[Federal Register Volume 61, Number 78 (Monday, April 22, 1996)]
[Proposed Rules]
[Pages 17754-17792]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-9358]
[[Page 17753]]
_______________________________________________________________________
Part II
Department of Health and Human Services
_______________________________________________________________________
Administration for Children and Families
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45 CFR Parts 1301, 1303, et al.
Head Start Program; Proposed Rule
Federal Register / Vol. 61, No. 78 / Monday, April 22, 1996 /
Proposed Rules
[[Page 17754]]
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Parts 1301, 1303, 1304, 1305, 1306, and 1308
RIN 0970-AB55
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 for Children and Families is issuing this
Notice of Proposed Rulemaking to implement the statutory provisions for
establishing program performance standards for Early Head Start
grantees and Head Start grantee and delegate agencies providing
services to eligible Head Start children from birth to five years and
their families as well as pregnant women, and for taking corrective
actions when Head Start agencies fail to meet such standards.
DATES: In order to be considered, comments on this proposed rule must
be received on or before June 21, 1996.
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.
In order to ensure that public comments have maximum effect in
developing the final rule, we urge that each comment clearly identify
the specific section or sections of the regulations that comment
addresses and that comments be in the same order as the regulations.
Beginning 14 days after close of the comment period, comments will
be available for public inspection in Room 2218, 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.
Comments that concern information collection requirements must be
sent to the Office of Management and Budget at the address listed in
the Paperwork Reduction Act section of the preamble.
A copy of these comments may also be sent to the Department
representative cited above.
FOR FURTHER INFORMATION CONTACT: E. Dollie Wolverton, Head Start
Bureau, (202) 944-5450.
Deaf and hearing impaired individuals may call the Federal Dual
Party Relay Service at 1-800-877-8339 between the hours of 8:00 a.m.
and 7:00 p.m. EDT, Monday through Friday.
SUPPLEMENTARY INFORMATION:
I. Summary
The Head Start program is authorized under the Head Start Act (the
Act), as amended (42 U.S.C. 9801 et seq.). Founded in 1965, the program
currently offers comprehensive services including high quality early
childhood education, nutrition, health, and social services, along with
a strong parent involvement focus, to low-income children nationwide.
The overall goal of the program is to bring about a greater degree of
social competence in preschool children from low-income families.
Social competence refers to the child's everyday effectiveness in
dealing with both his or her present environment and later
responsibilities in school and life. It takes into account the
interrelatedness of cognitive, intellectual, and social development;
physical and mental health; and nutritional needs.
Since the 1970's, the program performance standards have played a
central role in the Head Start program. The program performance
standards provide a standard and definition of quality services for the
approximately 2,112 community-based organizations nationwide that
administer Head Start as grantees or delegate agencies; serve as
training guides for staff and parents on the key elements of quality;
articulate a vision of service delivery to young children and families
that has served as a catalyst for program development and professional
education and training in the preschool field; and provide the
regulatory structure for the monitoring and enforcement of quality
standards in Head Start. Thus, their importance to the Head Start
program and to preschool education generally goes far beyond the
typical role of Federal regulations.
The authority for this Notice of Proposed Rule Making is sections
641A (a) and (d), 644 (a) and (c), and 645A(h)(2) of the Head Start
Act, as amended (42 U.S.C. 9801 et seq.). More specifically, the
purpose of this NPRM, the first wide-ranging revision of the program
performance standards in over 20 years, is to carry out the language in
the 1994 amendments to the Head Start Act providing for an update of
the Head Start Program Performance Standards.
Key provisions in the 1994 amendments require a review of the
performance standards in order to bring them up to date, cover new
topics, and include services to low income pregnant women and families
with infants and toddlers. In particular:
The new section 641A provides that the Secretary must
establish, by regulation, performance standards covering: (1) A range
of services for children and families, including health, education,
parental involvement, nutritional, and social services as well as
transition activities; (2) financial management and administration; and
(3) facilities. Subparagraph (a)(3)(C) of the new section provides that
the Secretary must review and revise, as necessary, the performance
standards in effect under prior law.
The amendments further provide that any revisions should
not result in an elimination or reduction of requirements regarding the
scope or types of health, education, parental involvement, nutritional,
social, or other services to a level below that of the requirements in
effect on November 2, 1978.
Section 641A(d) prescribes procedures for corrective
actions or termination to be taken with agencies which fail to meet the
standards described in subsection (a).
Section 645A(h)(2) requires that the Secretary develop
program guidelines for Early Head Start, the newly authorized program
for low-income pregnant women and families with infants and toddlers,
and to publish performance standards for such programs.
A fundamental challenge that we addressed in developing this NPRM
was to find the right balance among three important goals: (1)
Addressing the critically important new areas for regulation identified
in the statute; (2) maintaining quality and avoiding any reduction in
the level of services prescribed by the regulations, as mandated by the
statute; and (3) attempting to streamline the regulations, avoid
regulatory burden, and encourage flexibility, and innovation.
Our approach to identifying the right balance included wide-ranging
consultation with many different individuals and groups, consistent
with the new statutory requirements at Section 641(A)(a)(3) regarding
the consultations which the Secretary has to undertake and the factors
which the Secretary has to take into consideration in developing the
revised program performance standards. Following both the statute and
the Administration's regulatory reinvention principles, ACYF offered
extensive opportunities for program experts, local agencies, and other
interested parties to review and discuss the current program
performance standards.
In the late summer of 1994, ACYF formed a 33-member working group
composed of Central and Regional
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Office staff to draft a plan for the development of these regulations.
The group was given responsibility both for developing standards
related to the new service expectations of the Early Head Start and
Head Start programs--e.g., transition services and services to pregnant
women and families with infants and toddlers--and for making
appropriate revisions to the existing standards which would support
quality services, better meet the individual needs of the diverse
population of Head Start children and families, and improve program
management. Over the summer, fall, and winter of 1994-1995, this group
convened 70 focus groups involving approximately 2,000 individuals. The
participants at these meetings were drawn from a cross-section of
program practitioners, including local sponsors of Head Start programs
as well as subject experts, parents, educators, technical assistance
providers, Federal Head Start staff from across the country, and
individuals with extensive experience conducting Head Start program
monitoring in a variety of settings.
Based on this broad consultation, as well as on the work of two
national Advisory Committees (the 1993 Advisory Committee on Head Start
Quality and Expansion and the 1994 Advisory Committee on Services to
Families with Infants and Toddlers), ACYF developed the following key
elements of its approach to this regulation: (1) The current program
performance standards should be reorganized to reduce fragmentation and
duplication, encourage holistic approaches, and emphasize partnerships
with families and communities; (2) a single set of integrated standards
for services from birth to age five should be developed; (3) the
regulation should focus on requirements that are key to maintaining
quality services and meeting new and emerging needs; and (4) the least
burdensome approach to maintaining quality and meeting emerging
challenges should be sought.
ACYF is particularly interested in receiving comments on the extent
to which the proposed rule forms the least burdensome approach to
regulation in order to protect grantee flexibility to innovate and
achieve quality outcomes in the most effective way possible, while
recognizing the statutory mandate to ensure that there is no reduction
in services and to provide standards supporting the implementation of a
range of new statutory requirements. Further, within this framework,
ACYF has consistently sought ways to make the regulation more outcome-
focused and less process-oriented. We urge commenters to share their
ideas on ways that we can continue to move in this direction.
II. The Head Start Program
The Head Start program served approximately 740,000 low-income
children and families in fiscal year 1994 through a network of 1,405
grantees and over 600 delegate agencies. (Delegate agencies have
approved written agreements with grantees to operate the program.)
Programs are funded through a direct Federal-to-local relationship, and
grantees include a wide range of local agencies: community action
agencies, single-purpose nonprofit agencies, local governments, and
school districts, among others. About 95 percent of the children in
Head Start programs are from low-income families (below the Federal
poverty line); about 13 percent of the children have disabilities; and
about 90 percent of the children served are 3 to 4 years old. As
described below, the 1994 Head Start amendments created a new
initiative within Head Start to expand and focus on services to infants
and toddlers.
Key principles of Head Start since its inception in 1965, and
reaffirmed most recently through a thorough review by the bipartisan
Advisory Committee on Head Start Quality and Expansion, include the
following:
Comprehensive services. To develop fully and achieve
social competence, children and their families need a comprehensive,
inter-disciplinary approach to services, including education, health,
nutrition, social services, and parent involvement. The range of
services available must also be responsive and appropriate to each
child and family's unique developmental, ethnic, cultural, and
linguistic experience and heritage.
Parent involvement and family focus. The Head Start
program is family-centered and is designed to foster the parent's role
as the principal influence on the child's development and as the
child's primary educator, nurturer, and advocate. Local Head Start
programs work in close partnerships with parents to develop and utilize
parents' individual strengths in order to successfully meet personal
and family objectives. In addition, parents are encouraged to become
involved in all aspects of Head Start, including direct involvement in
policy and program decisions that respond to their interests and needs.
Community Partnerships and Community-Based Services. Head
Start programs are intended to be community-based, with different
specific models of service provision flowing out of the differing needs
of differing communities. In addition, the most effective Head Start
programs have always been, in the words of the Advisory Committee on
Head Start Quality and Expansion, ``central community institutions''
for low-income families, building linkages and partnerships with other
service providers and leaders in the community.
III. Legislative and Programmatic History
In May 1994, the President signed into law the Head Start
Reauthorization Act of 1994. This legislation, enacted with bipartisan
sponsorship and support, amended the Head Start Act to extend the
program authorization period through fiscal year 1998. It also made a
number of changes to ensure that all children and families enrolled in
Head Start are offered high quality services that are responsive to
their needs. The legislation built on the vision and recommendations
contained in Creating A 21st Century Head Start, the report of the
Advisory Committee on Head Start Quality and Expansion, which was
issued in December 1993.
The Secretary formed the Advisory Committee in June 1993 to look at
Head Start quality and program expansion issues. The Committee worked
for six months before issuing its report. The report included numerous
recommendations, centered around:
--striving for excellence in staffing, management, oversight,
facilities, and research;
--expanding to better meet the needs of children and families; and
--forging new partnerships with communities, schools, the private
sector and other national initiatives.
In its report, the Advisory Committee reaffirmed the role and value
of the existing Head Start Program Performance Standards. However, it
also recommended that the standards be reviewed and revised to reflect
the changing nature of the Head Start population, the evolution of best
practices, program experience with the existing standards, and the
pending program expansion. Reviews in several specific areas were
recommended including: business practices and financial management;
staff levels and qualifications; developmentally appropriate curricula
and emergent literacy; transitional services; mental health;
nutritional requirements; family services; parental roles; services for
the ``birth-to-three'' population; transportation; and program
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coordination. It also recommended the consideration of: (1) Standards
and systems in effect in other early childhood programs; (2) work in
other fields to establish outcome-based accountability systems; and (3)
the guiding principles of the Administration's National Performance
Review (i.e., increased responsiveness to clients, and the minimization
of regulations and paperwork). As principles for the review effort, it
called for the promotion of quality, responsiveness to community needs,
and the strengthening and streamlining of the standards. Finally, it
advised consideration of the special needs and circumstances of
programs serving American Indians and migrant and seasonal farm
workers.
In making its general recommendations, the Advisory Committee noted
the dramatic changes which had occurred in the world of Head Start
families between 1965 and 1993:
The needs of poor children and families are more
complicated and urgent. Violence, substance abuse, homelessness, lack
of education, and unemployment are helping to make them so. At the same
time, more of the Head Start service population is coming from single-
parent families, increasing numbers of parents are working, and family
literacy is increasingly being recognized as an important service need.
Over the past 28 years, the landscape of community
services has changed dramatically. There are new roles and enhanced
capacities for serving young children and their families. Today, we
also have new knowledge about the attributes of services and supports
that are effective in changing long-term outcomes for young children,
new knowledge about the importance of the first three years of life,
and new knowledge and appreciation for the continuum of developmental
and comprehensive services often needed before school and into the
early years to help children succeed in school.
While the Advisory Committee found that Head Start has succeeded in
improving the lives of young children and their families, it cited some
areas where further improvements were possible. These include: (1)
Consistency in the quality of programs; (2) responsiveness to the
diverse needs of Head Start families; (3) addressing the large unmet
need for Head Start services; and (4) coordination of Head Start with
other early childhood programs and elementary schools.
The 1994 Head Start amendments reflect similar concerns on the part
of the Congress. They include a number of provisions designed to
improve program quality--including new requirements with respect to
quality standards and program monitoring, technical assistance and
training, staff qualifications and development, and an allocation for
quality improvement activities. They also include a number of
provisions to expand the nature and scope of services and to make
programs more responsive to the needs of their service populations. For
example, they add new requirements with respect to family literacy
services and parental involvement, provide for an initiative for
pregnant women and families with infants and toddlers (Early Head
Start), expand opportunities for parental involvement, add requirements
to facilitate the successful transition of Head Start children to
elementary school, and mandate a study of the adequacy of full-day/
full-year programs.
The amendments further provide that, in revising the current
program performance standards and in developing new ones, the Secretary
must consult with experts in the fields of child development, early
childhood education, family services (including ``linguistically and
culturally appropriate services'' to children and families for whom
English is not the primary language), and administration and financial
management. They also require consultation with individuals with
experience operating Head Start programs.
Additionally, the amendments require that the Secretary take
several factors into consideration in developing the program
performance standards. These include: past experience with the existing
standards; changes over time in the Head Start service population;
developments in best practices with respect to child development,
children with disabilities, family services, program administration,
and financial management; projected needs related to Head Start
expansions; existing and potential standards and guidelines related to
the promotion of child health; the projected needs of expanded Head
Start programs; changes in the population of eligible children
(including changes in family structures and languages spoken in the
home); and local policies and activities designed to ensure the
successful transition of Head Start children to elementary school.
The Advisory Committee on Services for Families with Infants and
Toddlers was formed by the Secretary of Health and Human Services in
July 1994 to advise and inform the Department on the development of
program approaches for the new Head Start initiative serving low-income
pregnant women and families with infants and toddlers (later named
``Early Head Start''). The Advisory Committee drew upon the experience
of a number of different programs (such as the Comprehensive Child
Development Program, Parent and Child Centers, and Head Start Migrant
Programs), the insights provided by participants in over 30 focus
groups, three decades of research on child and family development, and
extensive consultations with experts and practitioners in the field.
In September 1994, the Advisory Committee on Services for Families
with Infants and Toddlers issued a formal statement setting forth both
its vision and goals and its recommendations for program principles and
cornerstones. It called for the development of a range of service
strategies that would support the growth of the young child within the
family and the growth of the family within the community. Thus, it
envisioned program approaches that were family-centered and community-
based. Its program principles included: (1) A commitment to excellence
in the quality of the services provided as well as in program
management; (2) the prevention and early detection of and early
intervention with problems; (3) the early, proactive, and ongoing
promotion of a child's healthy development; (4) the promotion of
positive, continuous relationships that nurture the child, parents,
family, and caregiving staff; (5) the promotion of parent involvement;
(6) the inclusion of children with disabilities and respect for
individual children and adults; (7) respect for home language and
culture; (8) responsiveness to the unique strengths and abilities of
the children, families, and communities served; (9) ensuring smooth
transitions; and (10) collaboration and the active pursuit of
partnerships with kindred programs.
A local education agency using funds under Title I of the
Elementary and Secondary Schools Act to provide early childhood
development services to low-income children below the age of compulsory
school attendance must comply with the Head Start Program Performance
Standards for such services beginning in fiscal year 1997. The proposed
performance standards governing early childhood development services
are found in Section 1304.21, Education and Early Childhood
Development. (Title I preschool programs using the Even Start model or
Even Start programs which are expanded through the use of Title I
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funds are exempt from this requirement.) We have sought consultation
with school officials and education experts, as well as early childhood
experts, and have worked closely with the U.S. Department of Education
in developing this section of the NPRM.
Local educational agencies, school personnel, and persons
affiliated with Title I preschool programs are referred to the
Department of Education's Notice of Interpretation regarding the
applicability of Head Start performance standards to Title I preschool
programs that appears elsewhere in this Federal Register. We encourage
comments from local educational agencies, school personnel, and persons
affiliated with Title I preschool programs regarding the content of 45
CFR 1304.21 and its impact.
IV. Consultation and the Development of the NPRM
In keeping with the requirements of the statute and the
Administration's regulatory reinvention principles, ACYF sought
extensive public input prior to the development of these proposed
standards. As noted above, over the summer, fall, and winter of 1994-
1995, we conducted 70 focus groups involving approximately 2,000
individuals including subject experts, parents, educators, technical
assistance providers, local sponsors of Head Start programs, Federal
staff, and individuals with extensive program monitoring experience.
Fifteen of the focus groups addressed standards related to specific
subject areas such as child development and education; child medical,
dental, nutrition and mental health; and parent involvement. Subject-
area experts were key participants in those groups. Over 30 of the
focus groups addressed standards for pregnant women and families with
infants and toddlers. In addition, a focus group was convened with the
Department of Education to discuss the compatibility of these standards
with the Title I Improving America's Schools Act programs. The parents
of Head Start children were present at many focus groups, and one focus
group was devoted entirely to Head Start parents. In addition, one
group was devoted to obtaining recommendations from long-term leaders
of the Head Start movement who could provide unique insights into the
program's experience and development over time as well as the program
strengths and weaknesses that should be addressed.
Representatives from a wide array of national organizations and
agencies with particular interest in child and family issues also were
consulted. Among these organizations were the national, State, and
Regional Head Start Associations, Zero to Three, the National Center
for Learning Disabilities, the Family Impact Seminar, the Family
Resource Coalition, the National Black Child Development Institute, the
Elementary School Principals Association, the National Association for
the Education of Young Children, and the National Committee to Prevent
Child Abuse.
The ACYF also undertook a consultation process to draw upon the
expertise of Federal agencies and staff responsible for administering
related programs and serving related populations. The purpose of these
efforts was to promote greater consistency in the service and
regulatory approaches taken by various Federal programs and to solicit
expert advice on how to promote quality in Early Head Start and Head
Start services. Among the critical links in this process were those
with health and mental health agencies; the U.S. Public Health Service,
including the Health Resources and Services Administration's Maternal
and Child Health Bureau, the Indian Health Service and the Centers for
Disease Control and Prevention; the Health Care Financing
Administration, and the Center for Mental Health Services; the U.S.
Department of Education, including the Office of Educational Research
and Improvement; and the U.S. Department of Agriculture.
In reviewing and revising the standards, ACYF also carefully
reviewed the standards and performance criteria established by national
organizations and policy experts in early childhood development, health
and safety, child care, and related fields. Key documents reviewed
include the National Head Start Association's ``Quality Initiative''
draft report, the National Association for the Education of Young
Children's ``Accreditation Criteria and Procedures'' and
``Developmentally Appropriate Practice in Early Childhood Programs,''
the U.S. Public Health Services', Health Resources and Services
Administrations' Maternal and Child Health Bureau's ``National Health
and Safety Performance Standards: Guidelines for Out-of-Home Child
Care,'' developed in collaboration with the American Academy of
Pediatrics and the American Public Health Association, and produced in
collaboration with the Health Care Financing Administrations's Medicaid
Bureau ``Bright Futures: Guidelines for Health Supervision of Infants,
Children, and Adolescents'' report. The proposed rule also reflects the
guidance provided by contemporary academic literature in such fields as
early childhood education, child health and safety, family services,
and program management.
In addition, ACYF undertook an analysis of the current program
performance standards with which grantees have the most and,
conversely, the least difficulty in complying, as measured by results
from Head Start's monitoring instrument, the ``On-Site Program Review
Instrument'' (OSPRI). Finally, ACYF also studied the wealth of non-
regulatory material issued by ACYF and the Head Start Bureau since
1978, such as Information Memoranda, reports on demonstration programs,
and task force reports, which address key policy issues of possible
relevance to the program performance standards.
In drafting the proposed rule, ACYF also considered the
recommendations of both the Advisory Committee on Head Start Quality
and Expansion and the Advisory Committee on Services for Families with
Infants and Toddlers. These two groups included a wide range of
distinguished national experts, including practitioners, academics,
policy-makers in the Executive and legislative branches,
representatives of State government and the foundation community, and
parents. In addition, both groups commissioned considerable staff work
to support their deliberations. Thus, the collective efforts of these
two groups allowed access to a wealth of expertise, program experience,
and supporting documentation that would not otherwise have been
available.
Findings From the Consultation Process
The consultation process yielded the following major objectives for
revising the standards:
The organization of the standards should be improved to
promote a more integrated, holistic approach to service delivery;
The standards should serve as models for program quality
and encourage programs to strive for excellence;
The standards should achieve a better balance between the
clarity and precision of regulatory intent and regulatory flexibility
so that programs can be most responsive to local needs, settings, and
circumstances;
The standards should place greater emphasis on family-
focused aspects of the program by strengthening links with local
community providers, helping families identify and address
individualized goals, and ensuring that
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the standards address important contemporary issues facing families
such as community violence, substance abuse, and literacy;
The standards regarding health and safety practices need
to be updated, with special attention to infant/toddler concerns,
current medical best practices, and serious blood-borne diseases, such
as HIV and Hepatitis B; and
New standards addressing financial and administrative
management should be added in order to strengthen program
accountability and management practices.
V. Approach of The Proposed Rule
Based on this extensive consultation, we sought to achieve a
balance among three critical goals: (1) Updating the program
performance standards to meet new challenges, as required in the
statute; (2) maintaining quality and ensuring no reduction in services,
as required in the statute; and (3) streamlining the standards to
minimize regulatory burden and encourage grantee innovation and
flexibility. We first made decisions about the scope of the proposed
rule, since a number of closely related regulations could have been
included or not included in a performance standards revision, and then
identified key principles regarding the structure and approach of this
proposal.
Scope of the Proposed Rule
This proposed rule deals most specifically with implementing the
amendments in section 641A(a) and (d) of the Act. It addresses the
requirements at: paragraph (a)(1) regarding the establishment of
standards; paragraph (a)(2) regarding the specification within the
regulations of minimum levels of accomplishment; paragraph (a)(4)
regarding the establishment of standards with respect to obligations to
delegate agencies; and paragraph (d) regarding the procedures to follow
when corrective actions or terminations are necessary. It also responds
to Sections 644(a) and (c) that require the issuance of regulations for
the organization, management, and administration of Head Start
programs. Finally, it addresses Section 645A(h), which requires that
the Secretary publish performance standards for programs that serve
low-income pregnant women and families with infants and toddlers.
The current Head Start Program Performance Standards are found at
45 CFR Part 1304. Additional regulations which are applicable to Head
Start agencies also are found at 45 CFR Parts 1301 (Head Start Grants
Administration), 1305 (Eligibility, Recruitment, Selection, Enrollment,
and Attendance in Head Start), 1306 (Head Start Staffing Requirements
and Program Options), 1308 (Disabilities Services), and Parts 74 and 92
(concerning the administration of grant awards).
As we considered the input from our consultation process, we
concluded that we needed to review these additional regulations to find
out whether a streamlined, integrated, and customer-friendly set of
performance standards in 45 CFR Part 1304 should bring together
requirements now included somewhere else. Therefore, in addition to
revising 45 CFR Part 1304, we also reviewed the regulations in 45 CFR
Parts 1301, 1305, 1306, and 1308 to determine where further technical
changes were needed.
In this NPRM, ACYF proposes to revise 45 CFR 1301.31 on personnel
policies and to make minimal technical modifications to 45 CFR Parts
1305, 1306, and 1308. A cross-reference will be added in these Parts to
ensure that they are used in conjunction with the provisions of Part
1304.
