[Federal Register Volume 80, Number 118 (Friday, June 19, 2015)]
[Proposed Rules]
[Pages 35430-35564]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-14379]
[[Page 35429]]
Vol. 80
Friday,
No. 118
June 19, 2015
Part II
Department of Health and Human Services
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Administration for Children and Families
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45 CFR Chapter XIII, Subchapter B
Head Start Performance Standards; Proposed Rule
Federal Register / Vol. 80 , No. 118 / Friday, June 19, 2015 /
Proposed Rules
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Administration for Children and Families
45 CFR Chapter XIII, Subchapter B
RIN 0970-AC63
Head Start Performance Standards
AGENCY: Office of Head Start, Administration for Children and Families
(ACF), Department of Health and Human Services (HHS).
ACTION: Notice of proposed rulemaking.
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SUMMARY: This NPRM proposes to update Head Start program performance
standards, last revised in 1998, to meet Congress's requirements and
improve the quality of Head Start. In the Improving Head Start for
School Readiness Act of 2007, Congress instructed the Office of Head
Start to update its performance standards by regulation and ``ensure
that any such revisions in the standards [do] not result in the
elimination of or any reduction in quality, scope, or types of health,
educational, parental involvement, nutritional, social, or other
services.'' The proposed performance standards incorporate extensive
consultation with experts and findings from scientific research,
reflect best practices, lessons from program input and innovation,
integrate recommendations from the Secretary's Advisory Committee Final
Report on Head Start Research and Evaluation, and reflect this
Administration's deep commitment to improving the school readiness of
young children. The proposed program performance standards will improve
the quality of services, reduce bureaucratic burden on programs, and
improve regulatory clarity and transparency. They provide a clear road
map for current and prospective grantees to provide high quality Head
Start services and to strengthen the outcomes of the children and
families they serve.
DATES: Please submit comments on this NPRM by August 18, 2015.
ADDRESSES: Follow online instructions at www.regulations.gov to submit
comments. This approach is our preferred method for receiving comments.
Additionally, you may send comments via the United States Postal
Service to: Office of Head Start, Attention: Director of Policy and
Planning, 1250 Maryland Avenue SW., Washington, DC 20024.
To ensure we can effectively respond to your comment(s), clearly
identify the issue(s) on which you are commenting. Provide the page
number, identify the column, and cite the paragraph from the Federal
Register document, (i.e, On page 10999, second column, Sec.
1305.6(a)(1)(i) . . .). All comments received are a part of the public
record and will be posted for public viewing on www.regulations.gov,
without change. That means all personal identifying information (such
as name or address) will be publicly accessible. Please do not submit
confidential information, or otherwise sensitive or protected
information. We accept anonymous comments. If you wish to remain
anonymous, enter ``N/A'' in the required fields.
FOR FURTHER INFORMATION CONTACT: Colleen Rathgeb, Office of Head Start
Policy and Planning Division Director, (202) 358-3263,
[email protected].
SUPPLEMENTARY INFORMATION:
Table of Contents
I. Executive Summary
II. Tables
a. Table A: Redesignation
b. Table B: Distribution
III. Background
a. Statutory Authority
b. Expert and Stakeholder Consultation
c. Overview of Major Proposed Revisions to Head Start
Performance Standards
IV. Discussion of Proposed Rule
a. Program Governance
b. Program Operations
1. Subpart A Eligibility, Recruitment, Selection, Enrollment and
Attendance
2. Subpart B Program Structure
3. Subpart C Education and Child Development Program Services
4. Subpart D Health Program Services
5. Subpart E Family and Community Partnership Program Services
6. Subpart F Additional Services for Children With Disabilities
7. Subpart G Transition Services
8. Subpart H Services to Enrolled Pregnant Women
9. Subpart I Human Resource Management
10. Subpart J Program Management and Continuous Program
Improvement
c. Financial and Administrative Requirements
1. Subpart A Financial Requirements
2. Subpart B Administrative Requirements
3. Subpart C Protections for the Privacy of Child Records
4. Subpart D Delegation of Program Operations
5. Subpart E Facilities
d. Federal Administrative Procedures
1. Subpart A Suspension, Termination, Denial of Refunding,
Reduction in Funding and Their Appeals
2. Subpart B Designation Renewal
3. Subpart C Selection of Grantees Through Competition
4. Subpart D Replacement of American Indian/Alaska Native
Grantee
5. Subpart E Head Start Fellows Program
e. Definitions
f. Effective Dates
V. Regulatory Process Matters
a. Regulatory Flexibility Act
b. Regulatory Planning and Review Executive Order 12866
1. Need for Regulatory Action: Increasing the Benefits to
Society of Head Start.
2. Cost and Savings Analysis
i. Structural Program Option Provisions
ii. Educator Quality Provisions
iii. Curriculum and Assessment Provisions
iv. Administrative/Managerial Provisions
3. Regulatory Impact Analysis
i. Cost-Benefit Analysis
ii. Accounting Statement
4. Distributional Effects
5. Regulatory Alternatives
c. Unfunded Mandates Reform Act
d. Treasury and General Government Appropriations Act of 1999
e. Federalism Assessment Executive Order 13132
f. Congressional Review
g. Paperwork Reduction Act of 1995
I. Executive Summary
Head Start currently provides comprehensive early learning services
to nearly 1 million children from birth to age five each year through
nearly 50,000 classrooms, home-based programs, and family child care
partners nationwide. Since its inception in 1965, Head Start has been a
leader in helping children from low-income families reach kindergarten
more prepared to succeed in school and in life. Head Start is a central
part of this Administration's effort to ensure all children have access
to high quality early learning opportunities and to eliminate the
education achievement gap. This proposed regulation is needed to
improve the quality of Head Start services so that programs have a
stronger impact on children's learning and development. It also is
necessary to streamline and reorganize the regulatory structure to
improve regulatory clarity and transparency so that existing grantees
can more easily run a high quality Head Start program and so that Head
Start will be more approachable to prospective grantees. In addition,
this regulation is necessary to reduce the bureaucratic burden on local
programs that can interfere with high quality service delivery. Once
realized, we believe these regulatory changes will help ensure every
child and family in Head Start is receiving high quality services that
will lead to greater success in school and in life.
In 2007, Congress mandated Head Start revise the program
performance standards and update and raise the education standards.\1\
Congress also
[[Page 35431]]
prohibited elimination of, or any reduction in, the quality, scope, or
types of services in the revisions. Thus, these proposed regulatory
revisions are additionally intended to meet the statutory requirements
Congress put forth in the bipartisan reauthorization of Head Start in
2007.
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\1\ See http://beta.congress.gov/crec/2007/11/14/CREC-2007-11-14-pt1-PgS14375-2.pdf
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Head Start program performance standards are the foundation on
which programs design and deliver comprehensive, high quality
individualized services to support the school readiness of children
from low-income families. The first set of Head Start program
performance standards were published in the 1970s. Since then, they
have been revised following subsequent Congressional reauthorizations
and were last revised in 1998. The program performance standards set
forth the requirements local grantees must meet to support the
cognitive, social, emotional, and healthy development of children from
birth to age five. They encompass requirements to provide education,
health, mental health, nutrition, and family and community engagement
services, as well as rules for local program governance and aspects of
federal administration of the program.
