act and sections
1302.10 (b) (1) to (5) and 1302.11 (a) to (c) of this Part.
Section 1302.32 Alternative Agency--Prohibition
This section states that the tribe may not designate as an
alternative agency an agency which includes an employee who served on
the administrative or program staff of the Indian tribal grantee, and
who was responsible for a deficiency that was the basis of the
termination or denial of refunding described in section 1302.30. It
also specifies that the Department, not the tribe, reserves the right
to determine whether an employee was responsible for a deficiency
within the meaning and context of this section.
IV. Impact Analysis
Executive Order 12866
Executive Order 12866 requires that regulations be drafted to
ensure that they are consistent with the priorities and principles set
forth in the Executive Order. The Department has determined that this
proposed rule is consistent with these priorities and principles. This
Notice of Proposed Rulemaking sets forth a process whereby an Indian
tribe that is being terminated as a Head Start grantee may identify an
alternative agency and request that the alternative agency be
designated as the Head Start agency providing services to the tribe.
The costs of implementing this rule are not significant.
Regulatory Flexibility Act of 1980
The Regulatory Act (5 U.S.C. Ch. 6) requires the Federal Government
to anticipate and reduce the impact of rules and paperwork requirements
on small businesses. For each rule with a ``significant economic impact
on a substantial number of small entities'' an analysis must be
prepared describing the rule's impact on small entities. Small entities
are defined by the Act to include small businesses, small non-profit
organizations and small governmental entities. While these regulations
would affect small entities, they would not affect a substantial
number. For this reason, the Secretary certifies that this rule will
not have a significant impact on substantial numbers of small entities.
Paperwork Reduction Act
Under the Paperwork Reduction Act of 1995, Pub. L. 104-13, all
Departments are required to submit collections of information contained
in proposed rules published for public comment in the
[[Page 65780]]
Federal Register to the Office of Management and Budget for review and
approval. This NPRM does not contain collection of information as
defined in the Paperwork Reduction Act and implementing regulations.
List of Subjects in 45 CFR Part 1302
Education of disadvantaged, Grant programs--social programs,
Selection of grantees.
(Catalog of Federal Domestic Assistance Program Number 93.600,
Project Head Start)
Dated: November 24, 1997.
Olivia A. Golden,
Assistant Secretary for Children and Families.
For the reasons set forth in the Preamble, 45 CFR Part 1302 is
proposed to be amended as follows:
1. The Authority citation for Part 1302 continues to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
PART 1302--POLICIES AND PROCEDURES FOR SELECTION, INITIAL FUNDING,
AND REFUNDING OF HEAD START GRANTEES, AND FOR SELECTION OF
REPLACEMENT GRANTEES
2. Section 1302.2 is amended by adding a definition for ``Indian
Tribe'' to read as follows:
Sec. 1302.2 Definitions.
* * * * *
Indian tribe means any tribe, band, nation, pueblo, or other
organized group or community of Indians, including any Native village
described in section 3(c) of the Alaska Native Claims Settlement Act
(43 U.S.C. 1602(c)) or established pursuant to such Act (43 U.S.C. 1601
et seq.) that is recognized as eligible for special programs and
services provided by the United States to Indians because of their
status as Indians.
* * * * *
3. A new Subpart D, containing new sections 1302.30, 1302.31, and
1302.32, is added to read as follows:
Subpart D--Replacement of Indian Tribal Grantees
Sec. 1302.30 Procedure for identification of alternative agency.
(a) An Indian tribe whose Head Start grant has been terminated, or
which has been denied refunding as a Head Start grantee, may identify
an agency and request the responsible HHS official to designate such
agency as an alternative agency to provide Head Start services to the
tribe if:
(1) The tribe was the only agency that was receiving federal
financial assistance to provide Head Start services to members of the
tribe; and
(2) The tribe would be otherwise precluded from providing such
services to its members because of the termination or denial of
refunding.
(b)(1) The responsible HHS official, when notifying a tribal
grantee of the intent to terminate financial assistance or deny its
application for refunding, must notify the grantee that it may identify
an agency and request that the agency serve as the alternative agency
in the event that the grant is terminated or refunding denied.
(2) The tribe must identify the alternate agency to the responsible
HHS official, in writing, within the time for filing an appeal under 45
CFR Part 1303.
(3) The responsible HHS official will notify the tribe, in writing,
whether the alternative agency proposed by the tribe is found to be
eligible for Head Start funding and capable of operating a Head Start
program. If the alternative agency identified by the tribe is not an
eligible agency capable of operating a Head Start program, the tribe
will have 15 days from the date of the sending of the notification to
that effect from the responsible HHS official to identify another
agency and request that the agency be designated. The responsible HHS
official will notify the tribe in writing whether the second proposed
alternate agency is found to be an eligible agency capable of operating
the Head Start program.
(4) If the tribe does not identify a suitable alternative agency, a
replacement grantee will be designated under these regulations.
(c) If the tribe appeals a termination of financial assistance or a
denial of refunding, it will, consistent with the terms of 45 CFR Part
1303, continue to be funded pending resolution of the appeal. However,
the responsible HHS official and the grantee will proceed with the
steps outlined in this regulation during the appeal process.
(d) If the tribe does not identify an agency and request that the
agency be appointed as the alternative agency, the responsible HHS
official will seek a permanent replacement grantee under these
regulations.
Sec. 1302.31 Requirements of alternative agency.
The agency identified by the Indian tribe must establish that it
meets all requirements established by the Head Start Act and these
requirements for designation as a Head Start grantee and that it is
capable of conducting a Head Start program. The responsible HHS
official, in deciding whether to designate the proposed agency, will
analyze the capacity and experience of the agency according to the
criteria found in section 641(d) of the Head Start Act and
Secs. 1302.10(b) (1) through (b)(5) and 1302.11 of this part.
Sec. 1302.32 Alternative agency--prohibition.
(a) No agency will be designated as the alternative agency pursuant
to this Subpart if the agency includes an employee who:
(1) Served on the administrative or program staff of the Indian
tribal grantee, and
(2) Was responsible for a deficiency that:
(i) Relates to the performance standards or financial management
standards described in the Head Start Act; and
(ii) Was the basis for the termination or denial of refunding
described in Sec. 1302.30 of this part.
(b) The responsible HHS official shall determine whether an
employee was responsible for a deficiency within the meaning and
context of this section.
[FR Doc. 97-32748 Filed 12-15-97; 8:45 am]
BILLING CODE 4184-01-P