Additionally, as we reviewed the information gathered from our
consultations regarding services to infants and toddlers, we revised
somewhat our approach to regulations in this area. In the Early Head
Start program announcement, published in the Federal Register on March
17, 1995 (60 FR 14548), only 45 CFR Parts 1301, 1304, and 1305 were
cited as being applicable to Early Head Start programs. Upon further
consideration, we have determined that 45 CFR Parts 1306 and 1308 also
are generally applicable to these programs and are indicating this in
the proposed rule, with specific exceptions being noted.
Finally, the proposed rule does not address the amendments at
section 641A(b) related to the development of Head Start Program
Performance Measures or at 641A(c) related to the monitoring of local
agencies and programs. The statute does not mandate regulations in
these areas, and ACYF does not anticipate issuing regulations to
implement these provisions.
However, we are working to ensure that the substantive
deliberations and policy development currently underway on the program
performance measures and monitoring are effectively linked to the
revision of the program performance standards, since the three
activities must work in tandem to ensure consistent program quality. In
addition to ensuring linkages among the Federal work groups developing
these approaches, we will ensure that Early Head Start programs, Head
Start programs, and other interested parties receive program issuances
related to the development and implementation of the program
performance measures and revisions to the monitoring system as they
become available.
Briefly, the activities related to performance measures and
monitoring are as follows:
The Head Start Program Performance Measures are designed
to assess the quality and effectiveness of the Head Start program
nationally by providing program indicators and outcomes for children
and families. As such, they will provide a snapshot of how well the
Head Start program is performing, nationally and regionally, at a given
point in time and a process for the continuous improvement of local
programs. However, they will neither be used to evaluate individual
programs nor to monitor them for compliance with the Head Start Program
Performance Standards.
The ACYF is currently considering how the Head Start
monitoring system as a whole can be revised and improved. This effort
needs to mesh with the work on the revision of the program performance
standards so that the Head Start monitoring instrument (the Head Start
On-Site Program Review Instrument, or OSPRI) remains consistent with
the standards, as revised. Each grantee is monitored at least once
every three years.
Themes of the Newly Revised 45 CFR Part 1304
In drafting this proposed rule, we sought to achieve the delicate
balance described above: addressing new challenges and new statutory
areas for regulation, maintaining existing quality and services, and
streamlining the regulations to reduce burden and encourage innovation.
Our overall approach is built on four key themes.
1. The Head Start program performance standards should be
reorganized to reduce fragmentation and duplication, encourage holistic
approaches, and emphasize partnerships with families and communities.
Based on what we heard during the consultation process, we are
proposing an organizational structure for the program performance
standards that departs considerably from the structure of the current
version of the regulation. In particular, the overall structure of the
new standards is more holistic and integrated than the current
component-based organization, leading to better linkages among related
standards and less duplication and fragmentation.
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Such an integrated structure was first suggested as part of the
work of the Advisory Committee on Services to Families with Infants and
Toddlers, which identified four cornerstones of successful programs for
very young children: child, family, community, and staff. This
recommendation for a broad-based, integrated structure was echoed in
the focus groups, where we heard that the most effective grantees
attempt to integrate their services across components and train their
staff to understand and serve children and families from a broader,
more comprehensive perspective. For this reason, previously separate
components, such as Parent Involvement and Social Services, and
dispersed standards, such as those addressing parent education and
program management issues, have been brought together under three
broader topical program areas that roughly follow the four cornerstones
proposed by the Advisory Committee: Early Childhood Development and
Health Services, Family and Community Partnerships, and Program Design
and Management.
Under these broad areas, we have proposed some additional
consolidations or reorganizations to improve clarity, bring together
related standards or emphasize areas of newly emerging or critical
importance. For example, the new section on ``Community Partnerships''
is intended to capture one of the most critical recommendations of the
Advisory Committee on Head Start Quality and Expansion, which also
emerged frequently in our focus group consultations: that, ``as Head
Start improves and expands, it must fit into the increasingly complex
array of Federal, State, and community level services and resources
available to low-income children and families.'' The proposed standards
in this area, which are largely new but are also drawn from the earlier
component standards for social services, require community
collaboration and identify key agencies with which local Early Head
Start and Head Start grantees must coordinate.
The standards in Subpart D entitled ``Program Design and
Management'' are comprised of four sections on Program Governance;
Management Systems and Procedures; Human Resources Management; and
Facilities, Materials, and Equipment. This structure brings together
requirements which were previously scattered and adds selected new
requirements in order to ensure a more intensive focus on program staff
and management. This more intensive focus responds to a statutory
requirement to develop improved administrative and financial management
standards; to a concern about the management of ever-more-complex
programs that was frequently heard in the consultation process; and to
explicit recommendations of the Advisory Committee on Head Start
Quality and Expansion to ``focus on staffing and career development,''
to ``improve the management of local programs,'' and to ``provide for
better facilities.''
2. A single set of integrated standards for services from birth to
age 5 should be developed. Initially, we anticipated issuing separate
NPRM's for services to low income pregnant women and families with
infants and toddlers (Early Head Start) and for Head Start grantees
serving children aged 3 to 5. Through the consultation process,
however, we concluded that it would make more sense to issue an
integrated set of standards, both for grantees, who might be operating
both types of programs, and for children and families, who might be
moving from one program to another and deserve continuity of services
and requirements to the extent possible. However, we were extremely
mindful of another critical point that we heard from both health and
child development experts: that infants and toddlers are not just small
preschoolers, and that it is critical for children's health, safety,
and development to ensure clear standards for quality that are
appropriately different for the different ages.
Therefore, our approach was to create a unified, integrated
structure, with age-specific standards where appropriate. For example,
in areas such as Early Childhood Development and Health Services, and,
to a lesser extent, in Family and Community Partnerships, it was
necessary to develop discrete standards that are applicable only to
grantees serving infants and toddlers (and, by extension, pregnant
women).
The decision to develop an integrated set of standards has
substantially reduced potential requirements on grantees. The NPRM
which was published on June 19, 1990 (55 FR 24899), entitled ``Program
Performance Standards for Head Start Programs Serving Infants, Toddlers
and Pregnant Women,'' (which was subsequently withdrawn on September
30, 1994, 59 FR 46806) contained 26 sections in all. The current NPRM
contains only 16 sections, yet covers services to Head Start eligible
children from birth to five years and their families. We believe that
this integrated approach saves grantees and delegate agencies
significant problems in having to work with two sets of regulations.
3. The regulation should focus on requirements that are key to
maintaining quality services and meeting new and emerging needs. One of
the major goals of the proposed rule is to update expectations for
grantees to ensure quality and to meet new and emerging program
challenges, with a specific focus on issues identified in the
reauthorizing legislation and by the two Advisory Committees. For
example, both the Advisory Committees and our own consultations
identified health services as being a critical component that needs
more attention to ensure quality outcomes for children and their
families. We heard that health services require special attention for
many reasons: because some Head Start programs have had difficulty with
some aspects of quality; because community-wide trends may be
endangering children's health and limiting their access to health care;
and because of the new program focus of Early Head Start, which serves
families with infants and toddlers and pregnant women. Examples of new
or revised requirements that emerged from our consultations include a
revision of the procedures and schedules for the assessment and
identification of child health, nutrition, and developmental concerns,
in order to meet current medical best practice; requirements related to
child safety in the presence of serious diseases such as
cytomegalovirus (CMV) and Human Immunodeficiency Virus (HIV);
requirements related to prenatal care for pregnant women; proper
procedures for handling child health emergencies; and improved mental
health services for troubled children and families.
Similarly, the proposed rule addresses emerging family and
community issues identified through consultations and in the statute.
One of the most frequently mentioned quality issues in the work of the
Advisory Committee on Head Start Quality and Expansion and in our own
consultations was the effect of the changing conditions of families--
including increased stress, family violence, substance abuse, poverty,
and homelessness--on the ability of programs to work effectively with
children and parents. These stresses require that programs focus
increased staff attention on individualized family support and goal-
setting. While we have not chosen the most prescriptive approaches to
providing such assistance, such as prescribing a ratio of families to
family service workers or specifying academic qualifications for those
workers, we have proposed a number of more flexible program
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requirements. Programs must ensure that staff managing family service
workers have appropriate training and experience; they must carry out
the statutory mandate for family literacy services; and they must
strengthen their assessments of family needs and goals and provide
improved follow-up and coordination of service delivery with community
agencies, including elementary schools and Title I Improving America's
Schools Act preschool programs. The proposed rule also addresses the
other most frequently mentioned issue of emerging family needs: the
need to respond to working families, including developing parent
involvement approaches that meet the needs of working parents in the
Early Head Start and Head Start programs.
The proposed rule also addresses critical issues of program quality
related to agency management of increasingly complex programs, such as
governance; planning; communication, record-keeping, and reporting
systems; human resources management and professional development; and
facilities management. These issues were frequently raised throughout
the consultation process, including by grantees themselves.
Additionally, the proposed rule also addresses Federal enforcement
of minimum quality standards in cases where local agencies are
seriously deficient in their provision of program services. This
requirement (contained in Subpart E, entitled ``Implementation and
Enforcement'') implements specific statutory language in section 641A
of the Head Start Act concerning the corrective or termination
procedures to be followed when local agencies fail to comply with the
Head Start Program Performance Standards. This proposal also carries
out a central recommendation of the Advisory Committee on Head Start
Quality and Expansion that all programs should provide quality services
that live up to the Head Start vision.
4. The least burdensome approach to maintaining service quality and
meeting emerging challenges should be sought. At the same time that the
proposed rule implements a range of new statutory requirements and
complies with the statutory mandate to ensure that there is no
reduction in services, we have sought the least burdensome approaches
to regulation in order to protect grantee flexibility to innovate and
achieve quality outcomes in the most effective way possible. Among our
key approaches to achieving this balance, where possible, was to
identify process requirements in the current standards which could be
deleted or replaced with a simpler requirement without reducing the
quality of services. For example, we deleted an existing requirement
that Head Start programs provide child-sized eating utensils and
furniture. We also eliminated considerable duplication as a result of
the new organizational structure, and we pruned out-dated material,
such as a lengthy appendix related to staff personnel policies. We
eliminated a proposed requirement for the ``daily'' recording of
progress on each child because it would place a considerable paperwork
burden on programs, and because the requirement for the
individualization of services and individualized observations would
serve the aim of maintaining quality. And, we extended the required
time period for the completion of medical and dental assessments from
45 days to 90 days in response to comments, particularly from rural
communities, that the shorter timeframe was unrealistic and that
service quality can be protected with prompt action, but a more
realistic deadline.
The ACYF has consistently sought to design the new requirements in
ways that offer grantees flexibility in their implementation of the
requirements. For example, although the new transition requirements
carry out the specific intent of the statute, they also leave room for
local agencies to design their own specific procedures for implementing
these new requirements. Likewise, where possible, ACYF has sought to
add increased flexibility to the current regulation. For example, on
the advice of focus group participants, we have added a provision
allowing agencies operating the center-based program option to conduct
home visits outside the home when parents request such an arrangement
or when visits to the home present safety concerns for staff.
Also to streamline the regulation, we reduced the amount of
regulatory text devoted to discussing objectives and setting the
context for the program performance standards. While this material is
very important, much of it is not regulatory in nature. Therefore, we
have included it in this preamble, rather than in the regulatory text.
We also attempted to provide sufficient flexibility in the
standards so that they can apply to the wide range of auspices under
which individual programs are operated (such as elementary schools,
private non-profit agencies, and local governments, to name a few) and
to the wide range of program options from which agencies can now choose
(such as center-based programs, home-based programs, combinations of
center- and home-based programs, and locally designed program options).
While most of the standards apply equally to all program options, where
necessary we have created separate standards for the home-based program
or, alternatively, have indicated where particular standards apply only
to the center-based program option.
Finally, we looked for opportunities to make the regulations more
outcome-focused and less process-focused. One key example is the
regulation in Section E, which implements the new statutory requirement
for a corrective action process for deficient grantees leading to
prompt termination if services do not improve after the provision of
technical assistance. Our proposal is intended to focus monitoring
attention on those programs whose deficiencies affect the quality of
services and outcomes for children, rather than on those programs that
may have areas of non-compliance which need to be corrected but do not
seriously compromise their fundamental ability to promote children's
healthy development and social competence. ACF solicits comments on
additional ways to make the regulations more outcome-based.
VI. Summary of the Proposed Regulation
Objective
The Head Start Program Performance Standards are a means for
ensuring that all local agencies maintain the highest possible
standards in the provision of Early Head Start and Head Start services.
The standards are designed to ensure that the objectives of the Early
Head Start and Head Start programs are achieved. To that end, they
specify, in concrete terms, the features expected of a quality Early
Head Start and Head Start program, and they hold local agencies
responsible for meeting specific responsibilities in all program areas.
Just as local grantees and delegate agencies are expected to honor
the culture and to maximize the strengths and experiences of each child
and family, we recognize the differences and uniqueness of each local
program and the community in which it operates. Therefore, while all
agencies are expected to comply with the standards in this proposed
rule regarding program operations and activities, we will be providing
agencies with guidance material designed to suggest best practices for
implementing the standards in a manner appropriate to their local
circumstances. We also plan a variety of additional technical
assistance activities to assist agencies in
[[Page 17761]]
understanding and implementing the new standards.
VII. Section by Section Discussion of the NPRM
The following sections in the preamble discuss in more detail the
specific provisions in the proposed revisions to 45 CFR Part 1304. We
have attempted in our discussion to focus particularly on those
standards, or features of the standards, that are new to the proposed
rule, rather than provide an exhaustive explanation of every aspect of
the standards, some of which are unchanged from the current regulation.
Subpart A--General
Section 1304.1--Purpose and Scope
This section describes the purpose and scope of the proposed rule
and references the sections of the Head Start Act upon which the
proposed rule is based.
Section 1304.2--Effective Dates
This section provides that the proposed rule applies to all Early
Head Start and Head Start grantees and delegate agencies as of the
effective date. We welcome comments on whether we should provide for
waivers on certain requirements which are believed to be too difficult
for all affected agencies to meet by the effective date and which do
not compromise the safety or developmental needs of Early Head Start or
Head Start children.
Section 1304.3--Definitions
Paragraph (a) of this section provides definitions of the terms
used throughout the proposed rule and paragraph (b) cross-references
them to other definitions. Key words and phrases defined include:
developmentally appropriate, family, infant, toddler, preschooler,
assessment, policy group, program attendance, referral, staff, staff
caregiver, teacher, and volunteer.
The definitions in this section are consistent with the definitions
found in other Parts of this chapter and in other applicable Federal
regulations. Among the other sources we consulted in developing these
definitions are: the American Academy of Pediatrics, the American
Public Health Association and the Health Resources and Services
Administration's Maternal and Child Health Bureau's ``National Health
and Safety Performance Standards: Guidelines for Out-of-Home-Care''
(1992); the American Heritage Dictionary, Houghton Mifflin Company:
Boston (1992); the California Department of Education, Child
Development Division's ``Developmental Program for Infants/Toddlers''
(1993); the Department of Public Welfare, Commonwealth of Pennsylvania,
Pennsylvania Code (1992); the National Association for the Education of
Young Children's ``Accreditation Criteria and Procedures of the
National Academy of Early Childhood Programs'' (1991); the Office of
Human Development Services, U.S. Department of Health and Human
Services, Chapter XIII, Subchapter B--the Administration on Children,
Youth and Families, Head Start Program, 45 CFR Parts 1301-1308; the
U.S. Department of Education, 34 CFR Part 303, Early Intervention
Program for Infants and Toddlers with Disabilities; and the
Administration for Children and Families, Child Abuse Prevention and
Treatment Act, as amended, November 4, 1992.
Subpart B--Early Childhood Development and Health Services
General Objectives
The objective of this Subpart of the proposed rule is to provide
high quality, comprehensive services that foster each child's social
competence by supporting and nurturing the child's social, emotional,
cognitive, and physical development. Agencies must provide a safe,
comforting, stimulating, and secure environment for children that is
responsive to their varied ages, developmental levels, and special
needs. In addition, they must provide a variety of individualized
learning experiences that accommodate each child's unique temperament,
cultural and ethnic heritage, personal preferences, and style of social
interaction. As the first and primary educators of their children,
parents must be integrally involved in educational activities provided
both by the program and in the home. The learning experiences also must
be multi-dimensional, integrating the educational aspects of medical
and dental health, nutrition, and mental health services into program
activities.
Head Start services under this Subpart must place a great deal of
emphasis on medical, dental, and mental health. Each child's physical
and emotional health must be assessed as early in the program year as
possible, and strenuous efforts should be made to link each child and
family to a ``medical home'' or accessible system of ongoing preventive
health care and treatment. To ensure the continued healthy development
of children after they leave the Early Head Start or Head Start
program, agencies must collaborate actively with parents as partners in
their children's health care. Agencies must emphasize the benefits of
preventive health care: for instance, they must help parents understand
the link between sound nutritional habits and good health, and the
importance of creating a nurturing environment that supports the mental
well-being of children. Likewise, agencies must emphasize safety,
sanitation, and hygienic practices that promote continued good health.
Every aspect of Head Start services under this Subpart must be
responsive to children's individual strengths, circumstances and
special needs. For example, the nutrition program must be sensitive to
individual cultural and ethnic food preferences and accommodate special
dietary requirements, while also helping children to broaden their
nutritional experiences. Together, parents and staff must ensure that
children with special behavioral or other mental health concerns
receive appropriate mental health interventions and classroom
accommodations that enable them to enjoy the full benefits of Early
Head Start and Head Start participation. In addition, agencies must be
prepared to handle individual health emergencies, injuries or
infectious conditions that children may have in a manner that best
promotes the recovery of the affected child and that minimizes any
risks to other children, staff, and parents.
Consistent with these objectives, the proposed revisions would
place more emphasis than the current regulation on issues such as: (1)
The scope and quality of child assessments (including developmental and
behavioral assessments); (2) the involvement of parents and families in
the delivery of Head Start services and the promotion of healthy child
development; (3) the recognition of individual needs and cultural and
linguistic differences among children; (4) contemporary practices which
promote the child's physical, dental and mental health; and (5)
appropriate safety practices and procedures for addressing emergency
health problems. The proposed revisions also incorporate requirements
specifically related to the special developmental needs of infants and
toddlers.
Section 1304.20--Child Health and Developmental Assessment
Objective
The objective of this section of the proposed rule is to ensure
that all health and developmental concerns are identified for each
enrolled child. Also, agencies must link children and families
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to a system of ongoing preventive health care--a ``medical home''--to
ensure that health care needs are met, and can continue to be met, by
the time the children and families leave the Early Head Start or Head
Start program. Therefore, it is vitally important to the healthy
development of children that staff actively involve parents as partners
in their children's health care so that they can understand the
importance of regular, ongoing preventive care and how to obtain it.
The picture of each child's development and physical health
obtained during the assessment process must be used to individualize
the program for each child to ensure that the child's potential is
fully developed. In addition, the process must be used as the basis for
further assessment and treatment, as specified in 45 CFR 1304.22.
Proposed Regulatory Provisions
(a) Assessment Process
The proposed rule would require an assessment which gathers and
records, to the greatest extent possible, all relevant historical
information about each child's health and development to enable a
health professional's review of a child's status on established
schedules of well child care and immunization no later than 90 calendar
days from the first day of each child's enrollment in programs with
durations of greater than 90 days. Grantee and delegate agencies
operating programs of shorter duration (90 days or less) must gather
the information and assure it has been reviewed by a health
professional(s) within 30 calendar days after each child's enrollment
in the program. Section 1304.20(a) of this Part cites the schedules of
diagnostic procedures and immunizations that must be followed for each
child and the sources of these schedules. These sources are: the
Centers for Disease Control and Prevention's Advisory Committee on
Immunization Practices and the schedule of well child care used by the
Health Care Financing Administration's Medicaid Bureau for the Early
and Periodic Screening, Diagnosis, and Treatment (EPSDT) program for
the State in which a Head Start program operates. The schedules must be
compared with each child's historical health information to determine
what, if any, procedures and/or immunizations are required.
When the health professional's review of a child's status on the
schedules of well child care and immunization indicates the child's
care/immunization are not up-to-date, then the program must work
collaboratively with the parents to secure the specific diagnostic
procedures and/or immunizations established in these schedules within
90 calendar days of the first day of the child's enrollment in the
program. Grantees and delegate agencies operating programs of shorter
duration (90 days or less) must implement a plan to secure the needed
services/immunizations within 30 calendar days of the first day of
enrollment in the program. For children who have received appropriate
care, programs must ensure that appropriate care continues. The
determination of appropriate care for a child will be based on the
recommendations of the child's health care provider.
The new assessment process proposed in the revised standards builds
in greater flexibility for local agencies, as they no longer will be
required to secure the same set of assessment procedures for each
enrolled child, but only those assessments which the review by health
professional(s) identifies as not-up-to-date by the established
schedules. Similarly, the expanded timeframes, from 45 to 90 days for
most programs, provides greater flexibility for programs, and is based
on feedback received during the focus groups that 45 days is often
insufficient to complete the assessments, particularly in rural areas.
The 30-day timeframe for programs operating 90 days or less is based on
concerns, also expressed during the focus groups, that a shorter period
is needed to assure that assessments are completed on all children
before they leave programs of shorter durations, such as migrant
programs.
The ACYF invites comments regarding the proposed 90- and 30-day
timeframes. The ACYF is particularly interested in whether these
timeframes would pose difficulties for grantee and delegate agencies,
whether they would allow sufficient time to gather information, and the
impact that these timeframes would have on the quality of health care
received by children who are enrolled in the program.
(b) Parent Involvement in the Assessment and Treatment Process
Paragraph (b) specifies the procedures that agencies must follow to
involve parents in their children's assessments and treatments. It
includes provisions on parental education, obtaining authorizations for
care (or documenting that such authorization was not obtainable),
ensuring that parents are properly informed about assessments and the
results of diagnostic and treatment procedures, and properly informing
the child of pending procedures.
(c) Medical and Dental Health Assessment
Paragraph (c) specifies an updated list of items which must be
included in the medical and dental health portion of the assessment,
such as size measurements; blood pressure, urinalysis, tuberculosis,
vision, and hearing tests; a check of immunization status; and other
appropriate tests based on individual, group and community risks. These
items will enable agencies to identify any deficiencies in the child's
development or health care history and are in keeping with the
recommendations of the major medical authorities previously cited.
(d) Developmental and Behavioral Assessment
Paragraph (d)(1) proposes requirements for the developmental and
behavioral assessments which must be performed for all children. Such
assessments must cover motor, language, cognitive or thinking, and
perceptual skills and must be performed in accordance with the schedule
referenced in section 1304.20(a)(2).
Agencies must involve mental health professionals in these
assessments either as a full staff member or on a consultant basis.
Also, they must consult a variety of information sources, including
members of the child's family, teachers, and others, in gathering
information on the child's social and emotional development. Further,
the assessments must be culturally sensitive and linguistically and age
appropriate for each child.
(e) Ongoing Assessment
Paragraph (e) proposes the requirements for ongoing assessments of
health and development even when no specific need for follow-up has
been identified. They specify the essential elements that must be
included in these ongoing assessments, including regular observations
of changes in physical appearance (e.g., illness), emotional and
behavioral patterns, and developmental progress as well as the regular
use of parental, staff, and mental health consultant observations.
(f) Individualization of the Program
Paragraph (f) provides that assessment, medical evaluation, and
treatment results, as well as insights from the child's parents, must
be used to help Early Head Start or Head Start staff and parent(s)
determine how they can best respond to each child's individual
characteristics and needs.
[[Page 17763]]
Individual Family Service Plans (IFSPs) must also be developed for each
infant and toddler with an identified disability, if one has not
already been developed, in accordance with Part H of the Individuals
with Disabilities Education Act (IDEA).