This NPRM builds upon extensive consultation with researchers,
practitioners, recommendations from the Secretary's Advisory Committee
Final Report on Head Start Research and Evaluation \2\ and other
experts, as well as internal analysis of program data and years of
program input on the regulations. In addition, program monitoring has
also provided invaluable experience regarding the strengths and
weaknesses of the current regulations. Moreover, research and practice
in the field of early childhood education has expanded exponentially in
the 15 years since the regulations governing service delivery were last
revised, providing a multitude of new insights on how to support
improved child outcomes.
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\2\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
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The Secretary's Advisory Committee, which consisted of expert
researchers and practitioners chartered to ``provide recommendations
for improving Head Start program effectiveness'' concluded early
education programs, including Head Start, are capable of closing the
achievement gap by 20-50%, but that Head Start is not reaching its
potential. As part of their work, the Committee provided
recommendations for interpreting the results of both the Head Start
Impact Study (HSIS),\3\ a randomized control trial study of children in
Head Start in 2002-2003 through third grade, and the Early Head Start
Research and Evaluation Project (EHSREP),\4\ which was initiated in
1996 and followed children who were eligible to participate in Early
Head Start. The Committee concluded that these findings should be
interpreted in the context of the larger body of research that
demonstrates that Head Start and Early Head Start ``are improving
family well-being and improving school readiness of children at or
below the poverty line in the U.S. today.'' The Committee agreed that
the initial impact that both Head Start and Early Head Start have
demonstrated ``are in line with the magnitude of findings from other
scaled-up programs for infants and toddlers . . . \5\ and center-based
programs for preschoolers . . .'' \6\ but also acknowledged that
``larger impacts may be possible, e.g., by increasing dosage in EHS and
Head Start or improving instructional factors in Head Start.'' The
Committee also addressed the finding that these impacts do not seem to
persist into elementary school, stating that the larger body of
research on Head Start's impacts provides ``evidence of long-term
positive outcomes for those who participated in Head Start in terms of
high school completion, avoidance of problem behaviors, avoidance of
entry into the criminal justice system, too-early family formation,
avoidance of special education, and workforce attachment.'' Overall,
the report determined that a key factor for Head Start to realize its
potential is ``making quality and other improvements and optimizing
dosage within Head Start [and Early Head Start].'' The proposed rule
aims to capitalize on the advancements in research, available data,
program input, and these recommendations in order to accomplish the
critical goal of helping Head Start reach its full potential so that
more children reach kindergarten ready to succeed.
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\3\ Puma, M., Bell, S., Cook, R., Heid, C., Broene, P., Jenkins,
F., & Downer, J. (2012). Third grade follow-up to the Head Start
impact study final report. U.S. Department of Health and Human
Services Office of Planning, Research and Evaluation.
\4\ Cohen, R. C., Vogel, C. A., Xue, Y., Moiduddin, E. M.,
Carlson, B. L., Twin Peaks Partners, L. L. C., & Kisker, E. E.
(2010). Early Head Start Children in Grade 5: Long-Term Follow-Up of
the Early Head Start Research and Evaluation Project Study Sample.
Washington, DC: US Department of Health and Human Services,
Administration for Children and Families, Office of Planning,
Research, and Evaluation, (6933).
\5\ U.S. Department of Health and Human Services, Administration
for Children and Families. (2010). Office of Head Start Program
Information Report, 2009-2010. Washington, DC.
\6\ Vogel, C. A., Boller, K. A., Xue, Y., Blair, R., Aikens, N.,
Burwick, A., . . . Stein, J. (2011). Learning as we go: A first
snapshot of Early Head Start programs, staff, families and children.
Washington, DC: Office of Planning, Research and Evaluation,
Administration for Children and Families, U.S. Department of Health
and Human Services.
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This NPRM proposes numerous changes to strengthen program standards
so that all children and families receive high quality services that
will have a stronger impact on child development and outcomes and
family well-being. We propose to significantly update and restructure
the education and child development requirements to more effectively
promote high quality teaching practices and stronger curriculum
implementation to better support focus on the skill development and
growth needed for success in kindergarten and beyond. As recommended by
the Advisory Committee and mandated by statute, we propose to integrate
the Head Start Child Outcomes Framework with instructional practices,
curriculum, assessment, and research-based professional development.
The Secretary's Advisory Committee and a growing body of research find
that curriculum enhancements or curricula intensely focused on key
areas of skill development have a greater impact on child outcomes. We
neither propose nor prohibit specific curricula, but we do propose to
enhance curricula standards as recommended by the Secretary's Advisory
Committee and a growing body of research, and as required by the 2007
Head Start Act.
In addition, we propose to increase the positive impact of Head
Start by increasing minimum hours and days of operation for most
programs, which is aligned with recommendations from the Secretary's
Advisory Committee. Our proposal is consistent with the higher dosage
levels in many State pre-kindergarten programs that have shown strong
effects, and it is supported by a strong body of research that
demonstrates adequate exposure to learning opportunities is important
for children at-risk for academic difficulties to make necessary gains.
Research on the amount of time and type of activities needed to support
effective teaching and curriculum practices for children who are behind
also demonstrate the inadequacy of a half-day program. Children in Head
Start programs operating under the current minimum requirements receive
less than half the early learning services that many children receive
in State pre-kindergarten and would receive at our new proposed
minimums. Coupled with the proposed increases to education standards,
we believe increasing the dosage minimums is essential to Head
[[Page 35432]]
Start's effort to prepare children to succeed in school and beyond.
This proposal is also consistent with the President's FY2016 Budget,
which requests funding to ensure that children in Head Start are served
in full-day, full-year programs without compromising access to the
program.
We propose additional important changes to other areas of service
delivery. We propose requirements to update the prioritization criteria
for selection and recruitment, improve attendance, prohibit expulsion
for challenging behaviors, and ensure critical supports for children
and families experiencing homelessness and children in foster care. We
propose to update services to children with disabilities and their
families to ensure they receive the individualized services they need
within inclusive settings to be successful. In addition, we retain
family and community engagement as the foundations they have always
been in Head Start, but propose to improve family services by
integrating research-based practices, placing a stronger focus on
services to improve parenting skills that support child learning, and
providing greater local flexibility to help meet family needs.
Moreover, we propose to require programs to collect, aggregate, and
analyze data to achieve program performance goals and consistently work
to improve quality, a key recommendation offered by the Secretary's
Advisory Committee. Finally, we propose to address both Head Start and
Early Head Start simultaneously throughout this NPRM, which represents
a significant change from and improvement over the existing rule. The
current rule addresses Early Head Start in a more piecemeal fashion,
often making interpretation of the regulations unnecessarily complex.
