[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]]


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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

[[Page 17755]]

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

[[Page 17756]]

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.

[[Page 17759]]

    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

[[Page 17760]]

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

[[Page 17762]]

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

[[Page 17765]]

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

[[Page 17766]]

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

[[Page 17767]]

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

[[Page 17769]]

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