The development of the IFSPs does not place an additional burden on
Early Head Start or Head Start programs because no assessments are
required by Head Start beyond what is stipulated in Part H. A seamless
set of services can occur for children with disabilities since they can
participate in Part H through Early Head Start or Head Start programs.
Section 1304.21--Education and Early Childhood Development
Objectives
The objective of this section of the proposed rule is to provide
each child with a safe, nurturing, stimulating, enjoyable, and secure
environment in order to help him or her gain the skills and confidence
necessary to be prepared to succeed in their present environment and
with later responsibilities in school and life. The varied experiences
provided to each child will help children achieve the overall goal of
social competence through the acquisition of social, emotional,
intellectual and physical skills in a manner appropriate to each
child's age and stage of development. Program learning experiences must
be tailored to each child's unique temperament, cultural and ethnic
heritage, preferences, and style of interaction.
To provide each child with a comprehensive learning experience, the
educational aspects of medical and dental health, nutrition, and mental
health services must be integrated into the daily program of activities
for children. As the primary educators of their children, parents must
be integrally involved in the development of educational activities for
the program and the home. Particular attention must be paid to the
educational priorities of enrolled families and the local community
when providing child development and education services.
Proposed Regulatory Provisions
(a) Child Development and Education Approach for All Children
Paragraph (a)(1) provides the general framework for the agencies'
approach to child development and education services in keeping with
the recommendations of such organizations as the National Association
for the Education of Young Children. The approach must be
developmentally and linguistically appropriate. The approach also must
recognize individual preferences and individual patterns of development
as well as different ability levels, cultures, ages, and learning
styles.
Parents must be integrally involved in the development of the
program's curriculum and approach to child development and education
and must be provided opportunities to increase their child observation
skills in order to help plan the learning experiences.
Paragraph (a)(3) specifies the practices that agencies must follow
to support each child's social and emotional development. These include
new or modified concepts, such as support and respect for home
languages and cultures and the provision of an unrushed atmosphere and
predictable routines and transitions.
Paragraph (a)(4) specifies the practices agencies must follow to
support the development of cognitive and language skills. These include
developmentally appropriate activities, the explicit encouragement of
play and learning by doing in both indoor and outdoor settings, the
provision of opportunities for self-expression through the arts, and
support for developmentally appropriate literacy and numeracy
development through materials and activities.
Subsection (a)(5) specifies the practices that agencies must follow
to promote each child's physical growth. They include a slight
modification to an existing standard addressing the provision of
adequate time, space, equipment, and materials for active play or
movement that support the development of large muscles, and require an
appropriate environment for the participation of children with special
needs.
(b) Child Development and Education Approach for Infants and Toddlers
Paragraph (b)(1) specifies the special environmental and
developmental needs of infants and toddlers. It specifies the
additional requirements agencies must meet in serving these youngest
children.
Under paragraph (b)(1) agencies must provide an environment which
helps infants and toddlers develop secure attachment relationships,
develop trust and emotional security, and explore sensory and motor
experiences. Paragraph (b)(2) specifies that they must also provide an
environment which helps promote the social and emotional development of
infants and toddlers. More specifically, the environment must encourage
the development of self-knowledge, self-awareness, autonomy, self-
expression, and the emergence of communication skills.
Paragraph (b)(3) specifies the environmental conditions which
agencies must provide to promote the physical growth of infants and
toddlers. They must provide opportunities for small-motor development
that encourage the control and coordination of small, specialized
motions. The environment also must support the development of the
emerging physical skills of infants and toddlers (e.g., grasping,
pulling, pushing, crawling, walking, and climbing); and support the
appropriate use of toilet facilities (consistent with parental views).
(c) Child Development and Education Approach for Preschoolers
Paragraph (c) specifies the requirements needed to meet the special
developmental and educational needs of preschoolers. For the first
time, agencies are required to develop or select a curriculum with the
parents and apply it consistently, while also recognizing the need for
individualized activities that support each child's distinct pattern of
growth and development. Likewise, agencies must ensure that the program
environment helps children develop emotional security and facility in
social relationships. Through different types of indoor and outdoor
activities, agencies must promote a child's self-understanding and
feelings of competence, self-esteem, and positive attitudes toward
learning. We encourage comments on whether these requirements
adequately address the developmental and educational needs of
preschoolers to enable them to gain the skills and confidence necessary
to be prepared to succeed in their present environment and with later
responsibilities in school and life.
Section 1304.22--Child Health and Safety
Objective
The objective of this section of the proposed rule is to support
each child's healthy physical development through a range of medical
and dental health treatments and through an emphasis on safety
practices. Specifically, agencies must be prepared to handle health-
related emergencies as well as any injuries, illnesses, or infectious
conditions children may have in a manner that best promotes the
recovery of the affected child and that minimizes any risks to other
children and staff. In addition, agencies must emphasize the prevention
of injuries, illness, and the spread of disease. Finally, agencies must
actively involve parents in all aspects of
[[Page 17764]]
the medical and dental health area so that the parents understand the
importance of regular preventive care and treatment and how to obtain
them.
Proposed Regulatory Provisions
(a) Medical and Dental Follow-Up and Treatment
Paragraph (a)(1) proposes requirements for agencies related to
referrals for medical and dental care, including further diagnostic
testing, examinations, and treatment for each child with an observable,
suspected, or known health or developmental problem. It specifies that
these referrals must be made as early in the program year as possible
unless parental authorization for such services is denied. Such denial
must be documented. Paragraph (a)(2), as in the current regulation,
sets forth the specific requirements for the treatment of the medical
and dental conditions of each enrolled child. Additional standards on
parent involvement are in 45 CFR 1304.20(b).
(b) Health Emergency Procedures
The proposed standards in this section have been developed to
increase protections for enrolled children and to avoid potential legal
liability problems for agencies. Paragraph (b) details the procedures
agencies must employ to deal with medical and dental health
emergencies. It first requires that agencies have written policies and
procedures for responding to health emergencies with which all staff
must be familiar and trained. These policies and procedures must
include the posting of policies and plans of action for emergency
situations where rapid response of the staff or immediate medical
attention is required. Likewise, the location and telephone numbers of
emergency care facilities and providers must be posted, and information
about how to contact responsible family and staff members must be
readily available.
Agencies must also post emergency evacuation routes and safety
procedures for the handling of other types of emergencies (e.g., fire-
or weather-related). (See 45 CFR 1304.53 of the proposed rule,
Facilities, Materials, and Equipment, for additional, related
requirements.)
In the event of emergencies involving enrolled children, agencies
must have written procedures specifying how the parents would be
notified. This section also requires that agencies establish methods
for handling cases of suspected or known child abuse and neglect that
are in compliance with applicable State laws.
(c) Conditions of Short-Term Exclusion and Admittance
The new standards in this section respond to current health
practices (e.g., the Centers for Disease Control and Prevention, the
Health Resources and Services Administration's Maternal and Child
Health Bureau, the American Academy of Pediatrics) regarding ways to
safeguard against the spread of serious illness while also protecting
the civil rights of individual enrolled children. Paragraph (c)
mandates that agencies must not deny program admission to or exclude
any child from program attendance in center-based activities solely on
the basis of his or her health care needs or medication requirements.
Paragraph (c)(2) specifies the conditions under which agencies must
exclude ill, injured, or contagious children from program
participation. A child must not be excluded if the program is able to
make reasonable modifications in its policies, practices, and
procedures which would enable the child to participate without
fundamentally altering the nature of the program.
Regarding children with illnesses in center-based settings,
paragraph (c)(3) mandates that agencies must use policies and
procedures consistent with professionally established guidelines on
short-term exclusions and readmittance of children. Agencies must also
notify the parent or other authorized person immediately to take the
excluded child home.
Paragraph (c)(4) requires grantee and delegate agencies to request
that parents inform them of any health risks their child may pose which
would require special health or safety precautions. When a child who
may pose a health risk is enrolled, the agency must inform responsible
staff of the child's condition so that they can take appropriate
actions, including precautions. However, the sharing of this
information must be consistent with any constraints imposed by the
program's confidentiality policy.
(d) Medication Administration
Paragraph (d) specifies the procedures agencies must follow with
respect to the administration of medications.
Agencies must establish and maintain written procedures regarding
the administration, handling, and storage of medication for every
child. These procedures include those specified in 45 CFR 1308.18 as
well as the need to label and store all medications safely and to train
staff in appropriate techniques for administering, handling, and
storing medications and the equipment used to administer them.
(e) Injury Prevention
Paragraph (e) proposes agency responsibilities to promote the
prevention of injuries by fostering an awareness of safety concerns and
safety practices, and by incorporating safety awareness into the
program's regular education activities for children and parents.
(f) Hygiene
Paragraph (f) describes the hygienic practices that agencies must
employ to prevent the spread of contagious diseases and to reflect
contemporary medical practice and recommendations. We recognize that
these requirements are very specific. However, we believe that the
level of detail is needed because the regulations for the first time,
cover services to infants and toddlers who are especially vulnerable to
contagious illnesses and other health threatening conditions. Public
Health officials who were consulted in the development of these
standards stressed the need for clear requirements on hygiene. We
welcome your comments on these requirements.
Paragraphs (f) (1), (2), (3), and (4) specify the minimum
circumstances under which staff, volunteers, and children must wash
their hands; that latex gloves must be worn by staff when in contact
with spills of blood or other bodily fluids; and the additional clean-
up and disposal procedures that agencies must follow when bodily fluids
are spilled.
Paragraph (f)(5) provides that agencies must adopt diapering
procedures that adequately protect the health and safety of children
served by the program and staff. Agencies must also ensure that
relevant staff are trained to follow these procedures properly.
Paragraph (f)(6) specifies the procedures which agencies must
follow when potties are utilized in a center-based setting.
Paragraph (f)(7) specifies that, in programs serving infants and
toddlers, agencies must provide space for each child's crib or cot to
be at least three feet apart to avoid the spreading of contagious
illness. We welcome comments about whether the proposed requirements
regarding the spacing of cribs and cots would pose any difficulties for
grantees.
(g) First Aid Kits
Under paragraph (g) agencies must maintain, at each site, well-
supplied first aid kits that are appropriate for the ages served. They
must keep these kits
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readily available both at the site and on outings away from the site.
Each kit must be accessible to staff members at all times, but must be
kept out of the reach of children. Agencies are also responsible for
ensuring that the kits are restocked after use and that inventories are
conducted at regular intervals.
Section 1304.23--Child Nutrition
Objective
The objective of this section of the proposed rule is to supply
nutritional care for enrolled children that supplements and complements
that of the home and community. Further, nutrition staff must work
collaboratively with parents to help them understand the link between
nutrition and health, and must promote sound nutritional habits for
each child and family that they will take with them when they leave the
program. Agencies must use meal and snack times as social and learning
opportunities to help toddlers and preschoolers develop social
competence and knowledge about healthy eating. While the nutrition
programs must be sensitive to individual cultural and ethnic food
preferences and must accommodate special dietary requirements, at the
same time, they must also help children broaden their nutritional
experiences.
Proposed Regulatory Provisions
(a) Nutritional Assessment
Paragraph (a) of this section proposes requirements for agencies in
identifying the nutritional needs of enrolled children. Many of these
requirements are similar to existing regulations. Additions include:
(1) taking into account information about family cultural preferences
and infant and toddler feeding requirements; and (2) assessing detailed
information on the feeding patterns and habits of infants and toddlers,
updating this information regularly and sharing it daily with parents.
This last standard is an important part of quality nutritional services
for infants and toddlers and their families.
(b) Nutritional Services
Paragraph (b) specifies the requirements for agency nutritional
services and indicates which requirements apply only to center-based
programs.
It requires that agencies design and implement nutritional programs
that meet the nutritional needs, feeding requirements, and feeding
schedules of each child that are responsive to family, community, and
cultural eating preferences and dietary choices. As in the current
regulation, it specifies the quantities and kinds of food children must
receive in center-based settings and the schedule in which they must
receive it. However, the revised standards eliminate references to
specific required intervals between meals for children aged 3 to 5 to
avoid potential conflict with U.S. Department of Agriculture
requirements in this area. The nutrition standards have been broadened
to include infants and toddlers to ensure that they receive food
appropriate to their nutritional needs, developmental readiness, and
feeding skills. For example, infants and young toddlers who need it
must be fed ``on demand'' to the extent possible or at specifically
bounded intervals. In addition, agencies must comply with the more
specific nutritional guidelines of the U.S. Department of Agriculture.
Food served to preschoolers must use fat, sugar, and salt sparingly, in
keeping with contemporary research (e.g., the U.S. Department of
Agriculture, the National Center for Education in Maternal and Child
Health) concerning proper nutritional guidelines that promote good
health.
Finally, grantees must promote effective dental hygiene among
children in conjunction with meals.
(c) Meal Service
As in the current standards, paragraph (c) specifies the conditions
under which food must be served in center-based settings, with the
expectation that nutritional services contribute to the development and
socialization of enrolled children. The current standards make it clear
that eating should be a communal and socializing experience for
preschoolers, and the proposed standard extends this requirement to
toddlers. Other additions include requirements that staff hold infants
when feeding them and not put infants to bed with a bottle, in keeping
with recognized medical authorities regarding infant safety. In
addition, agencies must accommodate special medically based diets and
other special dietary requirements. The current standard requiring
child-sized utensils and furniture has been deleted in response to the
recommendations made by staff of local Head Start programs during the
focus groups.
Agencies should give children the opportunity to assist in meal
preparation and service only when they are developmentally ready.
(d) Family Assistance with Nutrition
Agencies must assist individual families with food preparation and
nutrition skills as part of their group socialization and parent
education activities.
(e) Food Safety and Sanitation
Paragraph (e) specifies the practices that agencies must employ to
ensure that food handling, preparation and consumption do not result in
any safety risks.
The new standards require that agencies establish whether the food
services with which they contract are properly licensed as an
indication that they are in compliance with appropriate food safety and
sanitation laws. Paragraph (e)(2) requires that programs serving
infants and toddlers provide facilities for the proper storage and
handling of breast milk for mothers who choose to breast feed their
children.
Section 1304.24--Child Mental Health
Objective
The objective of this section of the proposed rule is to provide
parents and staff with a better understanding of the contribution that
mental health services can make to the well-being of each child.
Specifically, parents and staff must understand the importance of
creating a nurturing environment that supports the mental health of all
children. Since parents are the primary nurturers of their children,
their involvement in mental health services is especially critical in
order to enhance their role in their child's mental wellness by the
time they leave the Early Head Start and/or Head Start program.
Together, parents and staff must ensure that children with special
behavioral and mental health concerns receive appropriate mental health
interventions that will enable them to enjoy the full benefits of Early
Head Start and Head Start participation. Finally, staff must receive
the professional guidance they need to design effective program
interventions for children with special mental health and behavioral
concerns.
Proposed Regulatory Provisions
(a) Mental Health Services
Paragraph (a)(1) describes the specific ways in which agencies must
work collaboratively with parents to promote the mental health of their
children, such as soliciting parental information, observations, and
concerns about their child's mental health, and discussing and
identifying with parents appropriate responses to their child's
behavior.
Paragraph (a)(2) provides that agencies must secure the services of
a mental health professional on a schedule of sufficient frequency to
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identify and respond to family and staff concerns about each child's
mental health. This standard also addresses the concern of the Advisory
Committee on Head Start Quality and Expansion about the need to assist
those children who are facing an increasingly complex array of problems
and family crises.
Paragraph (a)(3) specifies the topics of the mental health
consultations that must take place among the mental health
professional, program staff, and parents. New standards include
consultation on how to design and implement program practices
responsive to identified concerns and how to promote children's mental
wellness through staff and parent education.
Subpart C--Family and Community Partnerships
General Objectives
The objective of this Subpart of the proposed rule is to ensure
that each enrolled family is supported in fostering their child's
development and in attaining their personal family goals. Agencies must
create trusting partnerships with parents and families that build on
family strengths and competencies and support their culture and
language. An essential part of these partnerships is the voluntary
involvement of parents in the full range of children's services,
including opportunities to serve in the classroom and to assist with
the choice of the program curriculum and the child development
approach. Parents also must be viewed as integral partners in the
processes of program planning, decisionmaking, and governance.
Agencies should work with families as partners to identify the
personal goals of participating families, help them overcome barriers
which prevent them from leaving poverty and help them gain the skills
needed to foster healthy connections with their communities. Support
should begin as soon as possible in the program year and should
emphasize prevention and early intervention, rather than remediation
and treatment. In addition, if families are not already linked to
services in the community, agencies should serve as a single point of
entry to help families find access to more specialized services and to
assist them in establishing support networks in the community and among
parents themselves that will promote family self-sufficiency beyond the
Early Head Start and Head Start programs. When Head Start families are
already working with another community agency to address family goals
for self-sufficiency, the grantee or delegate agency must coordinate,
to the greatest extent possible, with these other agencies and the
family to avoid duplicative, or conflicting, efforts.
To achieve this goal of collaborative, integrated, and
comprehensive services for families, agencies must provide the
leadership necessary to create a community environment that is
supportive of all low-income families and children, and a community
network of coordinated, accessible services that is responsive to their
needs. Agencies must work proactively to establish community
partnerships that engage in collaborative action, including continuous
community planning, service coordination, joint staff training, and the
joint identification and resolution of service delivery problems.
Special efforts must be made to establish fully functioning
partnerships with local education agencies, such as coordination with
Part H programs and schools providing Title I Improving America's
Schools Act services to preschool children.
Section 1304.40--Family Partnerships
Objective
The objective of this section of the proposed rule is to build
trusting relationships between grantees and parents that will assist
parents in meeting their personal goals and in fostering their child's
development. These relationships must be built by working with families
in a variety of ways that are responsive to their individual
circumstances and issues. Efforts must always be made to communicate
and develop relationships with families in their primary language.
Family partnerships must be used by agencies to identify families'
personal goals and the manner in which they can best be achieved. These
goals may involve the fulfillment of a range of needs, such as housing,
transportation, employment, and the development of effective parenting
and household management skills. Likewise, each family may be wrestling
with special concerns, such as domestic or community violence or
substance abuse. Agencies must have the capacity and staff expertise to
work intensively with families and link them to appropriate services in
the community to address these individual concerns and to accomplish
their personal goals.
In developing partnerships with parents, agencies must ensure that
parents are included as integral members of the Early Head Start or
Head Start team. As the primary educators of their children, agencies
must encourage parents to assist in the development of all of their
children's services, including the program's curriculum and child
development approach. Specifically, staff should provide opportunities
for parents to develop knowledge, skills, and experience in child
development and education, health promotion and disease prevention, and
family nutrition.
Agencies should also involve parents in assessing their children's
individual progress and special needs and help them learn to advocate
for their children's well-being in the community, including school and
child development settings. Agencies must also assist parents in
establishing individualized support networks in the community that will
promote family self-sufficiency beyond their participation in the Early
Head Start and Head Start programs.
While the participation of parents must remain voluntary, agencies
should make concerted efforts to encourage such participation by
demonstrating the importance of their participation as equal partners
in the program and by accommodating the parents' schedules.
Proposed Regulatory Provisions
(a) Assessment and Goal Setting
This section of the proposed rule requires that agencies
collaborate with families to build partnerships, establish mutual
trust, and identify family goals, strengths, and necessary supports.
Agencies must begin the process of building these partnerships as early
in the program year as possible. This section responds specifically to
the recommendation of the Advisory Committee on Head Start Quality and
Expansion to ``strengthen the assessment of family resources and
needs.''
As part of this partnership-building process, agencies must work
with parents to help them develop and implement, throughout the year,
individualized Family Partnership Agreements. These Agreements must
describe family goals and responsibilities, timetables and strategies
for achieving these goals, as well as progress toward achieving them.
The Family Partnership Agreements must appropriately reflect the
information provided by the family and by other community agencies
concerning preexisting family plans and goals to assist families toward
the goal of self-sufficiency.
Agencies have a responsibility to provide parents with a variety of
opportunities throughout the year to discuss their progress and to
update the Family Partnership Agreement, as
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necessary. In meeting these responsibilities, agencies must respect
each family's cultural and ethnic background.
(b) Accessing Community Services and Resources
This section represents only a slight modification of the standards
in the current rule under the social services component. Greater
emphasis has been placed on referrals to services and resources that
address the types of assistance contemporary families may require, such
as counseling for problems related to substance abuse and domestic
violence and for employment training and location services.
Paragraph (b)(1) requires agencies to collaborate with all
participating parents to identify and access appropriate services and
resources. These might include emergency or crisis assistance;
education and other appropriate interventions regarding issues that
place families at risk; and opportunities for continuing education and
employment training and other employment services.
Paragraph (b)(2) specifies agency responsibilities to follow-up
with parents when referrals are made to determine whether the family
receives appropriate services on a timely basis and whether the
services meet the family's needs. We welcome comments regarding the
capacity of Head Start agencies to meet the requirement for staffing
and resources.
(c) Services to Pregnant Women Who Are Enrolled in Programs Serving
Pregnant Women, Infants, and Toddlers
In keeping with the mandates of both the Head Start Act, as
amended, and the Advisory Committee on Services to Families with
Infants and Toddlers that high quality services for infants, toddlers,
and pregnant women be established, this section requires that agencies
provide assistance to pregnant women in obtaining immediate access,
through referrals, to comprehensive prenatal care and postpartum care,
including early and continuing risk assessments, health promotion and
treatment, and mental health interventions and follow-up, as needed.
This set of standards also ensures strong preventive health care for
both mothers and their infants.
Paragraph (c) requires that agencies provide pregnant women and
other family members with prenatal education on a variety of specified
issues. The information will be made available through coordinated
efforts with local maternal and child health agencies. Under paragraph
(c)(3), they must provide information on the benefits of breast feeding
to all pregnant and nursing mothers and must also provide arrangements
necessary to accommodate mothers who choose to breast feed in center-
based programs.
(d) Parent Involvement--General
This section restates the general requirements of parent
involvement contained in the current rule with only slight
modifications.
(e) Parent Involvement in Child Development and Education
This section of the proposed rule lays out requirements for
parental involvement in child development and education that are very
similar to the requirements in the current rule.
Under paragraph (e)(3), agencies must directly or indirectly
provide opportunities for children and families to participate in
family literacy services by increasing their access to appropriate
materials and services and by helping them recognize and address their
own literacy goals.
(f) Parent Involvement in Health, Nutrition, and Mental Health
Education
The requirements of this section are also similar to those
contained in the current rule. Minor changes include requiring agencies
to assist parents in understanding how to enroll and participate in a
system of ongoing health care. In addition, mental health education
must include opportunities for parents to discuss issues related to
child mental health and to the mental health of their own child and
family in particular.
(g) Parent Involvement in Community Advocacy
This section incorporates a number of standards in the current rule
with only minor changes. The most notable addition is that agencies
must provide a comprehensive community resource list, if available, to
parents as part of the provision of the technical support necessary to
enable parents to secure community assistance on their own behalf.
(h) Parent Involvement in Transition Activities
This set of standards responds to the provisions of the Head Start
Act, as amended, to carry out specific actions to ``promote the
continued involvement of parents of children that participate in Head
Start programs in the education of their children upon transition to
school.'' Improved transition services are also key recommendations of
both Advisory Committees. Agencies must assist parents in becoming
their children's advocates as their children transition into Early Head
Start or Head Start from the home or other child development settings
and from Head Start to elementary school, Title I Improving America's
Schools Act preschool programs or other placements.
Staff must work to prepare parents to become their children's
advocates through such transition periods. At a minimum, they must meet
with parents toward the end of the child's participation in the program
to explain their child's progress while enrolled in Early Head Start or
Head Start.
In order to promote the continued involvement of parents in the
education and development of their children upon transition to school,
agencies must give parents information about their rights and
responsibilities within the school system and help them learn to
communicate with school personnel and to participate in decisions
related to their children's education. (See 45 CFR 1304.41(c) for
additional standards related to children's transition to and from Early
Head Start or Head Start.)