This NPRM additionally proposes to entirely reorganize the body of
existing regulations in order to improve clarity and transparency to
make it easier for programs to implement and for the public to
understand the broad range of program services in Head Start. The
current program performance standards have over 1400 provisions
organized in 11 different sections that have been amended in a partial
or topical fashion over the past 40 years. This has resulted in a
somewhat opaque set of requirements that can be unnecessarily
challenging to interpret and that overburdens current grantees with
process-laden rules. We propose four distinct sections: (1) Program
Governance, which outlines the requirements imposed by the Act on
Governing Bodies and Policy Councils to ensure well-governed Head Start
programs; (2) Program Operations, which outlines all of the operational
requirements for serving children and families, from the universe of
eligible children and the services they must be provided in education,
health, and family and community engagement, to the way programs must
use data to improve the services they provide; and (3) Financial and
Administrative Requirements, which lay out the federal requirements
that Head Start programs must adhere to because of overarching federal
requirements or specific provisions imposed in the Head Start Act; and
(4) Federal Administrative Procedures, which govern the procedures the
responsible HHS official takes when determining the results of
competition for all grantees, determining any actions against a
grantee, and determining whether a grantee needs to compete for renewed
funding and other procedures required for transparency in the Act.
Though some current grantees might find the changes to regulatory
numbers and placement initially confusing, we believe this
reorganization will greatly enhance the understanding and
implementation of Head Start rules both for current and prospective
grantees.
Within this large reorganization we also propose to reorganize
specific sections and streamline provisions to make Head Start
requirements easier to understand for all interested parties--grantees,
potential grantees, other early education programs, and members of the
general public. Subparts and their sections were reorganized to
eliminate redundancy, and related requirements were grouped together
instead of interspersed as they are in the existing rule. Additionally,
we propose to systematically address the fact that many of our most
critical provisions are buried in subparts of the existing regulation
in a way that makes them difficult to find and interpret, and that does
not reflect their centrality to the provision of high quality services.
For example, the reorganization proposes to create new sections or
subparts to highlight and expand, where necessary, upon these
incredibly important requirements. These include the proposed subparts
on education services, transition services, and services for enrolled
pregnant women.
In addition, we propose revisions throughout the NPRM to streamline
requirements and minimize administrative burden on local programs. In
total, we significantly reduce the number of requirements without
compromising quality. We propose to move away from requiring written
plans and prescribing how specific requirements should be achieved in
order to give greater flexibility to programs in determining the best
way to achieve their goals, without reducing expectations. For example,
we strengthen health and safety standards but eliminate unnecessarily
prescriptive regulations that were burdensome. We anticipate these
proposed changes will help move Head Start away from a compliance-
oriented culture to an outcomes-focused one. Furthermore, we believe
this will support better collaboration with other programs and funding
streams. We recognize that grantees deliver services through a variety
of modalities including child care and state pre-kindergarten programs
that require the blending of funding streams and compliance with a host
of regulations. Additionally, we propose to remove several overly
prescriptive requirements related to policy groups, governing bodies,
appeals, and audits.
We also propose to include several provisions to support additional
local flexibility to meet local community needs and to promote
innovation and research. We propose to give Head Start programs
additional flexibility in the structural requirements of program
models, such as class size and service duration if they can demonstrate
a locally-designed model is better for the children they serve.
Further, in order to support continued research and innovation into
effective curriculum and professional development models, we propose to
permit local variations, giving flexibility from some of these
requirements if the Head Start program works with research experts and
evaluates the effectiveness of their model. We also propose to support
local innovation by proposing that local programs can apply for a
waiver for individual eligibility verification. This can allow better
coordination with local early education programs without reducing
quality standards. Collectively, these proposed changes will allow for
the development of innovative program models, alleviate paperwork
burdens, and support mixed income settings.
We believe the benefits of these proposed changes will be
significant for the children and families Head Start serves.
Strengthening Head Start standards will improve child outcomes and
promote greater success in school as well as produce higher returns on
taxpayer investment. Reorganizing, streamlining, and reducing the
regulations will make Head Start more approachable for potential
grantees and less burdensome for existing grantees. These changes are
central to the Administration's belief that every child
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deserves an opportunity to succeed and that all children should
graduate from high school college- and career-ready.
II. Tables
In this NPRM, we propose to rearrange and renumber Head Start
program performance standards under subchapter B at 45 CFR Chapter
XIII. We believe our efforts will provide current and prospective
grantees an organized road map on how to provide high quality Head
Start services.
We include redesignation and distribution tables to help the public
readily locate current sections and provisions we propose to rearrange
and renumber. Table A, the redesignation table, lists the current
section and identifies the section we propose will replace it. Table B,
the distribution table, lists current provisions and shows whether we
removed, revised, or redesignated them.
Table A--Redesignation Table
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Current section Proposed section
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1301.1....................... 1303.2
1301.20...................... 1305
1301.10...................... 1303.3
1301.11...................... 1303.12
1301.20...................... 1303.4
1301.21...................... 1303.4
1301.30...................... 1303.10
1301.31...................... 1302.90, 1302.102
1301.32...................... 1303.5
1301.33...................... 1303.31
1301.34...................... 1304.5, 1304.7
1302.1....................... 1304.1
1302.2....................... 1305
1302.5....................... 1304.2, 1304.3, 1304.4
1302.10...................... 1304.20
1302.11...................... 1304.20
1302.30...................... 1304.30
1302.31...................... 1304.31
1302.32...................... 1304.32
1303.1....................... 1304.1, 1303.30
1303.2....................... 1305
1303.10...................... 1304.1
1303.11...................... 1304.2
1303.12...................... 1304.3
1303.14...................... 1304.4
1303.21...................... 1304.7
1303.22...................... 1304.7
1304.1....................... 1302.1
1304.3....................... 1305
1304.20...................... 1302.42, 1302.33, 1302.41, 1302.61,
1302.46, 1302.63
1304.21...................... 1302.30, 1302.31, 1302, 1302.35, 1302.60,
1302.90, 1302.34, 1302.33, 1302.46,
1302.21
1304.22...................... 1302.47, 1302.92, 1302.15, 1302.90,
1302.41, 1302.42, 1302.46
1304.23...................... 1302.42, 1302.44, 1302.31, 1302.44,
1302.90, 1302.31, 1302.46
1304.24...................... 1302.46, 1302.45
1304.40...................... 1302.50, 1302.52, 1302.80, 1302.18,
1302.34, 1302.51, 1302.30, 1302.18,
1302.81, 1302.46, 1302.52, 1302.70,
1302.71, 1302.72, 1302.22, 1302.82
1304.41...................... 1302.53, 1302.63, 1302.70, 1302.71
1304.50...................... 1301.1, 1301.4, 1302.102, 1301.3, 1301.5
1304.51...................... 1302.101, 1302.90, 1303.23, 1302.102,
1301.3, 1303.32
1304.52...................... 1302.101, 1302.91, 1302.90, 1302.91,
1302.21, 1303.3, 1302.93, 1302.94,
1302.92, 1301.2
1304.53...................... 1302.31, 1302.21, 1302.47, 1302.22,
1302.23
1304.60...................... 1302.102, 1304.2