(i) Parent Involvement in Home Visits
This section augments the requirements of 45 CFR Part 1306
regarding home visits in all program options by making home visits as
convenient and safe as possible for both parents and staff. As in the
current regulation, agencies must not require that parents permit home
visits as a condition of their child's participation. However, every
effort must be made to explain the advantages of home visits to the
parents.
In addition, whenever possible, home visits must be scheduled to
permit the participation of both the enrolled child and the parents.
Also whenever possible, staff must conduct home visits in all program
options at times that are most convenient for the parents or primary
caregivers.
Home visits conducted under the center-based program option may now
take place outside the home, either at the parent's request or for
safety reasons, at an Early Head Start or Head Start site or at another
safe location that affords privacy.
Agencies serving infants and toddlers must arrange for health staff
to visit newborns and their families within two weeks after the
infant's birth to ensure the well-being of both the mother and child.
[[Page 17768]]
Section 1304.41--Community Partnerships
Objective
The objective of this section of the proposed rule is to ensure
that Early Head Start and Head Start agencies become active partners in
their communities, both to advocate for low-income families and to help
create a community environment that shares responsibility for the
healthy development of all of its children. Successful partnerships
require proactive behavior on the part of Early Head Start and Head
Start programs, and involve the commitment of significant staff time
and agency resources. Grantee and delegate agencies must provide
leadership in the community by working with parents and other service
providers to promote access to appropriate services that will enhance
each family's well-being and their movement toward self-sufficiency.
Agencies also must engage in continuous community planning to promote
collaborative action with other agencies in order to improve, share and
augment services, staff, information and funds. This includes service
coordination, joint training, and the joint identification and
resolution of service delivery problems.
Proposed Regulatory Provisions
(a) Partnerships
As a way of addressing the Advisory Committee on Head Start Quality
and Expansion's concern about local agencies' struggles with planning
and the coordination of services, and to promote the Advisory Committee
on Services to Families with Infants and Toddler's Program Cornerstone
of Community Building, the standards in this section have been
augmented to encourage greater collaboration on the part of Early Head
Start and Head Start agencies with other community service providers
that will enhance family services.
Paragraph (a)(1) requires that agencies take an active role in
community planning to ensure strong communication, cooperation, and the
sharing of information among grantees and their community partners and
to improve the delivery of community services to children and families.
(See 45 CFR 1304.51 for additional planning requirements.)
To promote access to community services that are responsive to
their clients' needs and to ensure that Early Head Start and Head Start
programs respond to community needs, agencies must take affirmative
steps to establish collaborative, ongoing relationships with community
organizations including health providers; mental health providers;
providers of nutritional services; providers of services to children
with disabilities and their families; family support and resource
organizations; providers of family preservation and support services;
children's protective services; educational and cultural institutions;
and child care providers. (See the existing regulations at 45 CFR
1308.4 for specific service requirements for children with disabilities
and their families.)
Agencies also must perform outreach to encourage appropriate
individuals from the community to participate as volunteers in the
Early Head Start and Head Start programs.
To enable the effective participation of children with disabilities
and their families, agencies must make specific efforts to develop
interagency agreements with local educational agencies (LEAs) and other
agencies within their service area. (See 45 CFR 1308.4 for specific
requirements concerning interagency agreements.)
(b) Advisory Committee
Paragraph (b) requires that agencies establish and maintain a
Health Services Advisory Committee which includes professionals and
volunteers from the community. Agencies also must establish and
maintain other Advisory Committees, as they deem appropriate, to
address service issues and to help agencies respond to community needs.
While a number of focus group participants strongly recommended that
additional Advisory Committees in other areas beyond Health Services be
required, these recommendations were not implemented to allow latitude
for agencies to establish any additional Advisory Committees that they
deem would be appropriate for their local programs.
(c) Transition Services
The following group of standards respond specifically to the new
statutory requirements for transition services as well as to the
recommendations of both Advisory Committees that program transition
activities be addressed in the standards. These new requirements
closely parallel the language of the Head Start Act, as amended.
Agencies must establish and maintain procedures to support the
successful transition of enrolled children and families from previous
child care and development programs into Early Head Start or Head Start
and from Head Start into elementary school, Title I Improving America's
Schools Act preschool programs, or other child care settings. They must
coordinate with appropriate agencies, and among migrant programs, on
the transfer of records; perform outreach to encourage staff to
communicate with their counterparts in the school and other child care
settings; initiate meetings involving parents and teachers to discuss
the developmental progress and abilities of individual children; and
initiate joint transition-related training with school or other child
development staff. (See the proposed rules at 45 CFR 1304.40(h) for
requirements related to parental participation in their child's
transition to and from Early Head Start or Head Start.)
Subpart D--Program Design and Management
General Objective
The objective of this Subpart of the proposed rule is to provide
the foundation for quality services to children and families. Strong,
committed governing bodies and policy groups that represent Early Head
Start and Head Start parents and the larger community must be
established to provide effective leadership to and oversight of the
program. Effective management systems and procedures must be in place
to support the implementation of program services, such as systematic
program planning procedures, responsive and smooth communication
systems, and efficient record-keeping and reporting systems. In
addition, agencies must create processes for program self-assessment
and delegate agency monitoring that ensure that progress in meeting
program objectives is carefully monitored and that program weaknesses
are identified and remedied.
Since the success of local programs depends, in large part, on the
quality of its staff, agencies must also implement human resource
management systems that ensure that dynamic, highly qualified staff are
selected for employment and that staff and volunteers are supported in
their work at the Early Head Start and Head Start programs. Agencies
must establish effective organizational structures that encourage a
coordinated, team approach to service delivery. They also must ensure
that staff to child ratios and classroom sizes are small enough to
support optimal caregiving relationships and individualized program
activities that protect the children's safety. In addition, agencies
must set reasonable job expectations for staff that are commensurate
with their demonstrated
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skills and experience. Finally, agencies must support staff and
volunteers in meeting the challenges they face in their jobs by
providing adequate and appropriate supervision, regular feedback, and
structured opportunities for professional development.
The provisions of this Subpart also ensure that program facilities,
materials, and equipment support appropriate child development
practices and the program's unique features and design. Facilities,
materials, and equipment must be safe, developmentally appropriate, and
accessible to all children. In choosing an Early Head Start or Head
Start site, agencies must make the selection based on the findings from
the Community Needs Assessment and must be responsive to the needs and
circumstances of the community, children, and families served and aware
of environmental and safety risks that may affect the healthy growth
and development of children.
Section 1304.50--Program Governance
Objective
The objective of this section of the proposed rule is to ensure
that each local agency establishes governing bodies and policy groups
to oversee the implementation of the Head Start legislation,
regulations, and policies and to ensure that the program delivers high
quality, comprehensive services to enrolled children and families. As
stewards of the local program, the members of the local policy groups,
including Policy Councils, Policy Committees, and Parent Committees,
must adequately represent Early Head Start and Head Start parents as
well as individuals and organizations in the larger community who have
a concern for low-income families and their children. In order to serve
the local program well, members of the policy groups must understand
and perform a number of key oversight functions with dedication and
care. Performing these responsibilities should be an experience of
growth and empowerment for parents.
Proposed Regulatory Provisions
(a) Policy Group Structure
As in the current standards, paragraph (a) sets forth the
requirements for a formal structure of governance which enables
parental participation in policy-making and program operations. The
regulation is unchanged for grantee agency Policy Councils and delegate
agency Policy Committees. Center Committees have been renamed Parent
Committees, which must be established at the center level for center-
based programs. For other program options, a Parent Committee must be
established at the local program level.
Furthermore, it states that all policy groups must be established
as early in the program year as possible, and that Policy Councils and
Policy Committees may not be dissolved until their successors are both
elected and seated. It then provides clarification that the governing
body (formerly called the ``corporate board'') and the Policy Council
or Policy Committee may not have identical memberships and functions.
While none of the focus groups expressed any major concerns about the
current requirements regarding policy groups, we welcome any comments
you may have in this area.
(b) Policy Group Composition and Formation
Proposed regulations as to whether such groups, as defined in the
regulation, provide sufficient flexibility to meet local program needs
do not differ substantially from the current regulation. Minor changes
have been made to provide clarification or to increase agency
flexibility.
Paragraph (b)(1) sets forth requirements regarding the composition
and procedures by which policy group members are chosen, which must be
determined by the governing body of each program and approved by the
Policy Council or Policy Committee consistent with the regulations in
this Part.
Policy Councils and Policy Committees must include the parents of
currently enrolled children and community representatives. At least 51
percent of the members of each of these policy groups must be the
parents of currently enrolled children.
All parents of currently enrolled children serving on policy groups
must stand for election or re-election annually.
Policy Councils and Policy Committees must establish and maintain
procedures for selecting community representatives to serve on the
Policy Councils or Policy Committees. Community representatives must be
drawn from the local community and from local organizations that have a
concern and provide resources and services to low-income children and
families. Community representatives may include the parents of formerly
enrolled children.
To provide greater flexibility to local agencies, Policy Councils
and Policy Committees must determine and establish the terms of
membership for their policy groups.
Early Head Start or Head Start staff and agency managers with
responsibility for the program (and members of their families) may not
serve on the Policy Councils or Policy Committees.
Parent Committees must be comprised exclusively of the parents of
currently enrolled children.
The parents of children currently enrolled in all program options
must be adequately represented on established policy groups.
Paragraph (c) sets forth the minimum responsibilities for each of
the three types of policy groups that are described in Appendix A of
Section 1304.50.
(d) The Policy Council or Policy Committee
The responsibilities of Policy Councils and Policy Committees have
remained almost exactly the same as in the current regulation. Policy
Councils and Policy Committees must help develop, review and approve or
disapprove major governance and management policies and procedures
connected with local Early Head Start or Head Start programs. These
include: (1) Applications for grants and application amendments
(including indirect cost rates, program budgets, and operational
plans); (2) procedures describing how the governing body and the
appropriate policy group will implement shared decision-making; (3)
program planning procedures; (4) agency philosophy statements and
statements of program objectives; (5) the selection of delegate
agencies and their service areas (applies only to Policy Councils); (6)
group compositions and procedures by which policy group members are
chosen; (7) recruitment, selection and enrollment policies; and (8)
procedures for the agency's annual self-assessment of its progress in
carrying out the programmatic and fiscal intent of its grant
application, including any planning actions that may result from the
review of the annual audit and the Federal Performance Monitoring
Review.
With respect to personnel administration, Policy Councils and
Policy Committees must help to develop, review and approve or
disapprove: (1) Program personnel policies and policy changes
(including standards of conduct); and (2) decisions to hire and
terminate any person paid from Early Head Start or Head Start funds,
including the Early Head Start or Head Start director.
Under paragraph (d)(2), Policy Councils and Policy Committees also
have responsibility for a number of parent and community outreach
[[Page 17770]]
activities. They must: (1) Serve as a link to the Parent Committees,
agency governing bodies, public and private organizations, and the
community; (2) assist Parent Committees in communicating with parents
to ensure that they understand their rights and opportunities as
program participants; (3) assist Parent Committees and staff in
planning, coordinating, and organizing program activities for parents;
(4) assist in recruiting volunteer services and in mobilizing community
resources; and (5) establish and maintain procedures for working with
the grantee or delegate agency to resolve community complaints about
the program.
(e) Parent Committee
Under paragraph (e), the minimum responsibilities of Parent
Committees include: (1) Advising Early Head Start and Head Start staff
in developing and implementing local program policies, activities and
services; (2) planning, conducting, and participating in activities for
parents and staff; and (3) consistent with the guidelines established
by the governing body, Policy Council, and Policy Committees,
participating in staff recruitment and screening.
(f) Policy Group Reimbursement
To enable full participation by low-income individuals in policy
group activities, agencies must provide reimbursements for reasonable,
activity-related expenses, if necessary.
(g) Governing Body Responsibilities
In response to the many comments received from local Head Start
agencies during the focus groups, agencies must have written policies
defining the roles and responsibilities of governing body members and
informing them of the management procedures and functions necessary to
implement a high quality program.
(h) Internal Dispute Resolution
In response to the specific statutory requirement regarding
mediation procedures in section 646 of the Head Start Act, as amended,
each agency and Policy Council or Policy Committee must jointly
establish written procedures for resolving internal disputes, including
impasse procedures, resulting from shared decision-making
responsibilities. We are developing mediation procedures implementation
at the Federal level as required by section 646, when needed.
Section 1304.51--Management Systems and Procedures
Objective
The objective of this section of the proposed rule is to ensure
that local agencies are performing the management functions necessary
to enhance staff performance; deliver high quality services to children
and families; and comply with Federal, State, and local laws.
Specifically, they must conduct systematic program planning to guide
staff in the accomplishment of program goals and objectives and in the
delivery of responsive program services in a timely and fiscally
responsible manner. In addition, communications must flow easily among
governing bodies, policy groups, staff, families, and the larger
community, and must respond rapidly to ongoing informational needs.
Record-keeping and reporting systems also must support the program's
informational needs in a timely and efficient manner, while ensuring
that the privacy of staff and families is protected. Finally, self-
assessment and delegate monitoring procedures must ensure that progress
in meeting program objectives is carefully and regularly evaluated and
that program weaknesses are identified and addressed.
Proposed Regulatory Provisions
The proposed standards in the Management Systems and Procedures
area directly respond to Section 641A(a)(1)(B) of the Head Start Act,
as amended, which requires the establishment of administrative and
financial management standards.
(a) Program Planning
Paragraph (a) sets forth the requirements for agencies in
developing and implementing a program planning process. These standards
have been strengthened in accordance with the Advisory Committee on
Head Start Quality and Expansion's concern about the need to strengthen
local program planning and in response to focus group requests for the
delineation of a specific planning process in the standards. The
process must be systematic and ongoing; and include consultation with
the program's governing body, policy groups, program staff, and other
community organizations. The program planning activities, per se, must
include: (1) An assessment of community strengths, needs and resources,
in accordance with the requirements of 45 CFR Part 1305; (2) the
formulation of ``long-range'' program goals and short-term program and
financial objectives; and (3) the development of written implementation
plans for each program area covered by this Part (i.e., Early Childhood
Development and Health Services, Family and Community Partnerships, and
Program Design and Management).
(b) Communications--General
Standards on communications in this section simply represent a
reorganization and compilation of current standards and pre-existing
On-Site Program Review Instrument (OSPRI) requirements (which are based
on the current standards) regarding communication. No new requirements
have been added. Paragraph (b) provides that agencies must establish
and implement systems to ensure the timely and accurate provision of
information to parents, policy groups, staff, and the general
community.
(c) Communication With Families
Paragraph (c) requires that agency systems ensure regular,
effective two-way comprehensive communication between staff and
parents. Written and oral communications must be carried out in the
parents' primary language or through an interpreter, to the extent
feasible.
(d) Communication With Governing Bodies and Policy Groups
As in the current regulation, paragraph (d) requires that governing
bodies and members of policy groups, including Policy Councils and
Policy Committees, regularly receive information, such as policy
guidances and other communications.
(e) Communication Among Staff
This section requires that agencies have mechanisms for regular
communication among all program staff to facilitate quality outcomes
for children and families.
(f) Communication With Delegate Agencies
This section partially fulfills the statutory requirements of
Section 641A(a)(4) of the Head Start Act, as amended, regarding the
establishment of standards relating to obligations to delegate
agencies. Grantees must have procedures for ensuring that the governing
bodies, Policy Committees, and all staff of the grantee and delegate
agencies receive regulations, policies, and other pertinent
communications in a timely manner.
(g) Record-Keeping Systems
The proposed standard requires grantees to establish and maintain
record-keeping systems on children,
[[Page 17771]]
family and staff under the program. Comments are invited about whether
the standards should require that record-keeping systems be supported
by appropriate computer technology, and whether such a requirement
would pose an unreasonable burden for programs.
(h) Reporting Systems
The proposed standards respond to statutory requirements for
administrative and financial management standards. Again, however, ACYF
welcomes comments regarding the perceived burden of these standards and
whether ACYF should require that reporting systems be supported by
appropriate computer technology.
Paragraph (h) specifies the functions the agency reporting systems
must perform. Agencies must establish and maintain efficient and
effective reporting systems. The systems must generate regular
financial and program reports and official reports as required by
Federal, State, and local authorities.
(i) Program Self-Assessment and Monitoring
Under paragraph (h), agencies must conduct a self-assessment at
least once each program year in consultation with other community
agencies to evaluate their effectiveness and progress in meeting their
program goals and objectives. Agencies also must consult with their
policy groups and secure their participation in the conduct of these
self-assessments.
Grantees must also establish and implement procedures for the
periodic monitoring of delegate agencies and their compliance with
Federal regulations. If grantees identify any deficiencies in delegate
agency operations, they must inform the governing bodies of the
delegate agency and assist the delegate agency in developing plans,
including a timetable, for addressing the problems which were
identified. This standard also responds to the statutory requirement to
develop standards relating to obligations to delegate agencies.
Section 1304.52--Human Resources Management
Objective
The objective of this section of the proposed rule is to ensure
that programs recruit and select dynamic, well-qualified staff who
possess the skills and experience needed to provide high quality,
comprehensive services to children and families in the program. Staff
selected for employment in Early Head Start or Head Start should be
knowledgeable about the community served by the program in order to
enhance the delivery of services. In addition, they should be assisted
by the program to seek out opportunities for the development of new
skills and competencies that will improve their job performance. Since
no one staff member can possess all of the knowledge and skills
necessary to provide the wide-ranging services offered, staff members
should be selected for their ability to work as members of a
productive, mutually supportive team. Finally, staff must be willing to
abide by the program's strict standards of conduct for interacting with
children and families and must be of sound physical and emotional
health
Another objective of this section is to ensure that local agencies
provide an environment that is strongly supportive of program staff and
volunteers. First, agencies must establish dynamic and effective
organizational structures that encourage a coordinated, team approach
to service delivery. Second, agencies must ensure that staff to child
ratios and classroom sizes are small enough to support optimal
caregiving relationships and individualized program activities. Next,
agencies must set reasonable job expectations for staff that are
commensurate with their demonstrated skills and experience. Finally,
agencies must support staff and volunteers in meeting the challenges
they face in their jobs by providing adequate and appropriate
supervision, feedback, and opportunities for professional development.
The inclusion of detailed requirements for staff qualifications
reflect ACYF's commitment to improving the quality of services and
program management as well as a strong consensus among the sources
consulted about the need to strengthen requirements in these areas.
Proposed Regulatory Provisions
(a) Organizational Structure
In keeping with the Advisory Committee on Head Start Quality and
Expansion's recommendation to focus on staffing plans and personnel
policies, and with the statutory requirement to improve administrative
and financial management, paragraph (a) provides that agencies must
employ (and document) an organizational design that supports the
accomplishment of program objectives. The documentation must set forth
the major roles and responsibilities of each staff position and
demonstrate that adequate mechanisms for staff supervision and support
are in place. However, the proposed standard is structured to promote
the maximum flexibility possible on the part of local agencies in
carrying out its provisions.
At a minimum, agencies must formally assign responsibilities for
program management (i.e., to the Early Head Start or Head Start
director); for management of the different child development services;
and for management of family and community partnerships, including
parent activities.
(b) Staff Qualifications--General
Some of the requirements in this section are very similar to those
in the current rule. In addition, however, agencies must ensure that
staff have the knowledge, skills, and experience needed to perform
their assigned roles and functions responsibly. Although this has been
a long-standing unstated requirement of local agencies, it is now
stated explicitly to respond to the concerns of the Advisory Committee
on Head Start Quality and Expansion about staff qualifications and to
the mandate of Section 644(a)(2) of the Head Start Act, as amended, to
``assure that only persons capable of discharging their duties with
competence and integrity are employed.* * *'' Agencies must also ensure
that managers, supervisors, fiscal officers, classroom teachers, staff
working with infants and toddlers, home visitors, health staff, mental
health professionals, and nutritionists and dieticians meet more
specific qualification requirements, as noted below.
(c) Management Staff Qualifications
The proposed standards related to management staff qualifications
respond to the Advisory Committee on Head Start Quality and Expansion's
concerns about staffing and to statutory requirements that standards
for administrative and financial management and staff qualifications be
established. The proposed standards, however, broadly require agencies
to hire staff with relevant ``training and experience'' to give local
agencies as much flexibility as possible in meeting them. The ACYF
welcomes comments regarding the perceived burden of these proposed
standards.
Paragraph (c) includes specific qualification requirements that
apply to staff responsible for agency management.
The Early Head Start or Head Start director must have training and
experience relevant to early childhood or human services program
management.
Agencies must secure, on a regularly scheduled or ongoing basis,
the services
[[Page 17772]]
of a Certified Public Accountant (CPA) or an individual with other
appropriate credentials to serve as fiscal officer.
Staff managing education services must meet the requirements
specified in section 648A(a)(1) of the Head Start Act (and referenced
in 45 CFR 1306.21). They must also have training and experience in such
areas as the theories and principles of child growth and development,
early childhood education, and family support.
Staff managing health services must have training and experience in
public health, nursing, health education, prenatal and postpartum care
or health administration.
As in the current regulation, a certified or licensed nutritionist
or dietician either must manage the nutrition services as a full-time
staff person or supervise the nutrition services on a periodic and
regularly scheduled basis.
Staff managing family and community partnership services must have
training and experience in field(s) related to social, human or family
services.
Staff managing parent involvement services must have training,
experience and skills in assisting the parents of young children in
advocating and decision-making for their families.
Staff managing disability services must have training and
experience in securing and individualizing needed services for children
with disabilities.
(d) Mental Health Professional Qualifications
In order to respond effectively to the complex contemporary
challenges facing many of the families served by Early Head Start and
Head Start programs, a licensed or certified mental health professional
with experience and expertise in serving young children and their
families must provide services to these programs on a regularly
scheduled basis. The ACYF welcomes comments about whether this proposed
standard places a reasonable burden on local agencies.
(e) Health Staff Qualifications
To the extent that health staff perform health screenings,
immunizations, or other health procedures for children, they must have
appropriate professional licenses or certification to perform those
procedures. The proposed standard simply states this requirement
explicitly.
(f) Infant and Toddler Staff Qualifications
A necessary feature of high quality programs for infants and
toddlers, supported by research, is that staff working with infants and
toddlers have the training and experience necessary to develop
consistent, stable, and strongly supportive relationships with very
young children. This paragraph cross references the qualifications in
section 648A of the Head Start Act which includes as one possible
qualification persons who have earned a Child Development Associate
(CDA) credential. In addition to the statutory qualifications, they
must also have knowledge of infant and toddler development and of
methods for communicating effectively with infants and toddlers, their
parents, and other staff members. The ACYF welcomes comments, however,
on whether the qualifications that are cross-referenced pose
implementation problems for grantees and delegate agencies.
(g) Standards of Conduct
The proposed standards on staff standards of conduct respond to the
recommendations of focus group participants that specific staff
standards of conduct be established to safeguard children, families,
and staff themselves from perceived or actual abuse or civil rights
violations that may inadvertently occur during program hours as a
result of staff actions. In addition, these proposed standards comply
with section 644(a)(2) of the Head Start Act, as amended, to ``assure
that only persons capable of discharging their duties with competence
and integrity are employed...''
Agencies must ensure that all staff, consultants, and volunteers
abide by the program's standards of conduct. These standards must
protect against stereotyping and abuse and help ensure confidentiality,
child safety, and appropriate (positive) disciplining methods.
Agency standards of conduct must also cover the award and
administration of contracts or other financial awards for individuals
engaged in such activities. Employees may not solicit nor accept
personal gratuities, favors or anything of significant monetary value
from contractors or potential contractors.