1305.1....................... 1302.10
1305.2....................... 1305
1305.3....................... 1302.11, 1302.102, 1302.20
1305.4....................... 1302.12
1305.5....................... 1302.13, 1302.14,
1305.6....................... 1302.14
1305.7....................... 1302.12, 1302.15, 1302.70
1305.8....................... 1302.16
1305.9....................... 1302.18
1305.10...................... 1304.4
1306.3....................... 1305
1306.20...................... 1302.101, 1302.21, 1302.90, 1302.23,
1302.20
1306.21...................... 1302.91
1306.23...................... 1302.92
1306.30...................... 1302.20, 1302.21, 1302.22, 1302.23
1306.31...................... 1302.20
1306.32...................... 1302.21, 1302.24, 1302.17, 1302.102,
1302.34, 1302.18
1306.33...................... 1302.22, 1302.101 , 1302.91, 1302.35,
1302.44, 1302.23, 1302.31, 1301.4,
1302.47, 1302.45, 1302.24
1307.1....................... 1304.10
1307.2....................... 13051305
[[Page 35434]]
1307.3....................... 1304.11
1307.4....................... 1304.12
1307.5....................... 1304.13
1307.6....................... 1304.14
1307.7....................... 1304.15
1307.8....................... 1304.16
1308.1....................... 1302.60
1308.3....................... 1305
1308.4....................... 1302.101, 1302.61, 1302.63, 1303.75
1308.5....................... 1302.12, 1302.13
1308.6....................... 1302.33, 1302.42, 1302.34, 1302.33
1308.18...................... 1302.47
1308.21...................... 1302.61, 1302.62, 1302.34
1309.1....................... 1303.40
1309.2....................... 1303.41
1309.3....................... 1305
1309.4....................... 1303.42, 1303.44, 1303.45, 1303.48,
1303.50
1309.21...................... 1305, 1303.51, 1303.48, 1303.50, 1303.46,
1303.47, 1303.48, 1303.55, 1303.3
1309.22...................... 1303.49, 1303.51
1309.31...................... 1303.44, 1303.47
1309.33...................... 1303.56
1309.40...................... 1303.53
1309.41...................... 1303.54
1309.43...................... 1303.43
1309.52...................... 1303.55
1309.53...................... 1303.56
1310.2....................... 1303.70
1310.3....................... 1305
1310.10...................... 1303.70, 1303.71, 1303.72
1310.14...................... 1303.71
1310.15...................... 1303.72
1310.16...................... 1303.72
1310.17...................... 1303.72
1310.20...................... 1303.73
1310.21...................... 1303.74
1310.22...................... 1303.75
1310.23...................... 1303.70
------------------------------------------------------------------------
Table B Distribution Table
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Current section Title Proposed section
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1301...............................
1301.1............................. Purpose and scope.......... 1303.2................. Redesignated.
1301.2............................. Definitions................ 1305...................
1301.10(a)......................... General.................... 1303.3.................
1301.10(b)(1)...................... ........................... ....................... Removed.
1301.10(b)(2)...................... ........................... ....................... Removed.
1301.11(a)......................... Insurance and bonding...... 1303.12................
1301.11(b)......................... ........................... 1303.12................
1301.12(a)......................... Annual Audit of Head Start ....................... Removed.
programs.
1301.12(a)(1)...................... ........................... ....................... Removed.
1301.12(a)(2)...................... ........................... ....................... Removed.
1301.12(a)(3)...................... ........................... ....................... Removed.
1301.12(b)......................... ........................... ....................... Removed.
1301.12(c)......................... ........................... ....................... Removed.
1301.13(a)......................... Accounting system ....................... Removed.
certification.
1301.13(b)......................... ........................... ....................... Removed.
1301.20(a)......................... Matching requirements...... 1303.4.................
1301.20(a)(1)...................... ........................... ....................... Removed.
1301.20(a)(2)...................... ........................... ....................... Removed.
1301.20(a)(3)...................... ........................... ....................... Removed.
1301.20(b)......................... ........................... ....................... Removed.
1301.20(c)......................... ........................... ....................... Removed.
1301.21............................ Criteria for increase in 1303.4.................
Federal financial
assistance.
1301.21(a)......................... ........................... ....................... Removed.
1301.21(b)......................... ........................... ....................... Removed.
1301.30............................ General requirements....... 1303.10................
1301.31(a)......................... Personnel policies......... 1302.90(a).............
1301.31(a)(1)...................... ........................... ....................... Removed.
[[Page 35435]]
1301.31(a)(2)...................... ........................... ....................... Removed.
1301.31(a)(3)...................... ........................... ....................... Removed.
1301.31(a)(4)...................... ........................... ....................... Removed.
1301.31(a)(5)...................... ........................... ....................... Removed.
1301.31(a)(6)...................... ........................... ....................... Removed.
1301.31(a)(7)...................... ........................... ....................... Removed.
1301.31(b)(1)(i)................... ........................... 1302.90(b)(1)..........
1301.31(b)(1)(ii).................. ........................... 1302.90(b)(1)..........
1301.31(b)(1)(iii)................. ........................... 1302.90(b)(1)(i)-(iv)..
1301.31(b)(2)...................... ........................... ....................... Removed.
1301.31(b)(2)(i)................... ........................... ....................... Removed.
1301.31(b)(2)(ii).................. ........................... ....................... Removed.
1301.31(b)(2)(iii)................. ........................... ....................... Removed.
1301.31(b)(3)...................... ........................... 1302.90(b)(2)..........
1301.31(c)......................... ........................... ....................... Removed.
1301.31(c)(1)...................... ........................... ....................... Removed.
1301.31(c)(2)...................... ........................... ....................... Removed.
1301.31(c)(3)...................... ........................... ....................... Removed.
1301.31(c)(4)...................... ........................... ....................... Removed.
1301.31(d)......................... ........................... ....................... Removed.
1301.31(e)......................... ........................... 1302.102(d)(2)(ii).....
1302.102(d)(2)(iii)(A)-
(B).
1301.32(a)(1)...................... Limitations on costs of 1303.5(a)(1)...........
development and
administration of a Head
Start program.
1301.32(a)(2)...................... ........................... 1303.5(a)(1)...........
1301.32(b)(1)...................... ........................... 1305...................
1301.32(b)(2)...................... ........................... 1305...................
1301.32(b)(3)...................... ........................... 1305...................
1301.32(b)(4)...................... ........................... 1305...................
1301.32(b)(5)...................... ........................... 1305...................
1301.32(c)(1)...................... ........................... 1305...................
1301.32(c)(2)...................... ........................... 1305...................
1301.32(c)(3)...................... ........................... 1305...................
1301.32(c)(4)...................... ........................... 1305...................
1301.32(d)(1)...................... ........................... 1305...................
1301.32(d)(2)...................... ........................... 1305...................
1301.32(d)(3)...................... ........................... 1305...................
1301.32(e)(1)...................... ........................... 1303.5(a)(2)(i)........
1301.32(e)(2)...................... ........................... ....................... Removed.
1301.32(f)(1)...................... ........................... 1303.5(a)(2)(iv).......
1301.32(f)(2)...................... ........................... 1303.5(a)(2)(iv).......
1301.32(f)(3)...................... ........................... 1303.5(a)(2)(iii)......
1301.32(g)(1)...................... ........................... 1303.5(b)(1)...........
1301.32(g)(1)(i)................... ........................... 1303.5(b)(1)...........
1301.32(g)(1)(ii).................. ........................... 1303.5(b)(1)...........
1301.32(g)(2)...................... ........................... 1303.5(b)(2)...........
1301.32(g)(3)...................... ........................... 1303.5(b)(2)...........
1301.32(g)(4)...................... ........................... ....................... Removed.
1301.32(g)(5)...................... ........................... ....................... Removed.
1301.33............................ Delegation of program 1303.31(b).............
operations.
1301.34............................ Grantee appeals............ 1304.5.................
1304.7.................
1302............................... Selection, Initial Funding
and Refunding of HS
Grantees and Selection of
Replacement Grantees.
1302.1............................. Purpose and Scope.......... 1304.1.................
1302.2............................. Definitions................ 1305...................
1302.3............................. Consultation with public ....................... Removed.
officials and consumers.
1302.4............................. Transfer of unexpended ....................... Removed.
balances.
1302.5(a).......................... Notice for show cause and 1304.2.................
hearing. 1304.3.................
1302.5(b).......................... ........................... 1304.4.................
1302.10(a)......................... Selection among applicants. ....................... Removed.
1302.10(b)......................... ........................... 1304.20(a).............
1302.10(b)(1)...................... ........................... ....................... Removed.
1302.10(b)(2)...................... ........................... ....................... Removed.
1302.10(b)(3)...................... ........................... ....................... Removed.
1302.10(b)(4)...................... ........................... ....................... Removed.
1302.10(b)(5)...................... ........................... ....................... Removed.
1302.11(a)......................... Selection among applicants 1304.20(b).............
to replace grantee.
[[Page 35436]]
1302.11(b)......................... ........................... 1304.20(b).............
1302.11(c)......................... ........................... 1304.20(b).............
1302.20(a)......................... Grantee to show both legal ....................... Removed.
status and financial
viability.
1302.20(b)......................... ........................... ....................... Removed.
1302.20(c)......................... ........................... ....................... Removed.
1302.21(a)......................... Grantee shows legal status ....................... Removed.
but not financial
viability.
1302.21(a)(1)...................... ........................... ....................... Removed.
1302.21(a)(2)...................... ........................... ....................... Removed.
1302.21(b)......................... ........................... ....................... Removed.
1302.21(c)......................... ........................... ....................... Removed.
1302.22............................ Suspension or termination ....................... Removed.
of grantee which shows
financial viability but
not legal status.
1302.23............................ Suspension or termination
of grantee which shows
legal status but not
financial viability.
1302.23(a)......................... ........................... ....................... Removed.
1302.24............................ Denial of refunding of
grantee.
1302.24(a)......................... ........................... ....................... Removed.
1302.24(b)......................... ........................... ....................... Removed.
1302.24(c)......................... ........................... ....................... Removed.
1302.24(d)......................... ........................... ....................... Removed.
1302.25(a)......................... Control of funds of grantee ....................... Removed.
scheduled for change.
1302.25(b)......................... ........................... ....................... Removed.
1302.25(c)......................... ........................... ....................... Removed.
1302.30(a)......................... Procedure for 1304.30(a).............
identification of
alternative agency.
1302.30(1)......................... ........................... 1304.30(a)(1)..........
1302.30(2)......................... ........................... 1304.30(a)(2)..........
1302.30(b)(1)...................... ........................... 1304.30(b)(1)..........
1302.30(2)......................... ........................... 1304.30(b)(2)..........
1302.30(3)......................... ........................... 1304.30(b)(3)..........
1302.30(4)......................... ........................... 1304.30(b)(4)..........
1302.30(c)......................... ........................... 1304.30(c).............
1302.30(d)......................... ........................... 1304.30(d).............
1302.31............................ Requirements of alternative 1304.31................
agency.
1302.32(a)......................... Alternative agency-- 1304.32(a).............
prohibition.
1302.32(1)......................... ........................... 1304.32(a)(1)..........
1302.32(2)......................... ........................... 1304.32(a)(2)..........
1302.32(i)......................... ........................... 1304.32(a)(2)(i).......
1302.32(II)........................ ........................... 1304.32(a)(2)(ii)......
1302.32(b)......................... ........................... 1304.32(b).............
1303............................... Selection, initial funding
and refunding of HS
grantees and selection of
replacement grantees.
Subpart A.......................... General....................
1303.1............................. Purpose and application.... 1303.30................
1304.1.................
1303.2............................. Definitions................ 1305...................
1303.3(a).......................... Right to attorney, attorney ....................... Removed.
fees, and travel costs.
1303.3(a)(1)....................... ........................... ....................... Removed.
1303.3(a)(2)....................... ........................... ....................... Removed.
1303.3(b).......................... ........................... ....................... Removed.
1303.3(c).......................... ........................... ....................... Removed.
1303.4............................. Remedies................... ....................... Removed.
1303.5............................. Service of process......... ....................... Removed.
1303.6............................. Successor agencies and ....................... Removed.
officials.
1303.7(a).......................... Effect of failure to file ....................... Removed.
or serve documents in a
timely manner.
1303.7(b).......................... ........................... ....................... Removed.
1303.7(c).......................... ........................... ....................... Removed.
1303.7(d).......................... ........................... ....................... Removed.
1303.8(a).......................... Waiver of requirements..... ....................... Removed.
1303.8(b).......................... ........................... ....................... Removed.
1303.8(c)(1)....................... ........................... ....................... Removed.
1303.8(c)(2)....................... ........................... ....................... Removed.
1303.8(c)(3)....................... ........................... ....................... Removed.
1303.8(c)(4)....................... ........................... ....................... Removed.
1303.8(d).......................... ........................... ....................... Removed.
1303.8(e).......................... ........................... ....................... Removed.
[[Page 35437]]
1303.8(f).......................... ........................... ....................... Removed.
1303.8(g).......................... ........................... ....................... Removed.
1303.10(a)......................... Purpose.................... 1304.1.................
1303.10(b)......................... ........................... 1304.1.................
1303.11(a)......................... Suspension on notice and 1304.2(a)..............
opportunity to show cause.
1303.11(b)......................... ........................... 1304.2(b)..............
1303.11(b)(1)...................... ........................... 1304.2(b)(1)(i)........
1303.11(b)(2)...................... ........................... 1304.2(b)(1)(ii).......
1303.11(b)(3)...................... ........................... 1304.2(b)(1)(iii)......
1303.11(b)(4)...................... ........................... 1304.2(b)(1)(iii)......
1303.11(b)(5)...................... ........................... 1304.2(b)(1)(iv).......
1303.11(b)(6)...................... ........................... 1304.2(b)(1)(v)........