Personnel policies and procedures must include provision for
appropriate penalties for violating the standards of conduct.
(h) Staff Performance Appraisals
Agencies must conduct annual performance reviews of each staff
member and use the results to assist staff in improving their skills
and professional competencies. This proposed standard responds, in
part, to section 644(a)(2) of the Head Start Act, as amended, which
requires that ``* * * employees are promoted or advanced under
impartial procedures calculated to improve agency performance and
effectiveness.''
(i) Staff and Volunteer Health
The following proposed standards augment current standards on staff
and volunteer health and conform to the latest recommendations of
leading health authorities (e.g., the Centers for Disease Control and
Prevention) regarding methods for ensuring that, insofar as possible,
both staff and child health are protected in local program settings.
Staff members must have regular, ongoing health appraisals, including
tuberculosis tests, as recommended by their health care provider or as
mandated by State and local laws.
Agencies must ensure that volunteers are screened for tuberculosis
before having contact with children. In no event may such screenings be
conducted less frequently than every two years.
Agencies must provide assistance to staff with mental health and
wellness concerns that may affect their job performance.
(j) Staffing Patterns
Agencies must meet the requirements of 45 CFR 1306.20 and current
requirements under this Part regarding program staffing patterns and
communication with families.
Two proposed standards have been added to ensure proper staff to
child ratios for very young children, as recommended by current
literature and by the Advisory Committee on Services to Families with
Infants and Toddlers. Agencies must ensure that each staff caregiver
working with infants and toddlers has responsibility for no more than
four infants and toddlers and that no more than eight infants and
toddlers are placed in any one room. Agencies serving mixed age groups
must ensure that each staff member has responsibility for no more than
six children, of which no more than two may be infants or toddlers. We
welcome comments on these staff to infant/toddler ratios.
Also, to improve safety protections for children and to guard
against legal liability problems for local agencies, the methods used
by staff to supervise the outdoor and indoor play areas must ensure
that children's safety can be easily monitored.
(k) Training and Development
The proposed standards on training and development have been added
to meet the recommendations of the
[[Page 17773]]
Advisory Committee on Head Start Quality and Expansion to focus more
strongly on staffing, training, and career development. However, in
order to protect local agency flexibility, these standards are
presented in general terms, and do not specify the particular topical
areas in which staff must be trained, as they do in current regulation.
The one exception is the specification that management training be
provided to governing body and Policy Council and Policy Committee
members, since this was a specific recommendation of the Advisory
Committee.
Agencies must provide an orientation to all new staff, consultants,
and volunteers. This orientation must cover, as required in the current
rule, the goals and philosophy of Early Head Start and/or Head Start
and the ways in which they are implemented in the local program.
Similar to the requirements of the current rule, agencies must also
establish and implement a structured approach to staff training and
development for program staff and volunteers that includes academic
credit, where possible, so that they will have the knowledge and skills
needed to fulfill their job responsibilities in accordance with the
requirements of 45 CFR 1306.23.
This approach must include an ongoing education program which is
responsive to the needs of relevant staff and volunteers.
Agencies also must provide training to governing body members and
Policy Council and Policy Committee members which will enable them to
carry out their program governance responsibilities effectively.
Section 1304.53--Facilities, Materials, and Equipment
General Objectives
The objectives of this section of the proposed rule are to ensure
that agencies plan carefully to provide facilities, materials, and
equipment that support appropriate early child development and
education practices and the unique features of the program, such as
size, choice of program option, service emphases, local community
resources, and the special circumstances of enrolled children and
families. The facilities, materials, and equipment must be safe,
developmentally appropriate, and accessible to all children. It is
important to note that these standards refer exclusively to facilities,
materials, and equipment owned and managed by local agencies and not to
those owned by enrolled families. In choosing an Early Head Start or
Head Start site, agencies must be responsive to the needs and
circumstances of the community, children, and families served and aware
of environmental and safety risks that may affect the healthy growth
and development of children.
Proposed Regulatory Provisions
(a) Head Start Physical Environment and Facilities
The proposed standards in this section augment those contained in
the education component of the current regulation (45 CFR Part 1304.2-
3) in keeping with the recommendation of the Advisory Committee on Head
Start Quality and Expansion that additional regulations on facilities
be established and the requirement in Section 641A(a)(1)(C) of the Head
Start Act, as amended, for standards addressing the condition and
location of facilities. In addition, the proposed standards have been
expanded to address safety concerns related to infants and toddlers and
to conform with the recommended standards of leading public health
authorities (e.g., the Health Resources and Services Administration's
Bureau of Maternal and Child Health in the U.S. Department of Health
and Human Services and the American Academy of Pediatrics).
As in the current regulation, the Early Head Start or Head Start
facility and physical environment must be both conducive to learning
and reflective of the different stages of development of each child. To
ensure that the standards are applicable to all program options,
agencies must strive to achieve such an environment in their respective
program settings.
Also as in the current regulation, agencies operating center-based
programs must provide appropriate space, organized into functional
areas, for program activities. (See 45 CFR 1308.4 for specific access
requirements for children with disabilities.)
To provide strong safety protections for infants and toddlers, the
indoor and outdoor space in Early Head Start or Head Start centers used
by mobile infants and toddlers must be located away from general
walkways and from areas used by older children.
As an explicit statement of a traditionally implicit requirement,
agencies must provide for the maintenance, repair, and security of all
Early Head Start and Head Start facilities, materials and equipment.
Agencies operating center-based programs also must provide an
indoor and outdoor environment free of toxins, such as cigarette smoke,
pesticides, herbicides, other air pollutants, and soil and water
contaminants. No child may be present when pesticide or herbicide
spraying is conducted. The inclusion of pesticides and herbicides in
the proposed standard responds to the particular concerns of migrant
programs.
As in the current regulation, agencies must provide barriers for
outdoor play areas at center-based programs which prevent children from
wandering away and getting into unsafe and unsupervised areas. To
promote child safety and reduce agency liability concerns, children
must not be exposed to vehicular traffic without supervision when
enroute to play areas.
Agencies must conduct annual safety inspections of their facility's
space, light, ventilation, heat, and other physical systems to ensure
that they are consistent with the health, safety and developmental
needs of children. At a minimum, they must meet specific requirements
related to the safety and effectiveness of the facility required by the
current regulation. Minor changes include proposed standards regarding
a safe and effective cooling as well as heating system; the
flammability of furnishings, decorations and materials that emit toxic
fumes when burned; appropriate numbers of smoke detectors; the
visibility and posting of exits and evacuation routes; protections for
electrical outlets and glass doors and windows; and the location of
diapering activities.
(b) Head Start Equipment, Toys, Materials, and Furniture
The proposed regulations pertaining to furniture, equipment, and
materials owned and operated by grantee or delegate agencies are almost
identical to those contained in the current rule. However, in keeping
with current public health advice, infant and toddler toys must be made
of non-toxic materials that can be sanitized.
Subpart E--Implementation and Enforcement
General Objectives
The objective of this Subpart of the proposed rule is to ensure
quality across programs serving children ages 3 to 5 by requiring that
areas of non-compliance or deficiencies with the Head Start Program
Performance Standards and regulations be remedied as quickly as
possible and that poorly performing programs be terminated. These
proposed standards are drawn from the specific statutory language of
section 641A(d) (1) and (2) of the Head Start Act, as amended,
concerning corrective
[[Page 17774]]
actions and quality improvement plans for poorly performing agencies.
They also respond to the recommendation of the Advisory Committee on
Head Start Quality and Expansion that prompt action be taken to address
concerns with poorly performing agencies.
Section 1304.60--Compliance
Proposed Regulatory Provisions
Head Start grantees and delegate agencies funded for indefinite
project periods as specified in 45 CFR 1304.2 must comply with the
requirements of Part 1304 within 6 months after the date of publication
of the final rule. The ACYF invites comments about whether the six-
month timeframe poses particular difficulties for programs.
The proposed regulations in this section differ from those in the
current rule regarding the processes grantee and delegate agencies must
follow in eliminating areas of non-compliance with the program
performance standards. In accordance with 641A(d) of the Head Start
Act, as amended, a new distinction is made between ``non-compliance''
(i.e., a single instance of a grantee's failure to conform to some
specific requirement) and ``deficiencies'' which involve a grantee
displaying such serious problems in one or more areas of its program
that the grantee's ability to provide quality Head Start services is
being compromised. Less critical areas of non-compliance must be
remedied within 90 days.
Section 1304.61--Quality Improvement Plan
Proposed Regulatory Provisions
Programs with areas of non-compliance that constitute a program
deficiency must submit a Quality Improvement Plan to the responsible
HHS official. This plan, if approved, must be implemented within a time
period not to exceed 12 months.
Other Regulatory Changes
Revisions to 45 CFR 1301.31--Personnel Policies
This section has been revised to reflect clarifications and policy
updates (including guidance received from the Advisory Committees and
the focus groups) on the requirements governing personnel policies that
grantees and delegate agencies must meet to operate a quality Head
Start program in accordance with the Head Start Act, as amended and the
implementing requirements in 45 CFR Chapter XIII, Subchapter B. For the
most part, each paragraph has been expanded or updated depending on the
need.
The current regulations at section 1301.31(a), among other things,
require Head Start agencies to establish and implement personnel
policies for themselves and their delegate agencies and list the
minimum areas which the policies must govern. The proposed revisions to
this paragraph extends the requirement for setting up personnel
policies to grantee and delegate agencies for the purpose of
flexibility.
Proposed paragraph (a) requires grantees and delegate agencies to
have written policies, which the Policy Council must approve, that
govern staff, consultants, and volunteers. The policies must cover: (1)
Staff qualifications, paragraph (f) of the current regulation with
modifications; (2) procedures for recruitment, selection and
termination, paragraph (a) of the current regulation but now expanded;
(3) standards of conduct, not in the current regulation; (4) training
and development, in paragraph (a) of the current regulation but
expanded; and (5) staff performance appraisals, paragraph (a) of the
current regulations but expanded. With the exception of the requirement
for recruitment, selection, and termination policies, the details for
the other policies are cross-referenced to specific sections of the
performance standards at 45 CFR Part 1304. The requirement for written
standards of conduct is proposed to be added to this paragraph in order
to assure that staff and volunteers have a document they can refer to
on such matters.
Paragraph (a) also proposes to add requirements for a written
policy on employee-management relations which was in current regulation
but has been expanded and now contains assurances of non-
discrimination. In addition, references to ``volunteers'' have been
incorporated throughout this paragraph, as appropriate, to ensure that
this important group is covered by the written policy.
Proposed paragraph (b) combines paragraphs (c), (e), and (g) of the
current regulation, but with edits and one additional requirement. It
sets forth the requirements for staff recruitment and selection
procedures and contains requirements related to the conduct of
interviews, verifications of personal and employment references,
criminal records checks, and signed declarations by all current and
prospective employees regarding criminal arrests/charges and
convictions related to child abuse and neglect. The new provision in
paragraph (b) requires grantee and delegate agencies to perform
outreach services to encourage individuals from the community to
participate as volunteers in Early Head Start and Head Start programs.
Paragraph (c), as proposed, retains the declaration exclusions which
are in paragraph (d) of the current regulation. Modifications have been
made, as necessary, in order to update the list of items that can be
excluded.
Paragraph (d) of the proposed section 1301.31, currently at
paragraph (f), is unchanged.
Proposed paragraph (e), the last proposed paragraph in revised 45
CFR 1301.31, corresponds to the last paragraph (h) of the current 45
CFR 1301.31. It retains the requirement that grantees and delegate
agencies must develop a plan for responding to suspected or known child
abuse or sexual abuse and adds a cross-reference to the definition of
child abuse and sexual abuse found in 45 CFR 1340.2(d). The reference
to Appendix A, ``Identification and Reporting of Child Abuse and
Neglect,'' in the current regulation has been deleted because much of
the content contains dated information, and because references to staff
responsibilities and training with respect to child abuse and neglect
reporting have been updated and inserted in this section at paragraph
(e).
Technical and Conforming Amendments
The purpose and scope sections at 45 CFR 1305.1 and 1306.1 are
proposed to be amended in order to require that these Parts be used in
conjunction with, as applicable, the requirements at 45 CFR Part 1304
on performance standards. For example, some requirements in Part 1304
expand the comparable requirements in either Part 1305 or 1306, and the
cross-reference has been added to ensure that grantee and delegate
agencies take this into consideration. (Part 1308 already has a cross
reference to Part 1304 in its purpose and scope section.) Section
1306.1 also is proposed to be amended in order to include the time
frame in which there is an exception for Parent Child Centers as
consistent with section 645A(e)(2) of the Head Start Act, as amended.
In sections 45 CFR 1303.14(b) and 1303.15(c) revisions were made to
comport with the inclusion of sections 1304.60 and 1304.61 on
compliance and Quality Improvement Plans.
In addition, 45 CFR 1306.20, Program staffing patterns, is proposed
to be revised by adding a new paragraph (a) and redesignating the other
paragraphs. The new paragraph cites, for particular emphasis, the
requirement on staffing patterns that are set forth in section
1304.52(j). Section 1306.21, Staff qualification requirements, has been
[[Page 17775]]
revised to reflect the amendments in the Head Start Act that
redesignates staff qualifications from section 648 to 648A. Section
1306.30, Provisions of comprehensive child development services,
paragraph (c) is proposed to be revised to update the cross-reference
to Part 1304. For the same reason, the cross-reference in section
1306.33, Home-based program option, to the performance standards has
been corrected.
We propose to revise 45 CFR 1308.6(b)(1), Assessment of children,
to cross-reference the health and development assessment timeframes in
45 CFR 1304.20 and to retain the statement that screening may start in
the spring before program services begin in the fall.
VIII. Impact Analysis
Executive Order 12866
Executive Order 12866 requires that regulations be drafted to
ensure that there is consistency with the priorities and principles set
forth in this Executive Order. The Department has determined that this
rule is consistent with these priorities and principles. This Notice of
Proposed Rulemaking implements the statutory authority to promulgate
regulations for Head Start Program Performance Standards. The Head
Start Act, as amended, requires the addition of new performance
standards in the following areas: administrative and financial
management, transition activities, family literacy, a family needs
assessment and consultation process, and standards for programs serving
pregnant women and families with infants and toddlers. Many of the new
standards in this proposed rule are directly related to these specific
legislative mandates. Congress made no additional appropriation to fund
these new requirements, however, and so any funds spent toward the
improvement of services, facilities, infrastructures, or other purposes
related to this regulation are funds that would have been otherwise
spent by the program or other programs from the same appropriation
amount. In addition, new standards have been added in the areas of
health and developmental assessments, health emergency and safety
procedures, and family and community partnerships which are responsive
to the legislative mandates and Advisory Committee recommendations to
improve the quality of the Head Start program and to establish the
Early Head Start program. We believe that these proposed rules are
focused in ways that encourage maximum cost-effectiveness in agency
spending decisions.
Regulatory Flexibility Act of 1980
The Regulatory Flexibility Act (Public Law 96-354) 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. These regulations would affect small entities.
However, it should be noted that all grantees and delegate agencies
are currently required to meet a large group of Head Start Program
Performance Standards. In keeping with the Head Start Act, as amended,
the new standards proposed here have been developed in consultation
with individuals who have experience operating Head Start programs.
Further, the proposed requirements that are more stringent with regard
to paperwork burden than the current requirements are based on the new
legislative mandates contained in the Head Start reauthorization, such
as the requirement for new infant and toddler standards, the need to
respond to changes over time in the kinds of services that the Head
Start population requires, the need to reflect best practices in the
field of early childhood development, and the need to promote Head
Start program quality and to facilitate Head Start expansion. Finally,
we believe that meeting these proposed requirements would not be
burdensome to grantee and delegate agencies because we are providing a
six-month phase-in period for compliance. We also believe that, as
grantee and delegate agencies implement these requirements, there will
be no ongoing burden.
For these reasons, the Secretary certifies that these rules will
not have a significant impact on substantial numbers of small entities.
Paperwork Reduction Act
Under the Paperwork Reduction Act of 1995, Public Law 104-13, all
Departments are required to submit to the Office of Management and
Budget (OMB) for review and approval any reporting or record-keeping
requirement inherent in a proposed or final rule. This NPRM contains
information collection requirements in certain sections which the
Department has submitted to OMB for its review.
The sections that contain information collection are 1304.20, 22,
23, 40, 50, 51, 52, 60, and 61 which respectively pertain to: child
health and developmental assessment; child health and safety; child
nutrition; family partnerships; program governance; management systems
and procedures; human resources management; compliance; and quality
improvement plan.
The respondents to the information collection requirements in the
rule are Early Head Start and Head Start grantee and delegate agencies
which may be State or local non-profit agencies or organizations. The
Department needs to require this collection of information in order to
assure that, Early Head Start and Head Start programs are operating
quality programs in accordance with the mandate of the Head Start Act,
as amended, and the recommendation of the Advisory Committee on Head
Start Quality and Expansion that Head Start programs be operated as
quality programs. Also, in order to monitor the programs, the
Department needs information on Early Head Start and Head Start
programs' efforts to provide and maintain quality services.
The frequency of grantee and delegate agency responses are
generally annual with the exception of start up activities for Early
Head Start and new Head Start programs. We estimate the annual average
burden hours per each grantee or delegate agency to be 787.46 hours.
Currently, there are a total of 2,112 agencies (1,433 grantees and 679
delegates) operating Early Head Start and or Head Start programs. The
total annual estimated information collection is 1,663,116 hours
(787.46 hours x 2112 agencies=1,663,116). It is important to note,
however, that most of the information collection requirements reflected
in the proposed revisions to Part 1304 are currently being implemented
by existing Head Start programs.
The Administration for Children and Families (ACF) will consider
comments by the public on these proposed collection of information in:
Evaluating whether the proposed collections are necessary
for the proper performance of the functions of ACF, including whether
the information will have practical utility;
Evaluating the accuracy of ACF's estimate of the burden of
the proposed collections of information;
Enhancing the quality, usefulness, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
those who are to respond.
[[Page 17776]]
OMB is required to make a decision concerning the collections of
information contained in these proposed regulations between 30 and 60
days after publication of this document in the Federal Register.
Therefore, a comment is best assured of having its full effect if OMB
receives it within 30 days of publication. This does not affect the
deadline for the public to comment to the Department on the proposed
regulations. Written comments to OMB for the proposed information
collection should be sent directly to the following: Office of
Management and Budget, Paperwork Reduction Project, 725 17th Street,
NW., Washington, DC 20503, Attn: Ms. Wendy Taylor.
List of Subjects
45 CFR Part 1301
Administrative practice and procedure, Education of the
disadvantaged, Grant program/social programs, Selection of grantees.
45 CFR Part 1303
Administrative practice and procedure, Education of disadvantaged,
Grant programs--social programs, Reporting and recordkeeping
requirements
45 CFR Part 1304
Dental health, Education of the disadvantaged, Grant programs/
social programs, Health care, Mental health programs, Nutrition,
Reporting and recordkeeping requirements.
45 CFR Part 1305
Education of the disadvantaged, Grant programs/social programs,
Individuals with disabilities.
45 CFR Part 1306
Education of the disadvantaged, Grant program/social programs.
45 CFR Part 1308
Education of the disadvantaged, Grant programs/social programs,
Health care, Individuals with disabilities, Nutrition, Reporting and
recordkeeping.
(Catalog of Federal Domestic Assistance Program Number 93.600,
Project Head Start)
Dated: April 10, 1996.
Mary Jo Bane,
Assistant Secretary for Children and Families.
Approved: April 10, 1996.
Donna E. Shalala,
Secretary.
For the reasons set forth in the preamble, 45 CFR Chapter XIII,
Subchapter B is proposed to be amended as follows:
1. Part 1304 is revised to read as follows:
PART 1304--PROGRAM PERFORMANCE STANDARDS FOR OPERATION OF HEAD
START PROGRAMS BY GRANTEE AND DELEGATE AGENCIES
Subpart A--General
Sec.
1304.1 Purpose and scope.
1304.2 Effective dates.
1304.3 Definitions.
Subpart B--Early Childhood Development and Health Services
1304.20 Child health and developmental assessment.
1304.21 Education and early childhood development.
1304.22 Child health and safety.
1304.23 Child nutrition.
1304.24 Child mental health.
Subpart C--Family and Community Partnerships
1304.40 Family partnerships.
1304.41 Community partnerships.
Subpart D--Program Design and Management
1304.50 Program governance
1304.51 Management systems and procedures.
1304.52 Human resources management.
1304.53 Facilities, materials, and equipment.
Subpart E--Implementation and Enforcement
1304.60 Compliance.
1304.61 Quality improvement plan.
Authority: 42 U.S.C. 9801 et seq.
Subpart A--General
Sec. 1304.1 Purpose and scope.
This part prescribes regulations implementing sections 641A, 644
(a) and (c), and 645A (h) of the Head Start Act, as amended (42 U.S.C.
9801 et seq.). Section 641A, paragraph (a)(3)(C) directs the Secretary
of Health and Human Services to review and revise, as necessary, the
Head Start Program Performance Standards in effect under prior law.
This paragraph further provides that any revisions should not result in
an elimination or reduction of requirements regarding the scope or
types of Head Start services to a level below that of the requirements
in effect on November 2, 1978. Section 641A(a) directs the Secretary to
issue regulations establishing performance standards and minimum
requirements with respect to health, education, parent involvement,
nutrition, social, transition, and other Head Start services as well as
administrative and financial management, facilities, and other
appropriate program areas. Section 644 (a) and (c) requires the
issuance of regulations setting standards for the organization,
management, and administration of Head Start programs. Section 645A(h)
requires that the Secretary develop and publish performance standards
for the newly authorized program for low-income pregnant women and
families with infants and toddlers, entitled ``Early Head Start.'' The
regulations in this part respond to these provisions in the Head Start
Act, as amended, for new and/or revised Head Start Program Performance
Standards. These regulations define standards and minimum requirements
for the entire range of Head Start services, including those specified
in the authorizing legislation. They are applicable to both Head Start
and Early Head Start programs, with the exceptions noted, and are to be
used in conjunction with the regulations at 45 CFR Parts 1301, 1302,
1303, 1305, 1306, and 1308.
Sec. 1304.2 Effective dates.
Head Start grantee and delegate agencies funded or refunded after
[six months after final publication] must comply with these
requirements on the date that new groups of children begin receiving
services, or one year from [the date of publication of the final rule],
whichever occurs first. Nothing in this part prohibits grantee or
delegate agencies from voluntarily complying with these regulations
prior to the effective date.
Sec. 1304.3 Definitions.
(a) As used in this part: (1) Assessment means the ongoing
procedures used by appropriate qualified personnel throughout the
period of a child's eligibility to identify:
(i) The child's unique strengths and needs and the services
appropriate to meet those needs; and
(ii) The resources, priorities, and concerns of the family and the
supports and services necessary to enhance the family's capacity to
meet the developmental needs of their child.
(2) Children with disabilities means, for children ages 3 to 5,
those with mental retardation, hearing impairments including deafness,
speech or language impairments, visual impairments including blindness,
serious emotional disturbance, orthopedic impairments, autism,
traumatic brain injury, other health impairments, specific learning
disabilities, deaf-blindness, or multiple disabilities, and who, by
reason thereof, need special education and related services. The term
``children with disabilities'' for children aged 3 to 5, inclusive,
may, at a State's discretion, include children experiencing
developmental delays, as defined by the State and as measured by
appropriate
[[Page 17777]]
diagnostic instruments and procedures, in one or more of the following
areas: physical development, cognitive development, communication
development, social or emotional development, or adaptive development;
and who, by reason thereof, need special education and related
services. Infants and toddlers with disabilities are those from birth
to three years, as identified under the Part H Program (Individuals
with Disabilities Education Act) in their State.
(3) Collaboration and collaborative relationships: (i) With other
agencies, means planning and working with them in order to improve,
share and augment services, staff, information and funds; and
(ii) With parents, means working in partnership with them.
(4) Contagious means capable of being transmitted from one person
to another.
(5)(i) Deficiencies means a failure by a grantee or a delegate
agency to comply: (A) With one or more of the provisions of the
regulations in this part or in 45 CFR Parts 1301, 1305, 1306, and 1308
of this Title which apply to health, education, parental involvement,
nutritional, social, and transition activities described in section
642(d) of the Act, and other services, administrative and financial
management activities, the condition and location of facilities for
such agencies, programs and projects and other matters;
(B) With program design and management requirements;
(C) With applicable laws, regulations, policies, instructions,
assurances, terms and conditions;
(D) With the required fiscal or program reporting requirements
applicable to Head Start grantees; or
(E) With requirements of the Head Start Act.
(ii) Deficiencies also means, in accordance with part 1302 of this
chapter, the loss of legal status, permits or financial viability,
debarment from receiving Federal grants or contracts and the improper
use of Federal funds.
(6) Developmentally appropriate means any behavior or experience
that is appropriate for the age span of the children and is implemented
with attention to the different needs, interests, and developmental
levels and cultural backgrounds of individual children.
(7) Early Head Start program means a program that provides families
with children under 3 years of age and pregnant women with family-
centered services which facilitate child development, support parental
roles, and promote self-sufficiency.
(8) Family means for the purposes of the regulations in this part
all persons:
(i) Living in the same household who are:
(A) Supported by the income of the parent(s) or guardian(s) of the
child enrolling or participating in the program; or
(B) Related to the child by blood, marriage, or adoption; or
(ii) Related to the child enrolling or participating in the program
as parents or siblings, by blood, marriage, or adoption.
(9) Guardian means a person legally responsible for a child.
(10) Health means medical, dental, and mental well-being.
(11) Home visitor means the staff member assigned to work with
parents to provide comprehensive services to children and their
families children's home through home visits. The home visitor is the
infant and toddler caregiver in an Early Head Start program and the
classroom teacher in a center-based or combination option Head Start
program. In a home-based Head Start program, the staff person with
responsibility for conducting home visits and group socialization
activities is termed the ``home-visitor''.
(12) Individual Family Service Plan (IFSP) means a written plan for
providing early intervention services to a child eligible under Part H
of the Individuals with Disabilities Act (IDEA). See 34 CFR 303.340
through 303.346 for regulations concerning IFSP's.
(13) Infant means a child from birth through 12 months of age.
(14) Minimum requirements means that each Head Start grantee must
demonstrate a level of compliance with the regulations in this part, as
well as in 45 CFR Parts 1301, 1305, 1306, and 1308 of this Title, such
that no deficiency, as defined in this part, exists in its program.
(15) Non-compliance means any instance in which the Head Start
grantee is failing to comply with a specific statutory, regulatory or
policy requirement.
(16) Policy group means the formal group of parents and community
representatives required to be established by the agency to assist in
decisions about the planning and operation of the program.
(17) Preschooler means a child from 37 months of age through the
date that kindergarten or first grade is available for the child in the
child's community.
(18) Program attendance means the actual presence and participation
in the program of a child enrolled in an Early Head Start or Head Start
program.
(19) Referral means directing an Early Head Start or Head Start
child or family member(s) to an appropriate source or resource for
help, treatment or information.
(20) Staff means paid adults who have responsibilities related to
children and their families who are enrolled in Early Head Start or
Head Start programs.
(21) Staff caregiver means an adult who has direct responsibility
for the care and development of children from birth to 3 years of age
in a center-based setting.
(22) Teacher means an adult who has direct responsibility for the
care and development of children aged 3 to 5 years in a center-based
setting.
(23) Toddler means a child from 13 through 36 months of age.
(24) Volunteer means an unpaid person 16 years of age or older who
is trained to assist in implementing ongoing program activities under
the supervision of a staff person in areas such as health, education,
transportation, nutrition, and management.
(b) In addition to the definitions in this section, the definitions
as set forth in 45 CFR 1301.2, 1302.2, 1303.2, 1305.2, 1306.3, and
1308.3 also apply, as used in this part.
Subpart B--Early Childhood Development and Health Services
Sec. 1304.20 Child health and developmental assessment.
(a) Initial assessment process. (1) Grantee and delegate agencies
must gather and record, to the greatest extent possible, all relevant
historical information on each enrolled child's physical health and
emotional and cognitive development as early in the program year as
possible. Within 90 calendar days from the child's enrollment in the
program (with the exception noted in paragraph (a)(3) of this section,
they must assure that this current history of preventive care and
immunizations has been reviewed by a qualified health professional who
has determined whether the child is up-to-date according to established
schedules which incorporate the latest recommendations of the Centers
for Disease Control and Prevention's Advisory Committee on Immunization
Practices and the requirements for a schedule of well child care
employed by the Early and Periodic Screening, Diagnosis, and Treatment
(EPSDT) program for the State in which they operate.
(2) Grantee and delegate agencies must work collaboratively, with
the parents of each child whose preventive
[[Page 17778]]
care is determined not to be up-to-date with these established
schedules, to secure the specific tests, examinations, and assessments
recommended by the health care professional(s), and assist them in
obtaining needed immunizations. A follow-up plan to bring the child up-
to-date, as quickly as possible, but no later than 90 calendar days
from the child's enrollment in the program (with the exception noted in
paragraph (a)(3) of this section), must be implemented.
(3) Grantee and delegate agencies operating programs of shorter
durations (90 days or less) must gather the historical health
information and must assure that this current history of preventive
care and immunizations has been reviewed by a qualified health
professional(s) to determine the child's status on the established
schedules (referenced in 45 CFR 1304.21(a)(1)) no later than 30
calendar days after the child enrolls in the program. For any children
determined not to be up-to-date, these programs must implement a
follow-up plan to bring them up-to-date, as quickly as possible, but no
later than 30 calendar days after the child's enrollment in the
program.
(b) Parent involvement in the assessment and treatment processes.
In conducting the assessment process, as described in paragraph (a) of
this section, and in making all possible efforts to ensure that each
child receives appropriate health assessment, care and treatment,
grantee and delegate agencies must: (1) Inform parents immediately when
child health or developmental problems are suspected or identified;
(2) Familiarize parents with the use of and rationale for all
health-related procedures administered through the program or by
contract or agreement, and obtain advance parent or guardian
authorization for such procedures. Grantee and delegate agencies must
document when parental authorization for such procedures is denied.
Grantee and delegate agencies also must ensure that the results of
diagnostic and treatment procedures and ongoing assessments are shared
with and understood by the parents; and
(3) Inform the parents on how to familiarize their children in a
developmentally appropriate way and in advance about all of the
procedures they will receive while enrolled in the program.
(c) Medical and dental health assessment. Grantee and delegate
agencies must assure that medical and dental health assessments are
conducted by licensed and qualified professionals. These assessments
must include, as age appropriate:
(1) Measures for head circumference; height, weight, and blood
pressure; procedures including lead screening and urinalysis;
hereditary/metabolic screening; hematocrit or hemoglobin screening;
tuberculosis screenings; hearing and vision screenings; and physical
and dental examinations, as prescribed in professionally established
schedules of preventive care (i.e., the EPSDT schedule) cited in
Sec. 1304.20 (a)(1) of this part;
(2) Assessment of current immunization status as prescribed in the
professionally established schedules of immunizations cited in
Sec. 1304.20(a)(2) of this part; and
(3) Selected medical and developmental tests appropriate to the
community, population, and age group and the prevalent health problems
identified.
(d) Developmental and behavioral assessment. (1) Grantee and
delegate agencies must perform linguistically and age appropriate
developmental and behavioral assessments, that are also sensitive to
the child's culture, to the greatest extent possible, for each child as
prescribed in professionally established schedules of preventive care
cited in Sec. 1304.20 of (a)(2) of this part, including the assessment
of motor, language, social, cognitive, perceptual, and emotional
skills.
(2) Grantee and delegate agencies must obtain direct guidance from
the mental health professional on how to select and perform procedures
that assess the developmental and behavioral needs of children,
including guidance on how to use assessment findings to address
identified needs.
(3) The assessments must tap multiple sources of information on all
aspects of each child's development and behavior, including input from
family members, teachers, and other relevant staff who are familiar
with the child's typical behavior.
(e) Ongoing assessment. In addition to the periodic assessments
conducted by health professionals according to the schedule of well
child care described in Sec. 1304.20(a)(1) of this part, grantees and
delegate agencies must implement ongoing assessment procedures by which
Head Start and Early Head Start staff can identify any new or
reoccurring health or developmental concerns so that they may quickly
make appropriate referrals for further professional assessment. At a
minimum, ongoing assessment procedures include: periodic observations
and recordings, as appropriate, of individual children's developmental
progress, changes in physical appearance (e.g., signs of injury or
illness) and emotional and behavioral patterns. In addition, ongoing
assessments must include the periodic use of parental, staff, and
mental health consultant observations about each child.
(f) Individualization of the program. (1) Grantee and delegate
agencies must use the information from the health and developmental
assessments, the ongoing assessments, medical evaluations and
treatments, and insights from the child's parents to help staff and
parents determine how the program can best respond to each child's
individual characteristics, strengths and needs.
(2) In cases where an Individual Family Service Plan (IFSP) has not
already been developed for enrolled infants and toddlers with
disabilities, grantee and delegate agencies must develop such a plan in
accordance with part H of the Individuals with Disabilities Education
Act (IDEA).
Sec. 1304.21 Education and early childhood development.
(a) Child development and education approach for all children. (1)
In order to help children gain the skills and confidence necessary to
be prepared to succeed in their present environment and with later
responsibilities in school and life, grantee and delegate agencies'
approach to child development and education must:
(i) Be developmentally and linguistically appropriate, recognizing
that children have individual preferences and individual patterns of
development as well as different ability levels, cultures, ages, and
learning styles;
(ii) Provide an environment of acceptance that supports and
respects each child's gender, culture, language, and ethnicity; and
(iii) In center-based settings, provide a balanced daily program of
staff-directed and child-initiated activities, including individual and
small group activities.
(2) Parents must be:
(i) Invited to become integrally involved in the development of the
program's curriculum and approach to child development and education;
and
(ii) Provided opportunities to increase their child observation
skills and to share assessments with staff that will help plan the
learning experiences.
(3) Grantee and delegate agencies must support social and emotional
development by:
(i) Encouraging development which enhances each child's strengths
by:
(A) Building trust;
(B) Fostering independence;
(C) Setting consistent limits and realistic expectations;
[[Page 17779]]
(D) Encouraging respect for the feelings and rights of others; and
(E) Supporting and respecting the home language and culture of each
child in ways that support the child's health and well-being.
(ii) Allowing routines and transitions to occur in a timely,
predictable and unrushed manner according to each child's needs.
(4) Grantee and delegate agencies must provide for the development
of each child's cognitive and language skills by:
(i) Supporting each child's learning, using various strategies,
including experimentation, inquiry, observation, play and exploration;
(ii) Providing opportunities for creative self-expression through
activities such as art, music, movement, and dialogue;
(iii) Promoting interaction and language use among children and
between children and adults; and
(iv) Supporting emerging literacy and numeracy development through
materials and activities according to the developmental level of each
child.
(5) In center-based settings, grantee and delegate agencies must
promote each child's physical growth by:
(i) Providing sufficient time, indoor and outdoor space, equipment,
materials and adult guidance for active play or movement that support
the development of large muscle skills;
(ii) Providing appropriate time, space, equipment, materials and
adult guidance for the development of small-motor skills according to
each child's developmental level; and
(iii) Providing an appropriate environment and adult guidance for
the participation of children with special needs.
(b) Child development and education approach for infants and
toddlers. (1) Grantee and delegate agencies must provide an environment
for infants and toddlers which encourages:
(i) The development of secure relationships in out-of-home care
settings for infants and toddlers by having a limited number of
consistent caregivers over as extended a period of time as possible.
Staff caregivers must be able to understand the child's family's
culture and, whenever possible, speak the child's language;
(ii) Trust and emotional security so that each child can explore
the environment according to his or her developmental level; and
(iii) Opportunities for each child to explore a variety of sensory
and motor experiences with support and stimulation from staff
caregivers or family members.
(2) Grantee and delegate agencies must support the social and
emotional development of infants and toddlers by providing an
environment that:
(i) Encourages the development of self-knowledge, self-awareness,
autonomy, and self-expression; and
(ii) Supports the emerging communication skills of infants and
toddlers by providing daily opportunities for each child to listen and
express himself or herself freely.
(3) Grantee and delegate agencies must provide an environment that
promotes the physical development of infants and toddlers by:
(i) Providing opportunities for small-motor development that
encourage the control and coordination of small, specialized motions,
using the eyes, mouth, hands, and feet;
(ii) Supporting the development of the new-found physical skills of
infants and toddlers such as grasping, pulling, pushing, crawling,
walking, and climbing; and
(iii) Allowing and enabling children to independently use toilet
facilities when it is developmentally appropriate and when efforts to
encourage toilet training are supported by the parents.
(c) Child development and education approach for preschoolers. (1)
Grantee and delegate agencies, in collaboration with the parents, must
develop or select a curriculum that is adapted for each group and
applied consistently in the program and that:
(i) Supports each child's individual pattern of development and
learning;
(ii) Provides for the development of cognitive skills by
encouraging each child to organize his or her experiences, to
understand concepts, and to develop age appropriate literacy, numeracy,
reasoning, problem solving and decision-making skills, which form a
foundation for school readiness and later school success.
(iii) Integrates all educational aspects of the health, nutrition,
and mental health services into program activities;
(iv) Ensures that the program environment helps children develop
emotional security and facility in social relationships;
(v) Enhances each child's understanding of self as an individual
and as a member of a group;
(vi) Provides each child with opportunities for success to help
develop feelings of competence, self-esteem, and positive attitudes
toward learning; and
(vii) Provides individual, small group and large group activities
both indoors and outdoors.
(2) Staff must use a variety of strategies to promote and support
children's learning and developmental progress based on the assessment
of each child's individual strengths and needs.
Sec. 1304.22 Child health and safety.
(a) Medical and dental follow-up and treatment. (1) In
collaboration with the parents, to the greatest extent possible,
efforts must be made to obtain or arrange further diagnostic testing,
examinations, and treatment for each child with an observable or known
health or developmental problem, or one made suspect by the diagnostic
procedures performed in accordance with Sec. 1304.20(a)(1) of this
part, from an appropriate licensed or certified professional as early
in the program year as possible, unless the agency can document that
parental authorization for such services was denied. (See 45 CFR
1304.20(b) for additional standards on parent involvement.)
(2) For each enrolled child, medical follow-up and treatment must
include:
(i) Further examination, diagnostic testing and treatment if
necessary, of all concerns that are identified either during or
subsequent to the assessment process;
(ii) The identification and treatment, if appropriate, of any
underlying sensory or physical bases for any developmental problems
observed; and
(iii) Assistance to the parents as needed to learn how to obtain
any necessary prescription medications.
(3) For each enrolled child, dental follow-up and treatment must
include:
(i) Fluoride supplements and topical fluoride treatments as
recommended by dental professionals in communities where a lack of
adequate fluoride levels has been determined or for every child with
moderate to severe dental bone or tooth decay;
(ii) Other necessary preventive measures, such as dental sealants
and further dental treatment, as recommended by the dental
professional; and
(iii) Assistance to the parents as needed to learn how to obtain
any necessary prescriptions.
(4) Grantee and delegate agencies must provide or arrange for any
medical related services in accordance with the Individual Education
plan required under 45 CFR 1308.4, for each child with disabilities
that enable his or her optimal participation in the Early Head Start
and Head Start programs.
(5) Early Head Start and Head Start funds may be used for
professional medical and dental assessments and treatment only when no
other source of funding is available. When Early Head Start or Head
Start funds are used for
[[Page 17780]]
such services, there must be written documentation of the lack of
available funds from other sources.
(b) Health emergency procedures. Grantee and delegate agencies
operating center-based programs must establish and implement policies
and procedures to respond to medical and dental health emergencies,
with which all staff are familiar and trained. At a minimum, these
policies and procedures must include:
(1) Posted policies and plans of action for emergencies that
require rapid response on the part of staff (e.g., a child choking) or
immediate medical attention;
(2) Posted locations and telephone numbers of emergency care
facilities and providers. Up-to-date family contact information and
authorization for emergency care for each child and staff member must
be readily available;
(3) Posted emergency evacuation routes and other safety procedures
for emergencies (e.g., fire or weather-related) (See 45 CFR 1304.53 for
additional information);
(4) Methods of notifying parents in the event of an emergency
involving their child; and
(5) Established methods for handling cases of suspected or known
child abuse and neglect that are in compliance with applicable State
laws.
(c) Conditions of short-term exclusion and admittance. (1) Grantee
and delegate agencies must not deny program admission to or exclude any
child from program attendance solely on the basis of his or her health
care needs or medication requirements.
(2) Grantee and delegate agencies must exclude an ill, injured, or
contagious child from program participation in center-based activities
if:
(i) The child's illness, injury or contagious condition prevents
the child from participating in routine activities;
(ii) The illness, injury or contagious condition requires more care
than the program staff are able to provide without compromising the
needs of the other children in the group; and
(iii) Keeping the child in care poses a significant risk to health
or safety of the child and/or anyone in contact with the child.
(3) With regard to the implementation of paragraphs (c)(2) (i),
(ii), and (iii) of this section a child must not be excluded if the
program is able to make reasonable modifications in its policies,
practices and procedures or to provide appropriate auxiliary aids or
services which would enable the child to participate without
fundamentally altering the nature of the program. A child must not be
excluded if the program is able to eliminate the significant risk to
health or safety posed by the child's illness, injury or contagious
condition or to reduce the risk to an acceptable level.
(4) Policies and procedures regarding the short-term exclusion of
children with illnesses must be consistent with current professionally
established guidelines on short-term exclusion and readmittance (e.g.,
the U.S. Public Health Services's National Health and Safety
Performance Standards; Health Resources and Services Administration/
Maternal and Child Health Bureau). Agencies may not exclude a child
when his or her readmittance has been approved by a physician, local
health officer, or licensed nurse practitioner. Conditions of
readmittance for infectious diseases are under the control of the
State/local health department. When a child is excluded, the child's
parents or other authorized person must be notified immediately and
asked to take the child home.
(5) Grantee and delegate agencies must request parents to inform
them of any health risks their child may pose that require special
health or safety precautions. Programs must share information regarding
the health condition of a child with appropriate program staff, as
necessary, to allow for proper precautions in accordance with the
program's confidentiality policy.
(d) Medication administration. Grantee and delegate agencies must
establish and maintain written procedures regarding the administration,
handling, and storage of medication for every child (except when the
Head Start grantee or delegate is a school and as such is legally
prohibited from administering prescription medication), that include:
(1) Labeling and storing, under lock and key, and refrigerating, if
necessary, all medications, including those required for staff and
volunteers;
(2) Designating a staff member(s) or school nurse to administer,
handle and store child medications, including prescription and over-
the-counter drugs;
(3) Obtaining physicians' instructions and written parent or
guardian authorizations for all medications administered by staff;
(4) Maintaining an individual record of all medications dispensed,
and reviewing the record regularly with the child's parents;
(5) Recording changes in a child's behavior that have implications
for drug dosage or type, and sharing this information with the staff,
parents, and physicians; and
(6) Training appropriate staff members in proper techniques for
administering, handling, and storing medication, including the use of
any necessary equipment to administer medication.
(e) Injury prevention. Grantee and delegate agencies must foster an
awareness of safety concerns and safety practices among staff,
volunteers, children, and parents by incorporating safety awareness in
child and parent education activities.
(f) Hygiene. (1) Staff, volunteers, and children must wash their
hands with soap and running water at least at the following times:
(i) After diapering or toilet use;
(ii) Before food preparation, handling, consumption, or any other
food-related activity (e.g., setting the table);
(iii) Whenever hands are contaminated with blood or other bodily
fluids; and
(iv) After handling pets or other animals.
(2) Staff and volunteers must also wash their hands with soap and
running water:
(i) Before and after giving medications;
(ii) Before and after treating or bandaging a wound (nonporous
gloves should be worn if there is contact with blood or blood-
containing body fluids); and
(iii) After assisting a child with toilet use.
(3) Nonporous (e.g., latex) gloves must be worn by staff when they
are in contact with spills of blood or other bodily fluids.
(4) Spills of bodily fluids (e.g., urine, feces, blood, saliva,
nasal discharge, eye discharge or any fluid discharge) must be cleaned
and disinfected immediately in keeping with professionally established
guidelines (e.g., standards of the Occupational Safety Health
Administration, U.S. Department of Labor). Any tools and equipment used
to clean spills of bodily fluids must be cleaned and disinfected
immediately. Other blood-contaminated materials must be disposed of in
a plastic bag with a secure tie.
(5) Grantee and delegate agencies must adopt sanitation and hygiene
procedures for diapering that adequately protect the health and safety
of children served by the program and staff. Grantee and delegate
agencies also must ensure that relevant staff are trained to conduct
these procedures properly.
(6) Potties that are utilized in a center-based program must be
emptied into the toilet and cleaned and disinfected after each use in a
utility sink used for this purpose.
[[Page 17781]]
(7) Grantee and delegate agencies operating programs for infants
and toddlers must space cribs and cots at least three feet apart to
avoid spreading contagious illness.
(g) First aid kits. (1) Readily available, well-supplied first aid
kits appropriate for the ages and the program size served must be
maintained at each facility and available on outings away from the
site. Each kit must be accessible to staff members at all times, but
must be kept out of the reach of children.
(2) First aid kits must be restocked after use, and an inventory
must be conducted at regular intervals.
Sec. 1304.23 Child nutrition.
(a) Nutritional assessment. Staff and families must work together
to identify each child's nutritional needs, taking into account staff
and family discussions concerning:
(1) The nutrition-related assessment data (height, weight,
hemoglobin/hematocrit) obtained for each child as described in 45 CFR
1304.20(a);
(2) Information about family eating patterns, including cultural
preferences, special dietary requirements for each child with
nutrition-related health problems, and the feeding requirements of
infants and toddlers and each child with disabilities;
(3) For infants and toddlers, current feeding schedules, and
amounts and types of food provided, including whether breast milk or
formula and baby food is used; meal patterns; new foods introduced;
food intolerances and preferences; voiding patterns; and observations
related to developmental changes in feeding and nutrition. This
information must be shared with parents and updated regularly; and
(4) Information about major community nutritional issues, as
identified through the Community Needs Assessment and by the local
health department.
(b) Nutritional services. (1) Grantee and delegate agencies must
design and implement a nutrition program that meets the nutritional
needs, feeding requirements, and feeding schedules of each child,
including those with disabilities. Also, the nutrition program must
serve a variety of foods which broaden the child's food experience and
which consider cultural and ethnic preferences.
(i) Each child in a part-day center-based setting must receive
meals and snacks that provide at least \1/3\ of the child's daily
nutritional needs. Each child in a center-based full-day program must
receive snack(s), lunch, and other meals, as appropriate, that provide
\1/2\ to \2/3\ of the child's daily nutritional needs, depending upon
the length of the program day.