1303.11(c)......................... ........................... 1304.2(c)..............
1303.11(d)......................... ........................... 1304.2(d)..............
1303.11(e)......................... ........................... 1304.2(b)(3)...........
1303.11(f)......................... ........................... 1304.2(b)(4)...........
1303.11(g)......................... ........................... 1304.2(e)(1)...........
1303.11(h)......................... ........................... 1304.2(b)(2)...........
1303.11(i)......................... ........................... 1304.2(f)..............
1303.11(j)......................... ........................... 1304.2(e)(4)...........
1303.11(k)......................... ........................... 1304.2(g)..............
1303.12(a)......................... Summary suspension and 1304.3(a)..............
opportunity to show cause.
1303.12(a)(1)...................... ........................... 1304.3(a)..............
1303.12(a)(2)...................... ........................... 1304.3(a)..............
1303.12(a)(3)...................... ........................... 1304.3(a)..............
1303.12(b)......................... ........................... 1304.3(b)..............
1303.12(c)......................... ........................... 1304.3(b)(1)...........
1303.12(c)(1)...................... ........................... 1304.3(b)(1)(i)........
1303.12(c)(2)...................... ........................... 1304.3(b)(1)(i)........
1303.12(c)(3)...................... ........................... 1304.3(b)(1)(ii).......
1303.12(c)(4)...................... ........................... 1304.3(b)(1)(iii)......
1303.12(c)(5)...................... ........................... 1304.3(b)(1)(iv).......
1303.12(d)......................... ........................... 1304.3(c)..............
1303.12(e)......................... ........................... 1304.3(b)(3-4).........
1303.12(f)......................... ........................... 1304.3(d)(3)...........
1303.12(f)(1)...................... ........................... 1304.3(d)(3)...........
1303.12(f)(2)...................... ........................... 1304.3(d)(3)...........
1303.12(f)(3)...................... ........................... 1304.3(d)(3)...........
1303.12(f)(4)...................... ........................... 1304.3(d)(3)...........
1303.12(g)......................... ........................... ....................... Removed.
1303.12(h)(1)...................... ........................... ....................... Removed.
1303.12(h)(2)...................... ........................... ....................... Removed.
1303.12(h)(3)...................... ........................... ....................... Removed.
1303.12(i)......................... ........................... 1304.3(d)(1)...........
1303.12(j)......................... ........................... 1304.3(d)(1-2).........
1303.12(k)......................... ........................... 1304.3(e)..............
1303.12(l)......................... ........................... 1304.3(d)(4)...........
1303.12(m)......................... ........................... 1304.3(e)..............
1303.12(n)......................... ........................... 1304.3(f)..............
1303.13(a)......................... Appeal by a grantee of a ....................... Removed.
suspension continuing for
more than 30 days.
1303.13(b)......................... ........................... ....................... Removed.
1303.13(c)(1)...................... ........................... ....................... Removed.
1303.13(c)(2)...................... ........................... ....................... Removed.
1303.13(c)(3)...................... ........................... ....................... Removed.
1303.13(d)......................... ........................... ....................... Removed.
1303.13(e)......................... ........................... ....................... Removed.
1303.13(f)......................... ........................... ....................... Removed.
1303.13(g)......................... ........................... ....................... Removed.
1303.13(h)......................... ........................... ....................... Removed.
1303.13(i)......................... ........................... ....................... Removed.
1303.14(a)......................... Appeal by a grantee from a 1304.4(a)(1)...........
termination of financial
assistance.
1303.14(b)......................... ........................... 1304.4(a)(2)...........
1303.14(b)(1)...................... ........................... 1304.4(a)(2)(i)........
1303.14(b)(2)...................... ........................... 1304.4(a)(2)(ii).......
1303.14(b)(3)...................... ........................... 1304.4(a)(2)(iii)......
1303.14(b)(4)...................... ........................... 1304.4(a)(2)(iv).......
1303.14(b)(5)...................... ........................... 1304.4(a)(2)(v)........
1303.14(b)(6)...................... ........................... 1304.4(a)(2)(vii)......
[[Page 35438]]
1303.14(b)(7)...................... ........................... 1304.4(a)(2)(viii).....
1303.14(b)(8)...................... ........................... 1304.4(a)(2)(ix).......
1303.14(b)(9)...................... ........................... 1304.4(a)(2)(x)........
1303.14(c)......................... ........................... 1304.4(b)(1)...........
1303.14(c)(1)...................... ........................... 1304.4(b)(1)(i-iii)....
1303.14(c)(2)...................... ........................... 1304.4(b)(1)(iv).......
1303.14(c)(3)...................... ........................... 1304.4(b)(1)(v)........
1303.14(c)(4)...................... ........................... 1304.4(b)(1)(vi).......
1303.14(c)(5)...................... ........................... 1304.4(b)(1)(vii)......
1303.14(c)(6)...................... ........................... 1304.4(b)(1)(vii)......
1303.14(d)(1)...................... ........................... ....................... Removed.
1303.14(d)(2)...................... ........................... ....................... Removed.
1303.14(d)(3)...................... ........................... ....................... Removed.
1303.14(d)(4)...................... ........................... ....................... Removed.
1303.14(d)(5)...................... ........................... ....................... Removed.
1303.14(d)(6)...................... ........................... ....................... Removed.
1303.14(d)(7)...................... ........................... ....................... Removed.
1303.14(d)(8)...................... ........................... 1304.4(c)(1)...........
1303.14(e)(1)...................... ........................... ....................... Removed.
1303.14(e)(2)...................... ........................... ....................... Removed.
1303.14(e)(3)...................... ........................... ....................... Removed.
1303.14(f)(1)...................... ........................... 1304.4(c)(2)...........
1303.14(f)(2)...................... ........................... 1304.4(e)..............
1303.14(f)(3)...................... ........................... 1304.4(f)(1)...........
1303.14(f)(4)...................... ........................... 1304.4(f)(2)...........
1303.14(g)......................... ........................... 1304.4(g)(1-2).........
1303.14(h)......................... ........................... 1304.4(g)(3)...........
1303.14(i)......................... ........................... 1304.4(h)..............
1303.14(j)......................... ........................... 1304.4(g)(4-5).........
1303.14(k)......................... ........................... 1304.4(g)(6)...........
1303.15(a)......................... Appeal by a grantee from a 1304.4(a)(1)...........
denial of refunding.
1303.15(b)......................... ........................... 1304.4(b)(2)...........
1303.15(b)(1)...................... ........................... 1304.4(b)(1)(iv).......
1303.15(b)(2)...................... ........................... 1304.4(b)(1)(iv).......
1303.15(c)......................... ........................... 1304.4(a)(2)...........
1303.15(d)......................... ........................... 1304.4(b)(1)...........
1303.15(d)(1)...................... ........................... 1304.4(b)(1)(i-iii)....
1303.15(d)(2)...................... ........................... 1304.4(b)(1)(vi).......
1303.15(d)(3)...................... ........................... 1304.4(g)(3)...........