(ii) All children in morning center-based settings who have not
received breakfast at the time they arrive at the Early Head Start or
Head Start program must be served a nourishing breakfast;
(iii) Each infant and toddler in center-based settings must receive
food appropriate to his or her nutritional needs, developmental
readiness, and feeding skills, as recommended in the USDA meal pattern
or nutrient standard menu planning requirements outlined in 7 CFR parts
210, 220, and 226;
(iv) For 3- to 5-year-olds in center-based settings, the quantities
and kinds of food served must conform to recommended serving sizes and
minimum standards for meal patterns recommended in the USDA meal
pattern or nutrient standard menu planning requirements outlined in 7
CFR parts 210, 220, and 226;
(v) For 3- to 5-year-olds in center-based settings, foods high in
fat, sugar, and salt must be used sparingly;
(vi) Meal and snack periods in center-based settings must be
appropriately scheduled and adjusted, where necessary, to ensure that
individual needs are met. Infants and young toddlers who need it must
be fed ``on demand'' to the extent possible, or at appropriate
intervals.
(2) Grantee and delegate agencies operating home-based program
options must provide appropriate snacks and meals to each child during
group socialization activities.
(3) Staff must promote effective dental hygiene among children in
conjunction with meals.
(4) Parents and appropriate community agencies must be involved in
planning, implementing, and evaluating the agencies' nutritional
services.
(c) Meal service. Grantee and delegate agencies must ensure that
nutritional services in center-based settings contribute to the
development and socialization of enrolled children by providing that:
(1) A variety of food is served which broadens each child's food
experiences;
(2) Food is not used as punishment or reward, and that each child
is encouraged, but not forced, to eat or taste his or her food;
(3) Sufficient time is allowed for each child to eat;
(4) All toddlers and preschool children and their caregivers,
including volunteers, eat together family style:
(5) Infants are held while being fed and are not laid down to sleep
with a bottle;
(6) Medically based diets or other dietary requirements are
accommodated; and
(7) As developmentally appropriate, opportunity is provided for the
involvement of children in activities related to the preparation and
serving of meals.
(d) Family assistance with nutrition. Parent education activities
must include opportunities to assist individual families with food
preparation and nutritional skills. In the home-based program option,
these opportunities must be provided to parents through group
socialization activities.
(e) Food safety and sanitation. (1) Grantee and delegate agencies
must post evidence of compliance with all applicable Federal, State,
and local food safety and sanitation laws, including those related to
the storage, preparation and service of food and the health of food
handlers. In addition, agencies must contract only with food service
that are properly licensed.
(2) For programs serving infants and toddlers, facilities must be
available for the proper storage and handling of breast milk.
Sec. 1304.24 Child mental health.
(a) Mental health services. (1) Grantee and delegate agencies must
work collaboratively with parents (See 45 CFR 1304.40(f) for issues
related to parent education) by:
(i) Soliciting parental information, observations, and concerns
about their child's mental health;
(ii) Sharing staff observations of their child and discussing and
anticipating with parents their child's behavior and development,
including separation and attachment issues;
(iii) Discussing and identifying with parents appropriate responses
to their child's behaviors;
(iv) Discussing the creation of nurturing, supportive environments
and relationships in the home and at the program;
(v) Helping parents to better understand mental health issues; and
(vi) Supporting parents' participation in any needed mental health
interventions.
(2) Grantee and delegate agencies must secure the services of a
mental health professional on a schedule of sufficient frequency to
enable the timely and effective identification of and intervention in
family and staff concerns about each child's mental health.
(3) Mental health program services must include a regular schedule
of on-site mental health consultation involving the mental health
[[Page 17782]]
professional, program staff, and parents on how to:
(i) Design and implement program practices responsive to the
identified behavioral and mental health concerns of an individual child
or group of children;
(ii) Promote children's mental wellness by providing group and
individual staff and parent education on mental health issues;
(iii) Assist in providing special help for children with atypical
behavior or development; and
(iv) Utilize other community mental health resources, as needed.
Subpart C--Family and Community Partnerships
Sec. 1304.40 Family partnerships.
(a) Assessment and goal setting. (1) Grantee and delegate agencies
must engage in a process of collaborative partnership-building with
parents to establish mutual trust and to identify family goals,
strengths, and necessary services and other supports. This process must
be initiated as early in the program year as possible.
(2) As part of this process, grantee and delegate agencies must
assist parents to develop and implement, throughout the year,
individualized Family Partnership Agreements that describe family
goals, responsibilities, timetables and strategies for achieving these
goals as well as progress in achieving them.
(3) To avoid duplication of effort, or conflict with, any
preexisting family plans developed between other programs and the Head
Start family, the Family Partnership Agreement, staff and parents must
take into account, and build upon as appropriate, information obtained
from the family and other community agencies concerning preexisting
family plans and goals to assist families toward the goal of self-
sufficiency. To the greatest extent possible, grantee and delegate
agencies must coordinate with other agencies and families to support
accomplishment of goals in the preexisting plans.
(4) A variety of opportunities must be created by grantee and
delegate agencies for interaction with parents throughout the year.
(5) Meetings and interactions with families must be respectful of
families' cultural and ethnic backgrounds.
(b) Accessing community services and resources. (1) Grantee and
delegate agencies must work collaboratively with all participating
parents to identify and continually access, either directly or through
referrals, services and resources that are responsive to each family's
interests and goals, including:
(i) Emergency or crisis assistance, including such direct
interventions as the provision of food, housing, clothing, and
transportation;
(ii) Education and other appropriate interventions, including
opportunities for parents to participate in counseling programs or to
receive information on mental health issues that place families at
risk, such as substance abuse, child abuse and neglect, and domestic
violence; and
(iii) Opportunities for continuing education and employment
training and other employment services through formal and informal
networks in the community.
(2) Grantee and delegate agencies must follow-up with each family
to determine whether the kind, quality, and timeliness of the services
received through referrals met the families' expectations and
circumstances.
(c) Services to pregnant women who are enrolled in programs serving
pregnant women, infants, and toddlers. (1) Grantee and delegate
agencies must assist pregnant women to access comprehensive prenatal
and postpartum care, through referrals, immediately after enrollment in
the program. This care must include:
(i) Early and continuing risk assessments, which includes an
assessment of nutritional status as well as nutrition counseling and
food assistance, if necessary;
(ii) Health promotion and treatment, including medical and dental
examinations on a schedule deemed appropriate by the attending health
care providers as early in the pregnancy as possible; and
(iii) Mental health interventions and followup, including substance
abuse prevention and treatment services, as needed.
(2) Grantee and delegate agencies must provide pregnant women and
other family members, as appropriate, with prenatal education on fetal
development (including risks from smoking and alcohol), labor and
delivery, and post-partum recovery (including maternal depression).
(3) Grantee and delegate agencies must provide information on the
benefits of breast feeding to all pregnant and nursing mothers. For
those who choose to breast feed in center-based programs, arrangements
must be provided as necessary.
(d) Parent involvement--general. (1) In addition to involving
parents in program policy-making and operations (see 45 CFR 1304.50),
grantee and delegate agencies must provide parent involvement and
education activities that are responsive to the ongoing and expressed
needs of the parents themselves. Other community agencies should be
encouraged to assist in the planning and implementation of such
programs.
(2) Early Head Start and Head Start settings must be open to
parents during all program hours. Parents must be welcomed as visitors
and encouraged to observe children as often as possible during the
program year and to participate with children in group activities
outside the classroom or home such as children's field trips. However,
the participation of parents in any program activity must be voluntary
and must not be required as a condition of the child's enrollment.
(3) Grantee and delegate agencies must provide parents with
opportunities to participate in the program as employees or volunteers.
(e) Parent involvement in child development and education. (1)
Grantee and delegate agencies must provide opportunities to include
parents in the selection, adaption, and development of the program's
curriculum and approach to child development and education.
(2) Grantee and delegate agencies must provide opportunities for
parents to enhance their parenting skills, knowledge, and understanding
of the educational and developmental needs and activities of their
children and to share concerns about their children with program staff.
See 45 CFR 1304.21 for additional requirements related to parent
involvement.
(3) Grantee and delegate agencies must provide, either directly or
through referrals to other local agencies, opportunities for children
and families to participate in family literacy services by:
(i) Increasing family access to materials, services, and activities
essential to family literacy development; and
(ii) Assisting parents as adult learners to recognize and address
their own literacy goals.
(4) Teachers or staff caregivers in center-based programs must
conduct staff-parent conferences, as needed, but no less than two per
year, to enhance the knowledge and understanding of both staff and
parents of the educational and developmental needs and activities of
children in the program.
(f) Parent involvement in health, nutrition, and mental health
education. (1) Grantee and delegate agencies must provide an organized
medical, dental, nutrition, and mental health education program for
program staff, parents, and families.
(2) Grantee and delegate agencies must ensure that, at a minimum,
the
[[Page 17783]]
medical and dental health education program:
(i) Assists parents in understanding how to enroll and participate
in a system of ongoing family health care.
(ii) Encourages parents to become active partners in their
children's medical and dental health care process and to accompany
their child to medical and dental examinations and appointments; and
(iii) Provides parents with the opportunity to learn the principles
of preventive medical and dental health, emergency first-aid, and
safety practices for use in the classroom and in the home. In addition
to the information on general topics (e.g. the prevention of Sudden
Infant Death Syndrome), information specific to health needs of
individual children must also be made available to the extent possible.
(3) Grantee and delegate agencies must ensure that the nutrition
education program includes, at a minimum:
(i) Nutrition education in the selection and preparation of foods
to meet family needs and in the management of food budgets; and
(ii) Parent discussions with program staff about the nutritional
status of their child.
(4) Grantee and delegate agencies must ensure that the mental
health education program provides, at a minimum (see 45 CFR 1304.24 for
issues related to mental health education):
(i) A variety of group opportunities for parents and program staff
to identify and discuss issues related to child mental health;
(ii) Individual opportunities for parents to discuss mental health
issues related to their child and family with program staff; and
(iii) The active involvement of parents in planning and
implementing any mental health interventions for their children.
(g) Parent involvement in community advocacy. (1) Grantee and
delegate agencies must:
(i) Support and encourage parents to influence the character and
goals of community services in order to make them more responsive to
their interests and needs; and
(ii) Provide the technical and other support, including an existing
comprehensive community resource list, if available, needed to enable
parents to secure, on their own behalf, available assistance from
public and private sources.
(2) Parents must be provided opportunities to work together, and
with other area residents, on activities that they have helped develop
and in which they have expressed an interest.
(h) Parent involvement in transition activities. (1) Grantee and
delegate agencies must assist parents in becoming their children's
advocate as they transition both into Early Head Start or Head Start
from the home or other child care setting, and from Head Start to
elementary school, a Title I Improving America's Schools Act preschool
program, or a child care setting.
(2) Staff must work to prepare parents to become their children's
advocate through transition periods by providing that, at a minimum, a
staff-parent meeting is held toward the end of the child's
participation in the program to enable parents to understand the
child's progress while enrolled at Head Start.
(3) To promote the continued involvement of Head Start parents in
the education and development of their children upon transition to
school, grantee and delegate agencies must:
(i) Provide education and training to parents to prepare them to
exercise their rights and responsibilities concerning the education of
their children in the school setting; and
(ii) Assist parents to communicate with teachers and other school
personnel so that parents can participate in decisions related to their
children's education.
(4) See 45 CFR 1304.41(c) for additional standards related to
children's transition to and from Early Head Start or Head Start.
(i) Parent involvement in home visits. (1) For center-based
programs, grantee and delegate agencies must not require that parents
permit home visits as a condition of the child's participation in Early
Head Start or Head Start. However, every effort must be made to explain
the advantages of home visits to the parents.
(2) In center-based programs, the child's teacher or staff
caregiver must conduct no less than two home visits per year to the
home of each enrolled child, unless the parents expressly forbid such
visits, in accordance with the requirements of 45 CFR 1306.32(b)(8).
(3) Grantee and delegate agencies must schedule home visits
whenever possible to permit the participation of both the enrolled
child and the parents and at times that are most convenient for the
parents or primary caregivers.
(4) In cases where parents whose children are enrolled in the
center-based program option ask that the home visits be conducted
outside the home, or in cases where a visit to the home presents
significant safety hazards for staff, the home visit may take place at
an Early Head Start or Head Start site or at another safe location that
affords privacy.
(5) In addition, grantee and delegate agencies operating home-based
program options must meet the requirements of 45 CFR 1306.33(a)(1)
regarding home visits.
(6) Grantee and delegate agencies serving infants and toddlers must
arrange for health staff to visit each newborn within two weeks after
the infant's birth to ensure the well-being of both the mother and the
child.
Sec. 1304.41 Community partnerships.
(a) Partnerships. (1) Grantee and delegate agencies must take an
active role in community planning to encourage strong communication,
cooperation, and the sharing of information among grantees and their
community partners and to improve the delivery of community services to
children and families. (See 45 CFR 1304.51 for additional planning
requirements.)
(2) Grantee and delegate agencies must take affirmative steps to
establish ongoing collaborative relationships with community
organizations, to promote the access of children and families to
community services that are responsive to their needs, and to ensure
that the Early Head Start and Head Start programs respond to community
needs, including:
(i) Health providers, such as clinics, doctors, dentists, and other
health professionals;
(ii) Mental health providers;
(iii) Nutritional service providers;
(iv) Individuals and agencies that provide services to children
with disabilities and their families. (See 45 CFR 1308.4 for specific
service requirements);
(v) Family preservation and support services;
(vi) Child protective services and any other agency to which child
abuse must be reported under State law;
(vii) Local elementary schools and other educational and cultural
institutions, such as libraries and museums, for both children and
families;
(viii) Providers of child care services; and
(ix) And any other organizations that may provide support and
resources to families.
(3) Grantee and delegate agencies must perform outreach to
encourage volunteers from the community to participate in the Early
Head Start and Head Start programs.
(4) To enable the effective participation of children with
[[Page 17784]]
disabilities and their families, grantee and delegate agencies must
make specific efforts to develop interagency agreements with local
education agencies (LEAs) and other agencies within the grantee's
service area. (See 45 CFR 1308.4 (l) for specific requirements
concerning interagency agreements.)
(b) Advisory committees. Each grantee directly operating an Early
Head Start or Head Start program, and each delegate agency, must
establish and maintain a Health Services Advisory Committee which
includes professionals and volunteers from the community. Grantee and
delegate agencies also must establish and maintain such other service
Advisory Committees as they deem appropriate to address program service
issues such as community partnerships and to help agencies respond to
community needs.
(c) Transition services. (1) Grantee and delegate agencies must
establish and maintain procedures to support successful transitions for
enrolled children and families from previous child care programs into
Early Head Start or Head Start and from Head Start into elementary
school, Title I Improving America's Schools Act preschool programs, or
other child care settings. These procedures must include:
(i) Coordinating with the schools or other agencies to ensure that
individual Early Head Start or Head Start children's relevant records
are transferred to the school or next placement in which a child will
enroll or from earlier placements to Early Head Start or Head Start;
(ii) Outreach to encourage communication between Early Head Start
or Head Start staff and their counterparts in the schools and other
child care settings including principals, teachers, social workers and
health staff to facilitate continuity of programming;
(iii) Initiating meetings involving Head Start teachers and parents
and kindergarten or elementary school teachers to discuss the
developmental progress and abilities of individual children; and
(iv) Initiating joint transition-related training of Early Head
Start or Head Start staff and school or other child development staff.
(2) See 45 CFR 1304.40(h) for additional requirements related to
parental participation in their child's transition to and from Early
Head Start or Head Start.
Subpart D--Program Design and Management
Sec. 1304.50 Program governance.
(a) Policy group structure. (1) Grantee and delegate agencies must
establish and maintain a formal structure of governance through which
parents can participate in policy making and in the operation of the
program. This structure must consist of the following policy groups, as
appropriate:
(i) Policy Council. This Council must be established at the grantee
level.
(ii) Policy Committee. This Committee must be established at the
delegate agency level when the program is administered in whole or in
part by such agencies.
(iii) Parent Committee. For center-based programs, this committee
must be established at the center level. For other program options, an
equivalent committee must be established at the local program level.
(2) All policy groups must be established as early in the program
year as possible and grantee Policy Councils and delegate agency Policy
Committees may not be dissolved until successor Councils or Committees
are elected and seated.
(3) When a grantee has delegated the entire Head Start program to
one delegate agency, it is not necessary to have a Policy Council in
addition to a delegate agency Policy Committee. Instead, the Policy
Council must represent both the grantee and the delegate agency.
(4) The governing body (the group with legal and fiscal
responsibility for administering the Head Start program) and the Policy
Council or Policy Committee must not have identical memberships and
functions.
(b) Policy group composition and formation. (1) Each grantee and
delegate agency governing body operating an Early Head Start or Head
Start program must (except where such authority is ceded to the Policy
Council or Policy Committee) propose, within the framework of the
regulations in this part, the total size of their respective policy
groups (based on the number of centers, classrooms, and children served
by their Early Head Start or Head Start program), the procedures for
the election of parent members, and the procedure for the selection of
community representatives. These proposals must be approved by the
Policy Council or Committee.
(2) Policy Councils and Policy Committees must be comprised of two
types of representatives: parents of currently enrolled children and
community representatives. At least 51 percent of the members of these
policy groups must be the parents of currently enrolled children.
(3) All parents of currently enrolled children serving on policy
groups must stand for election or re-election annually.
(4) Community representatives must be drawn from the local
community and from local public or private community, civic, and
professional organizations that have a concern for and provide
resources and services to low-income children and families. Community
representatives may include the parents of formerly enrolled children.
(5) Policy Councils and Policy Committees may limit the number of
terms any individual may serve on either body.
(6) Early Head Start or Head Start staff members and grantee and
delegate agency managers with responsibility for the Early Head Start
or Head Start program (or members of their families) may not serve on
Policy Councils or Policy Committees.
(7) Parent Committees must be comprised exclusively of parents of
children currently enrolled at the center level (for center-based
programs) or at the equivalent level (for other program options).
(8) Parents of children currently enrolled in all program options
must be adequately represented on established policy groups.
(c) Policy group responsibilities--general. Policy groups must be
charged with the minimum responsibilities described in paragraphs (d)
and (e) of this section and repeated in Appendix A of this section.
(d) The policy council or policy committee. (1) Policy Councils and
Policy Committees must help to develop, review, and approve or
disapprove the following policies and procedures:
(i) Applications and amendments to applications for Early Head
Start and Head Start funding, including indirect cost rates, program
budgets, and operational plans, prior to the submission of such
applications to the grantee (in the case of Policy Committees) or to
HHS (in the case of Policy Councils);
(ii) Procedures describing how the governing body and the
appropriate policy group will implement shared decision-making;
(iii) Procedures for program planning in accordance with this part
and the requirements of 45 CFR part 1305 (this paragraph (d)(1)(iii) is
binding on Policy Councils exclusively);
[[Page 17785]]
(iv) The agency's program philosophy and long- and short-range
program objectives;
(v) The selection of delegate agencies and their service areas
(this paragraph (d)(1)(v) is binding on Policy Councils exclusively);
(vi) The composition of the Policy Council or the Policy Committee
and the procedures by which policy group members are chosen;
(vii) Criteria for defining recruitment, selection, and enrollment
priorities, in accordance with the requirements of 45 CFR part 1305;
(viii) Procedures for the annual self-assessment of the grantee or
delegate agency's progress in carrying out the programmatic and fiscal
intent of its grant application, including any planning actions that
may result from the review of the annual audit and the Federal
performance monitoring review;
(ix) Program personnel policies and subsequent changes to those
policies, in accordance with 45 CFR 1301.31(a), including standards of
conduct for program staff, consultants, and volunteers; and
(x) Decisions to hire and terminate any person paid from Early Head
Start or Head Start funds, including the Early Head Start or Head Start
director.
(2) In addition, Policy Councils and Policy Committees must perform
the following functions directly:
(i) Serve as a link to the Parent Committees, grantee and delegate
agency governing bodies, public and private organizations, and the
communities they serve;
(ii) Assist Parent Committees in communicating with parents
enrolled in all program options to ensure that they understand their
rights and opportunities in Early Head Start and Head Start and to
encourage their participation in the program;
(iii) Assist Parent Committees in planning, coordinating, and
organizing program activities for parents with the assistance of staff,
and ensuring that funds set aside from program budgets are used to
support parent activities;
(iv) Assist in recruiting volunteer services from parents,
community residents, and community organizations, and assist in the
mobilization of community resources to meet identified needs; and
(v) Establish and maintain procedures for hearing and working with
the grantee or delegate agency to resolve community complaints about
the program.
(e) Parent committee. The Parent Committee shall carry out at least
the following minimum responsibilities:
(1) Advise staff in developing and implementing local program
policies, activities, and services;
(2) Plan, conduct, and participate in informal as well as formal
programs and activities for parents and staff; and
(3) Within the guidelines established by the Governing Board,
Policy Council, or Policy Committee, participate in the recruitment and
screening of Early Head Start and Head Start employees.
(f) Policy group reimbursement. Grantee and delegate agencies must
enable low-income policy group members to participate fully in their
policy group responsibilities by providing, if necessary,
reimbursements for reasonable expenses incurred by the members in
fulfillment of their responsibilities.
(g) Governing body responsibilities. Grantee and delegate agencies
must have written policies that define the roles and responsibilities
of the governing body members and that inform them of the management
procedures and functions necessary to implement a high quality program.
(h) Internal dispute resolution. Each grantee and delegate agency
and Policy Council or Policy Committee jointly must establish written
procedures for resolving internal disputes, including impasse
procedures, among the governing body, policy groups, the Early Head
Start or Head Start director and executive director of the agency, and
staff.
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Sec. 1304.51 Management systems and procedures.
(a) Program planning. (1) Grantee and delegate agencies must
develop and implement a systematic, ongoing process of program planning
that includes consultation with the program's governing body, policy
groups, and program staff, and with other community organizations that
serve Early Head Start and Head Start or other low-income families with
young children. Program planning must include:
(i) An assessment of community strengths, needs and resources
through completion of the Community Needs Assessment, in accordance
with the requirements of 45 CFR part 1305;
(ii) The formulation of both multi-year (``long-range'') program
goals and short-term program and financial objectives that address the
findings of the Community Needs Assessment, are consistent with the
philosophy of Early Head Start and Head Start, and reflect the findings
of the program's annual self-assessment; and
(iii) The development of written plans for implementing services in
each of the program areas covered by this part (e.g., Early Childhood
Development and Health Services, Family and Community Partnerships, and
Program Design and Management).
(2) All program plans, and progress in meeting them, must be
reviewed by the grantee or delegate agency staff and reviewed and
approved by the Policy Council or Policy Committee at least annually,
and must be revised and updated as needed.
(b) Communications--general. Grantee and delegate agencies must
establish and implement systems to ensure that timely and accurate
information is provided to parents, policy groups, staff, and the
general community.
(c) Communication with families. (1) Grantee and delegate agencies
must ensure that effective two-way comprehensive communications between
staff and parents are carried out on a regular basis throughout the
program year.
(2) Communication with parents must be carried out in the parents'
primary language or through an interpreter, to the extent feasible.
(d) Communication with governing bodies and policy groups. Grantee
and delegate agency communication systems must ensure that the
following information is provided regularly to the grantee and delegate
governing bodies and to members of the policy groups:
(1) Procedures and timetables for program planning;
(2) Policies, guidelines, and other communications from HHS;
(3) Program and financial reports; and
(4) Program plans, policies, procedures, and Early Head Start and
Head Start grant applications.
(e) Communication among staff. Programs must have mechanisms for
regular communication among all program staff to facilitate quality
outcomes for children and families.
(f) Communication with delegate agencies. Grantees must have a
procedure for ensuring that delegate agency governing bodies, Policy
Committees, and all staff receive all regulations, policies, and other
pertinent communications in a timely manner.
(g) Record-keeping systems. Grantee and delegate agencies must
establish and maintain efficient and effective record-keeping systems
to provide accurate and timely information regarding children,
families, and staff.
(h) Reporting systems. Grantee and delegate agencies must establish
and maintain efficient and effective reporting systems that:
(1) Generate periodic reports of financial status and program
operations in order to control program quality, maintain program
accountability, and advise governing bodies, policy groups, and staff
of program progress; and
(2) Generate official reports for Federal, State, and local
authorities, as required by applicable law.
(i) Program self-assessment and monitoring. (1) At least once each
program year, and with the consultation and participation of the policy
groups, grantee and delegate agencies must conduct a self-assessment of
their effectiveness and progress in meeting program goals and
objectives in consultation with other community agencies.
(2) Grantees must establish and implement procedures for the
periodic monitoring of the Early Head Start and Head Start operations
of each of its delegate agencies and their compliance with Federal
regulations.
(3) Grantees must inform delegate agency governing bodies of any
deficiencies in delegate agency operations identified in the monitoring
review and must help them develop plans, including timetables, for
addressing identified problems.
Sec. 1304.52 Human resources management.
(a) Organizational structure. (1) Grantee and delegate agencies
must establish and maintain an organizational structure that supports
the accomplishment of program objectives. This structure must address
the major roles and responsibilities assigned to each staff position
and must provide evidence of adequate mechanisms for staff supervision
and support.
(2) At a minimum, grantee and delegate agencies must ensure that
the following program management roles are formally assigned to and
adopted by staff within the program:
(i) Program management (the Early Head Start or Head Start
director);
(ii) Management of early childhood development and health services,
including child development and education; child medical, dental, and
mental health; child nutrition; and, services for children with
disabilities; and
(iii) Management of family and community partnerships, including
parent activities.
(b) Staff qualifications--general. (1) Grantee and delegate
agencies must ensure that staff have the knowledge, skills, and
experience they need to perform their assigned roles and functions
responsibly.
(2) In addition, grantee and delegate agencies must ensure that
only candidates with the qualifications specified in this Part and in
45 CFR 1306.21 are hired for the following positions:
(i) Managers, supervisors, and fiscal officer;
(ii) Classroom teachers;
(iii)Infant and toddler staff caregivers;
(iv) Home visitors;
(v) Health staff;
(vi) Mental health professionals; and
(vii) Nutritionists or dieticians.
(3) Current and former Head Start parents must receive preference
for employment vacancies if they are well qualified.
(4) Staff and program consultants must be familiar with the ethnic
background and heritage of families in the program and must be able to
serve and effectively communicate, to the extent feasible, with
children and families with no or limited English proficiency .
(c) Management staff qualifications. (1) The Early Head Start or
Head Start director must have training and experience relevant to early
childhood or human services program management.
(2) Grantee and delegate agencies must secure the regularly
scheduled or ongoing services of a qualified fiscal officer with
Certified Public Accountant (CPA) or other appropriate credentials.
(3) In addition to meeting the minimum qualifications for classroom
teachers, as specified in section 648A of the Head Start Act staff
managing education services must have training
[[Page 17789]]
and experience in areas that include: the theories and principles of
child growth and development, early childhood education, and family
support.
(4) Health services must be managed by staff with training and
experience in public health, nursing, health education, prenatal and
postpartum care, or health administration.
(5) Nutrition services must be managed by a certified or licensed,
full-time staff nutritionist or dietician. Alternatively, nutrition
services must be supervised on a regularly scheduled basis by such a
qualified nutritionist or dietitian.
(6) Family and community partnership services must be managed by
staff with training and experience in field(s) related to social,
human, or family services.
(7) Parent involvement services must be managed by staff with
training, experience, and skills in assisting the parents of young
children in advocating and decision-making for their families.
(8) Disability services must be managed by staff with training and
experience in securing and individualizing needed services for children
with disabilities.
(d) Mental health professional qualifications. A licensed or
certified mental health professional with experience and expertise in
serving young children and their families must provide services to the
Early Head Start and Head Start programs on a regularly scheduled
basis.
(e) Health staff qualifications. To the extent that health staff
are performing health screenings, immunizations, or other health
procedures for children, they must have appropriate professional
licenses or certification to perform those procedures.
(f) Infant and toddler staff qualifications. Staff working with
infants and toddlers must have the training and experience necessary to
develop consistent, stable, and supportive relationships with very
young children. Head Start programs must comply with section 648A of
the Head Start Act and any subsequent amendments regarding the
qualifications of caregivers. The training must develop knowledge of
infant and toddler development, safety issues in infant and toddler
care (e.g., reducing the risk of Sudden Infant Death Syndrome), and
methods for communicating effectively with infants and toddlers, their
parents, and other staff members.
(g) Standards of conduct. (1) Grantee and delegate agencies must
ensure that all staff, consultants, and volunteers abide by the
program's standards of conduct. These standards must specify that:
(i) They will respect and promote the unique identity of each child
and family and refrain from stereotyping on the basis of gender, race,
ethnicity, culture, religion, or disability;
(ii) They will follow program confidentiality policies concerning
information about children, families, and other staff members;
(iii) No child will be left alone or unsupervised while under their
care; and
(iv) They will use positive methods of child guidance and will not
engage in corporal punishment, emotional or physical abuse, or
humiliation. In addition, they will not employ methods of discipline
that involve isolation, the use of food as punishment or reward, or the
denial of basic needs.
(2) Grantee and delegate agencies must ensure that all employees
engaged in the award and administration of contracts or other financial
awards sign statements that they will not solicit or accept personal
gratuities, favors, or anything of significant monetary value from
contractors or potential contractors.
(3) Personnel policies and procedures must include provision for
appropriate penalties for violating the standards of conduct.
(h) Staff performance appraisals. Grantee and delegate agencies
must perform annual performance reviews of each Head Start staff member
and use the results of these reviews to identify staff training and
professional development needs, modify staff performance agreements, as
necessary, and assist each staff member in improving his or her skills
and professional competencies.
(i) Staff and volunteer health. (1) Grantee and delegate agencies
must assure that each staff member has an initial health examination
and a periodic re-examination (as recommended by their health care
provider or as mandated by State or local laws) so as to assure that
they do not, because of communicable diseases, pose a significant risk
to the health or safety of others in the Head Start program that cannot
be eliminated or reduced by reasonable accommodation. This requirement
must be implemented consistent with the requirements of the Americans
with Disabilities Act and Section 504 of the Rehabilitation Act.
(2) Volunteers must be screened for tuberculosis before beginning
service that involves contact with children.
(3) Grantee and delegate agencies must assist staff with mental
health and wellness concerns that may affect their job performance.
(j) Staffing patterns. (1) Grantee and delegate agencies must meet
the requirements of 45 CFR 1306.20 regarding program staffing patterns.
(2) When a majority of children speak the same language, at least
one teacher or paid aide interacting regularly with the children must
speak their language.
(3) For center-based programs, the class size requirements
specified in 45 CFR 1306.32 must be maintained through the provision of
substitutes when regular classroom staff are absent.
(4) Grantee and delegate agencies must ensure that each staff
caregiver working exclusively with infants and toddlers has
responsibility for no more than four infants and toddlers and that no
more than eight infants and toddlers are placed in any one room.
(5) Grantees and delegate agencies serving infants and toddlers as
well as preschoolers must ensure that each staff member has
responsibility for no more than six children, of which no more than two
may be infants or toddlers.
(6) Staff must supervise the outdoor and indoor play areas in such
a way that children's safety can be easily monitored and ensured.
(k) Training and development. (1) Grantee and delegate agencies
must provide an orientation to all new staff, consultants, and
volunteers that includes, at a minimum, the goals and underlying
philosophy of Early Head Start and/or Head Start and the ways in which
they are implemented by the program.
(2) Grantee and delegate agencies must establish and implement a
structured approach to staff training and development, attaching
academic credit whenever possible, for staff and volunteers. This
system should be designed to help build relationships among staff and
to assist staff in acquiring or increasing the knowledge and skills
needed to fulfill their job responsibilities, in accordance with the
requirements of 45 CFR 1306.23.
(3) At a minimum, this system must include an ongoing education
program for relevant staff and volunteers which include, among other
things,:
(i) Methods for identifying and reporting child abuse and neglect
that comply with applicable State and local laws using so far as
possible, a helpful, rather than a punitive attitude toward abusing or
neglecting parents and other care takers; and
(ii) Methods for planning for successful child and family
transitions to and from the Early Head Start or Head Start program.
[[Page 17790]]
(4) Grantee and delegate agencies must provide training to Early
Head Start and Head Start governing body members and to Head Start
Policy Council and Policy Committee members to enable them to carry out
their program governance responsibilities effectively.
Sec. 1304.53 Facilities, materials, and equipment.
(a) Head Start physical environment and facilities. (1) Grantee and
delegate agencies operating center-based programs must provide a
physical environment and facilities conducive to learning and
reflective of the different stages of development of each child.
Grantee and delegate agencies must strive to achieve this environment
in settings for other program options as well.
(2) Grantee and delegate agencies must provide appropriate center
space for the conduct of all program activities. (See 45 CFR 1308.4 for
specific access requirements for children with disabilities.)
(3) The center space provided by grantees and delegate agencies
must be organized into functional areas that can be recognized by the
children and that allow for individual activities and social
interactions.
(4) The indoor and outdoor space in Early Head Start or Head Start
centers used by mobile infants and toddlers must be located away from
general walkways and from areas used by older children.
(5) Centers must have at least 35 square feet of usable indoor
space per child available for the care and use of children (i.e.,
exclusive of bathrooms, halls, kitchen, staff rooms, and storage
places) and at least 75 square feet of usable outdoor play space per
child.
(6) Facilities owned or operated by Early Head Start and Head Start
grantee or delegate agencies must meet the licensing requirements of 45
CFR 1306.30.
(7) Grantee and delegate agencies must provide for the maintenance,
repair, and security of all Early Head Start and Head Start facilities,
materials and equipment.
(8) Grantee and delegate agencies must provide a center-based
environment free of toxins, such as cigarette smoke, pesticides,
herbicides, and other air pollutants as well as soil and water
contaminants. Programs must ensure that no child is present when the
spraying of pesticides or herbicides is conducted.
(9) Outdoor play areas at center-based programs must be arranged so
as to prevent any child from leaving the premises and getting into
unsafe and unsupervised areas. Enroute to play areas, children must not
be exposed to vehicular traffic without supervision.
(10) Grantee and delegate agencies must conduct an annual safety
inspection to ensure that each facility's space, light, ventilation,
heat, and other physical arrangements are consistent with the health,
safety and developmental needs of children. At a minimum, agencies must
ensure that:
(i) In climates where such systems are necessary, there is a safe
and effective heating and cooling system that is insulated to protect
children and staff from potential burns;
(ii) No highly flammable furnishings, decorations, or materials
that emit highly toxic fumes when burned are used;
(iii) Flammable and other dangerous materials and potential poisons
are stored in locked cabinets or storage facilities separate from
stored medications and food and are accessible only to authorized
persons. All medications, including those required for staff and
volunteers, are labeled, stored under lock and key, refrigerated if
necessary, and kept out of the reach of children;
(iv) Rooms are well lit and provide emergency lighting in the case
of power failure;
(v) Approved, working fire extinguishers are readily available;
(vi) An appropriate number of smoke detectors are installed and
tested regularly;
(vii) Exits are clearly visible and evacuation routes are clearly
marked and posted so that the path to safety outside is unmistakable.
(See 45 CFR 1304.22 for additional emergency procedures);
(viii) Indoor and outdoor premises are cleaned daily and kept free
of undesirable and hazardous materials and conditions;
(ix) Paint coatings on both interior and exterior premises used for
the care of children do not contain hazardous quantities of lead;
(x) Electrical outlets accessible to children prevent shock through
the use of child-resistant covers, the installation of child-protection
outlets, or the use of safety plugs;
(xi) Windows and glass doors are constructed, adapted, or adjusted
to prevent injury to children;
(xii) Only sources of water approved by the local or State health
authority are used;
(xiii) Toilets and handwashing facilities are adequate, clean, in
good repair, and easily reached by children. Toileting and diapering
areas must be separated from areas used for cooking, eating, or
children's activities;
(xiv) Toilet training equipment is provided for children being
toilet trained;
(xv) All sewage and liquid waste is disposed of through a locally
approved sewer system, and garbage and trash are is stored in a safe
and sanitary manner; and
(xvi) Adequate provisions are made for children with disabilities
to ensure their safety, comfort, and participation.
(b) Head Start equipment, toys, materials, and furniture. (1)
Grantee and delegate agencies must provide and arrange sufficient
equipment, toys, materials, and furniture to meet the needs and
facilitate the participation of children and adults. Equipment, toys,
materials, and furniture owned or operated by the grantee or delegate
agency must be:
(i) Supportive of the specific educational objectives of the local
program;
(ii) Supportive of the cultural and ethnic backgrounds of the
children;
(iii) Age-appropriate and supportive of the abilities and
developmental needs of each child served, with special consideration
for the needs of children with disabilities;
(iv) Accessible, attractive, and inviting to children;
(v) Designed to provide a variety of learning experiences and to
encourage each child to experiment and explore; and
(vi) Stored in a safe and orderly fashion when not in use.
(2) Infant and toddler toys must be made of non-toxic materials
that can be sanitized.
(3) To reduce the risk of Sudden Infant Death Syndrome (SIDS), all
sleeping arrangements for infants must use firm mattresses and avoid
soft bedding materials such as comforters, pillows, fluffy blankets or
stuffed toys.
Subpart E--Implementation and Enforcement
Sec. 1304.60 Compliance.
(a) Head Start grantee and delegate agencies funded for indefinite
project periods must comply with the requirements of this part in
accordance with the effective dates set forth in 45 CFR 1304.2.
(b) If the responsible HHS official, as a result of information
obtained from a review of a Head Start program, determines a program to
have one or more deficiencies, he or she must notify the grantee
promptly in writing of the finding, identifying the deficiencies which
constitute a violation of the
[[Page 17791]]
minimum requirements, and informing the grantee that it must correct
them either immediately, effective on a specified date or pursuant to
an approved Quality Improvement Plan.
(c) If the responsible HHS official, as a result of information
obtained on the basis of a review of a Head Start program, determines a
program to be out of compliance with the Program Performance Standards,
other requirements of the Head Start regulations, the Act or the terms
and conditions of the grant and further determines that those areas of
non-compliance are not, judged individually or in the aggregate, of the
scope and magnitude that constitute a program deficiency, he or she
must notify the grantee promptly in writing of those areas of non-
compliance and inform the grantee that it has the period stated in the
notice, not to exceed 90 days, to come into compliance.
(d) The Head Start program must certify to the responsible HHS
official at such time that it has remedied the specified areas of non-
compliance, providing whatever documentation is requested by the
responsible HHS official to confirm such compliance.
(e) If the Head Start program cannot satisfactorily document that
it has remedied the specified areas of non-compliance, the non-
compliance will then constitute a deficiency; and the responsible HHS
official shall require the grantee to correct the areas of non-
compliance either immediately, effective on a specific date, or
pursuant to an approved Quality Improvement plan. The Head Start
program shall have no more than one year under a Quality Improvement
plan from the date of the initial notification of the existence of the
areas of deficiency to remedy the deficiency.
Sec. 1304.61 Quality improvement plan.
(a) Upon being designated as a program with one or more
deficiencies to be corrected pursuant to a Quality Improvement Plan,
the Head Start program must submit to the responsible HHS official a
Quality Improvement plan which specifies the actions that the grantee
will take, within a specified period of time, to remedy the
deficiencies identified under Sec. 1304.60.
(b) The responsible HHS official, within 30 days of receipt of the
Quality Improvement Plan, will inform the program, in writing, of the
plan's approval or specify the reasons that the plan is disapproved.
(c) If the Quality Improvement Plan is disapproved, the Head Start
grantee must submit a revised Quality Improvement Plan, making the
changes necessary to address the reasons that the initial plan was
disapproved.
(d) The Quality Improvement Plan must indicate the time frames in
which the grantee will remedy its deficiencies; in no case can this
period of time exceed 12 months from the time the grantee is notified
of its deficiencies.
(e) At such time as has been specified in the approved Quality
Improvement Plan for the correction of all deficiencies, or after such
date fixed for immediate resolution in a letter, if the identified
deficiencies have not been corrected, the responsible HHS official will
issue a letter of termination or denial of refunding under 45 CFR part
1303.
PART 1301--HEAD START GRANTS ADMINISTRATION
2. The authority citation for Part 1301 is revised to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
3. Section 1301.31 is revised to read as follows:
Sec. 1301.31 Personnel policies.
(a) Written policies. Grantees and delegate agencies must establish
and implement written personnel policies for staff, consultants, and
volunteers that are approved by the Policy Council and that are made
available to all grantee and delegate agencies. At a minimum, such
policies must include:
(1) Descriptions of each staff, consultant, and volunteer position,
addressing, as appropriate, roles and responsibilities, relevant
qualifications, salary, and employee benefits. (See 45 CFR 1304.52(b),
Staff qualifications.)
(2) A description of the procedures for recruitment, selection and
termination. (See paragraph (b) of this Section, Staff recruitment and
selection procedures.)
(3) Standards of conduct. (See 45 CFR 1304.52(g), Standards of
conduct.)
(4) Descriptions of methods for providing staff and volunteers with
opportunities for training, development, and advancement. (See 45 CFR
1304.52(k), Training and development.)
(5) A description of the procedures for conducting staff
performance appraisals. (See 45 CFR 1304.52 (h), Staff performance
appraisals.)
(6) Assurances that the program is an equal opportunity employer
and does not discriminate on the basis of gender, race, ethnicity,
religion or disability; and
(7) A description of employee-management relation procedures,
including those for managing employee grievances and adverse actions.
(b) Staff recruitment and selection procedures. (1) Before an
employee is hired, grantee or delegate agencies must conduct:
(i) An interview with the applicant;
(ii) A verification of personal and employment references; and
(iii) A State or national criminal record check, as required by
State law or administrative requirement.
(2) Grantee and delegate agencies must require that all current and
prospective employees and volunteers sign a declaration prior to
employment or volunteer work that lists:
(i) All pending and prior criminal arrests and charges related to
child sexual abuse and their disposition;
(ii) Convictions related to other forms of child abuse and neglect;
and
(iii) All convictions of violent felonies.
(3) Grantee and delegate agencies must review each application for
employment individually in order to assess the relevancy of an arrest,
a pending criminal charge, or a conviction.
(4) Grantee and delegate agencies must perform outreach to
encourage individuals from the community to participate as volunteers
in the Head Start program.
(c) Declaration exclusions. The declaration required by paragraph
(b)(2) of this section may exclude:
(1) Traffic fines of $200.00 or less;
(2) Any offense, other than any offense related to child abuse and/
or child sexual abuse or violent felonies, committed before the
prospective employee's 18th birthday which was finally adjudicated in a
juvenile court or under a youth offender law;
(3) Any conviction the record of which has been expunged under
Federal or State law; and
(4) Any conviction set aside under the Federal Youth Corrections
Act or similar State authority.
(d) Probationary period. The policies governing the recruitment and
selection of staff must provide for a probationary period for all new
employees that allows time to monitor employee performance and to
examine and act on the results of the criminal record checks discussed
in paragraph (b) (1) of this section.
(e) Reporting child abuse or sexual abuse. Grantee and delegate
agencies must develop a plan for responding to suspected or known child
abuse or sexual abuse as defined in 45 CFR 1340.2(d) whether it occurs
inside or outside of the program.
(Approved by the Office of Management and Budget under control
number 0980-0173)
[[Page 17792]]
PART 1303--APPEAL PROCEDURES FOR HEAD START GRANTEES AND CURRENT OR
PROSPECTIVE DELEGATE AGENCIES
3. The authority citation for Part 1303 continues to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
4. Section 1303.14 is amended by revising paragraph (b)
introductory text and paragraph (b)(4) to read as follows:
Sec. 1303.14 Appeal by a grantee from a termination of financial
assistance.
* * * * *
(b) Financial assistance may be terminated for any or all of the
following reasons:
* * * * *
(4) The grantee has in existence one or more deficiencies as
defined in 45 CFR part 1304;
* * * * *
5. Section 1303.15 is amended by revising paragraph (c) to read as
follows:
Sec. 1303.15 Appeal by a grantee from a denial of refunding.
* * * * *
(c) Refunding of a grant may be denied for existence of one or more
deficiencies as defined in 45 CFR part 1304.
PART 1305--ELIGIBILITY, RECRUITMENT, SELECTION, ENROLLMENT AND
ATTENDANCE IN HEAD START
6. The authority citation for Part 1305 continues to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
7. Section 1305.1 is amended by adding a sentence at the end to
read as follows:
Sec. 1305.1 Purpose and scope.
* * * * *
These requirements are to be used in conjunction with the Head
Start Program Performance Standards at 45 CFR part 1304, as applicable.
PART 1306--HEAD START STAFFING REQUIREMENTS AND PROGRAM OPTIONS
8. The authority citation for Part 1306 is revised to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
9. Section 1306.1 is revised to read as follows:
Sec. 1306.1 Purpose and scope.
This part sets forth requirements for Head Start program staffing
and program options that all Head Start grantees, with the exception of
Parent Child Center programs must meet. The exception for Parent Child
Centers is for fiscal years 1995, 1996, and 1997 as consistent with
section 645A(e)(2) of the Head Start Act, as amended. These
requirements including those pertaining to staffing patterns, the
choice of the program options to be implemented and the acceptable
ranges in the implementation of those options, have been developed to
help maintain and improve the quality of Head Start and to help promote
lasting benefits to the children and families being served. These
requirements are to be used in conjunction with the Head Start Program
Performance Standards at 45 CFR part 1304, as applicable.
10. Section 1306.20 is amended by redesignating paragraphs (a)
through (e) as (b) through (f) and adding a new paragraph (a) to read
as follows:
Sec. 1306.20 Program staffing patterns.
(a) Grantees must meet the requirements of 45 CFR 1304.52 (j),
Staffing patterns, in addition to the requirements of this section.
* * * * *
11. Section 1306.21 is revised to read as follows:
Sec. 1306.21 Staff qualification requirements.
Head Start programs must comply with section 648A of the Head Start
Act and any subsequent amendments, regarding the qualifications of
classroom teachers.
12. Section 1306.30 is amended by revising paragraph (c) to read as
follows:
Sec. 1306.30 Provisions of comprehensive child development services.
* * * * *
(c) The facilities used by Head Start grantees for regularly
scheduled center-based and combination program option classroom
activities or home-based group socialization activities must comply
with State and local requirements concerning licensing. In cases where
these licensing standards are less comprehensive or less stringent than
the Head Start regulations, or where no State or local licensing
standards are applicable, grantee and delegate agencies are, at a
minimum, required to assure that their facilities are in compliance
with the Head Start Program Performance Standards related to the safety
of facilities found in 45 CFR 1304.53(a), Physical environment and
facilities.
* * * * *
13. Section 1306.33 is amended by revising paragraph (c)(3) to read
as follows:
Sec. 1306.33 Home-based program option.
* * * * *
(c) * * *
(3) Grantees must follow the nutrition requirements specified in 45
CFR 1304.23(b)(2) and provide appropriate snacks and meals to the
children during group socialization activities.
PART 1308--HEAD START PROGRAM PERFORMANCE STANDARDS ON SERVICES FOR
CHILDREN WITH DISABILITIES
14. The authority citation for Part 1308 continues to read as
follows:
Authority: 42 U.S.C. 9801 et seq.
15. Section 1308.6 is amended by revising paragraph (b)(1) to read
as follows:
Sec. 1308.6 Assessment of children.
* * * * *
(b) * * *
(1) Grantees must provide for health and developmental assessments
of all Head Start children in accordance with the requirements of 45
CFR 1304.20. This does not preclude starting assessment in the spring,
before program services begin in the fall.
* * * * *
[FR Doc. 96-9358 Filed 4-19-96; 8:45 am]
BILLING CODE 4184-01-P