1303.15(d)(4)...................... ........................... ....................... Removed.
1303.15(e)......................... ........................... 1304.4(b)(1)(v)........
1303.15(f)......................... ........................... 1304.4(g)(3)...........
1303.15(g)......................... ........................... 1304.4(g)(4)...........
1303.15(h)(1)...................... ........................... ....................... Removed.
1303.15(h)(2)...................... ........................... ....................... Removed.
1303.15(h)(3)...................... ........................... ....................... Removed.
1303.16(a)......................... Conduct of hearing......... ....................... Removed.
1303.16(b)......................... ........................... ....................... Removed.
1303.16(c)......................... ........................... ....................... Removed.
1303.16(d)......................... ........................... ....................... Removed.
1303.16(e)......................... ........................... ....................... Removed.
1303.16(f)......................... ........................... ....................... Removed.
1303.16(g)......................... ........................... ....................... Removed.
1303.16(h)......................... ........................... ....................... Removed.
1303.17(a)......................... Time for hearing and ....................... Removed.
decision.
1303.17(b)......................... ........................... ....................... Removed.
1303.17(c)(1)...................... ........................... ....................... Removed.
1303.17(c)(2)...................... ........................... ....................... Removed.
1303.17(c)(3)...................... ........................... ....................... Removed.
1303.20(a)......................... Appeals to grantees by ....................... Removed.
current or prospective
delegate agencies of
rejection of an
application, failure to
act on an application or
termination of a grant or
contract.
1303.20(b)......................... ........................... ....................... Removed.
1303.20(c)......................... ........................... ....................... Removed.
1303.20(d)......................... ........................... ....................... Removed.
1303.20(e)(1)...................... ........................... ....................... Removed.
1303.20(e)(2)...................... ........................... ....................... Removed.
1303.20(e)(3)...................... ........................... ....................... Removed.
1303.20(f)......................... ........................... ....................... Removed.
1303.20(g)......................... ........................... ....................... Removed.
[[Page 35439]]
1303.21(a)......................... Procedures for appeal by 1304.7(a)--first half
current or prospective 1304.7(b)--second half.
delegate agencies to the
responsible HHS official
from denials by grantees
of an application or
failure to act on an
application.
1303.21(b)(1)...................... ........................... ....................... Removed.
1303.21(b)(2)...................... ........................... ....................... Removed.
1303.21(b)(3)...................... ........................... ....................... Removed.
1303.21(b)(4)...................... ........................... ....................... Removed.
1303.21(b)(5)...................... ........................... ....................... Removed.
1303.21(b)(6)...................... ........................... ....................... Removed.
1303.21(b)(7)...................... ........................... ....................... Removed.
1303.21(c)......................... ........................... ....................... Removed.
1303.21(d)......................... ........................... 1304.7(c)..............
1303.21(e)(1)...................... ........................... ....................... Removed.
1303.21(e)(2)...................... ........................... ....................... Removed.
1303.21(f)......................... ........................... 1304.7(c)..............
1303.21(g)......................... ........................... ....................... Removed.
1303.21(h)......................... ........................... ....................... Removed.
1303.21(i)(1)...................... ........................... ....................... Removed.
1303.21(i)(2)...................... ........................... ....................... Removed.
1303.21(i)(3)...................... ........................... ....................... Removed.
1303.21(i)(4)...................... ........................... ....................... Removed.
1303.22(a)......................... Decision on appeal in favor ....................... Removed.
of grantee.
1303.22(b)......................... ........................... 1304.7(d)(1)...........
1303.22(c)......................... ........................... ....................... Removed.
1303.22(d)......................... ........................... ....................... Removed.
1303.23(a)......................... Decision on appeal in favor ....................... Removed.
of the current or
prospective delegate
agency.
1303.23(b)......................... ........................... ....................... Removed.
1303.23(c)......................... ........................... ....................... Removed.
1303.23(c)(1)...................... ........................... ....................... Removed.
1303.23(c)(2)...................... ........................... ....................... Removed.
1303.23(d)......................... ........................... ....................... Removed.
1303.23(e)......................... ........................... ....................... Removed.
1303.24............................ OMB control number......... ....................... Removed.
1304............................... Program performance
standards for operation.
1304.1............................. Purpose and scope.......... 1302.1................. Revised.
1304.2............................. Effective date............. ....................... Removed.
1304.3............................. Definitions................ 1305...................
1304.20(a)(1)(i)................... Child health and 1302.42(a)............. Revised.
developmental services. 1302.17................
1304.20(a)(1)(ii).................. ........................... 1302.42(b)(1)(i).......
1304.20(a)(1)(ii)(A)............... ........................... 1302.42(b)(1)(ii)......
1304.20(a)(1)(ii)(B)............... ........................... 1302.42(c)(1)..........
1304.20(a)(1)(ii)(C)............... ........................... 1302.42(d)(1)(ii)......
1304.20(a)(1)(iii)................. ........................... 1302.42(d)(1)(i).......
1304.20(a)(1)(iv).................. ........................... 1302.42(d)(1)..........
1304.20(a)(2)...................... ........................... 1302.42(b)(3)..........
1304.20(b)(1)...................... ........................... 1302.33(a)(1).
1302.33(c)(1)(iii).....
1302.41(a).............
1302.42(b)(2)..........
1304.20(b)(2)...................... ........................... 1302.33(a)(2)..........
1304.20(b)(3)...................... ........................... 1302.33(a)(1)..........
1304.20(c)(1)...................... ........................... 1302.41(a).............
1304.20(c)(2)...................... ........................... 1302.42(d)(2)..........
1304.20(c)(3)(i)................... ........................... 1302.42(c)(3)..........
1304.20(c)(3)(ii).................. ........................... 1302.42(c)(3)..........
1304.20(c)(4)...................... ........................... 1302.61(b)(2)..........
1304.20(c)(5)...................... ........................... 1302.42(e).............
1304.20(d)......................... ........................... 1302.33(b).
1302.42(c)(2)..........
1302.42(d)(1)(ii)......
1304.20(e)(1)...................... ........................... 1302.41(a).............
1304.20(e)(2)...................... ........................... 1302.34(b)(5)
1302.46(b)(1)(iv)......
1302.46(b)(2)(i).......
1304.20(e)(3)...................... ........................... 1302.46(b)(2)(ii)......
1304.20(e)(4)...................... ........................... 1302.41(a).
1302.46(b)(2)(iii).....
1304.20(e)(5)...................... ........................... 1302.41(b).............
[[Page 35440]]
1304.20(f)(1)...................... ........................... 1302.33(b).............
1304.20(f)(2)(i)................... ........................... 1302.61(b)(2)(ii)......
1304.20(f)(2)(ii).................. ........................... 1302.63(a)-(c).
1302.62(a)(3)..........
1304.20(f)(2)(iii)................. ........................... 1302.61(b)(3)(i).......
1304.20(f)(2)(iv).................. ........................... 1302.63(c).............
1304.21(a)(1)(i)................... Education and early 1302.30.
childhood development. 1302.31(b)(1)(i).......
1302.35(a).............
1304.21(a)(1)(ii).................. ........................... 1302.30.
1302.60................
1304.21(a)(1)(iii)................. ........................... 1302.90(c)(1)(ii)......
1304.21(a)(1)(iv).................. ........................... 1302.31(c).............
1304.21(a)1)(v).................... ........................... ....................... Removed.
1304.21(a)(2)(i)................... ........................... 1302.34(b)(3)..........
1304.21(a)(2)(ii).................. ........................... 1302.33(b)(2)..........
1304.21(a)(2)(iii)................. ........................... 1302.34(b)(2).
1302.34(b)(6)..........
1304.21(a)(3)...................... ........................... Integrated throughout
Subpart C.
1304.21(a)(3)(i)................... ........................... ....................... Removed.
1304.21(a)(3)(i)(A)................ ........................... ....................... Removed.
1304.21(a)(3)(i)(B)................ ........................... ....................... Removed.
1304.21(a)(3)(i)(C)................ ........................... ....................... Removed.
1304.21(a)(3)(i)(D)................ ........................... ....................... Removed.
1304.21(a)(3)(i)(E)................ ........................... 1302.30.
1302.35(d).............
1302.90(c)(1)(ii)......
1304.21(a)(3)(ii).................. ........................... 1302.31(e)(3)..........
1304.21(a)(4)...................... ........................... Integrated throughout
Subpart C.
1304.21(a)(4)(i)................... ........................... 1302.31(c).............
1304.21(a)(4)(ii).................. ........................... 1302.31(b)(1)(iv).
1302.35(a).............
1304.21(a)(4)(iii)................. ........................... 1302.31(b)(1)(ii).
1302.35(e)(3)..........
1304.21(a)(4)(iv).................. ........................... 1302.31(b)(1)(i).
1302.31(b)(1)(iv)......
1302.31(d).............
1304.21(a)(5)...................... ........................... Integrated throughout
Subpart C.
1304.21(a)(5)(i)................... ........................... 1302.31(c)-(d).........
1304.21(a)(5)(ii).................. ........................... 1302.31(c)-(d).........
1304.21(a)(5)(iii)................. ........................... 1302.30.
1302.60................
1304.21(a)(6)...................... ........................... 1302.35(a).
1302.46(b)(1)(i).......
1304.21(b)(1)(i)................... ........................... 1302.21(b)(2).
1302.31(b)(1)(ii)......
1302.90(d)(1)..........
1304.21(b)(1)(ii).................. ........................... 1302.31(b)(1)(ii)......
1304.21(b)(1)(iii)................. ........................... 1302.31(c).............
1304.21(b)(2)...................... ........................... Integrated throughout
Subpart C.
1304.21(b)(2)(i)................... ........................... ....................... Removed.
1304.21(b)(2)(ii).................. ........................... 1302.31(b)(1)(ii)......
1304.21(b)(3)...................... ........................... Integrated throughout
Subpart C.
1304.21(b)(3)(i)................... ........................... ....................... Removed.
1304.21(b)(3)(ii).................. ........................... ....................... Removed.
1304.21(c)(1)...................... ........................... 1302.32................
1304.21(c)(1)(i)................... ........................... 1302.32(a)(1)(ii)......
1304.21(c)(1)(ii).................. ........................... 1302.31(b)(1)(ii).
1302.32(a)(1)(ii)-(iii)
..
1304.21(c)(1)(iii)................. ........................... ....................... Removed.
1304.21(c)(1)(iv).................. ........................... ....................... Removed.
1304.21(c)(1)(v)................... ........................... ....................... Removed.
1304.21(c)(1)(vi).................. ........................... ....................... Removed.
1304.21(c)(1)(vii)................. ........................... 1302.31(c)(1)..........
1304.21(c)(2)...................... ........................... 1302.33(b).............
1304.22(a)......................... Child health and safety.... 1302.47(b)(7)..........
1304.22(a)(1)...................... ........................... ....................... Removed.
1304.22(a)(2)...................... ........................... ....................... Removed.
1304.22(a)(3)...................... ........................... ....................... Removed.
1304.22(a)(4)...................... ........................... ....................... Removed.
1304.22(a)(5)...................... ........................... 1302.92(b)(1)..........
1304.22(b)(1)...................... ........................... 1302.47(b)(8)(iii).....
[[Page 35441]]
1304.22(b)(2)...................... ........................... 1302.14(b)(2).
1302.17(b).............
1304.22(b)(3)...................... ........................... Second sentence........ First sentence
1302.90(c)(1)(iii)..... removed.
1304.22(c)......................... ........................... 1302.47(b)(4)(iii).
1302.47(b)(8)(iv)......
1304.22(c)(1)...................... ........................... ....................... Removed.
1304.22(c)(2)...................... ........................... ....................... Removed.
1304.22(c)(3)...................... ........................... ....................... Removed.
1304.22(c)(4)...................... ........................... ....................... Removed.
1304.22(c)(5)...................... ........................... 1302.41(a).
1302.42(d)(2)..........
1304.22(c)(6)...................... ........................... 1302.47(b)(4)(iii).....
1304.22(d)(1)...................... ........................... 1302.47(b)(4)-(5)......
1304.22(d)(2)...................... ........................... 1302.46(a).............
1304.22(e)(1)...................... ........................... 1302.47(b)(7)..........
1304.22(e)(1)(i)................... ........................... 1302.47(b)(7)(i).......
1304.22(e)(1)(ii).................. ........................... 1302.47(b)(7)(ii)......
1304.22(e)(1)(iii)................. ........................... 1302.47(b)(7)(iii).....
1304.22(e)(1)(iv).................. ........................... ....................... Removed.
1304.22(e)(2)...................... ........................... ....................... Removed.
1304.22(e)(2)(i)................... ........................... ....................... Removed.
1304.22(e)(2)(ii).................. ........................... ....................... Removed.
1304.22(e)(2)(iii)................. ........................... ....................... Removed.
1304.22(e)(3)...................... ........................... ....................... Removed.
1304.22(e)(4)...................... ........................... 1302.47(b)(7)(iii).....
1304.22(e)(5)...................... ........................... 1302.47(b)(7)(i).......
1304.22(e)(6)...................... ........................... ....................... Removed.
1304.22(e)(7)...................... ........................... 1302.47(b)(4)(i)....... Removed.
1304.22(f)(1)...................... ........................... 1302.47(b)(1)(iv)(A)...
1304.22(f)(2)...................... ........................... ....................... Removed.
1304.23(a)(1)...................... Child nutrition............ 1302.42(b)(4)..........
1304.23(a)(2)...................... ........................... 1302.42(b)(4).
1302.44(a)(1)..........
1304.23(a)(3)...................... ........................... 1302.44(a)(2)(iv)......
1304.23(a)(4)...................... ........................... 1302.42(b)(4)..........
1304.23(b)(1)...................... ........................... 1302.44(a)(1)..........
1304.23(b)(1)(i)................... ........................... 1302.44(b).............
1304.23(b)(1)(ii).................. ........................... 1302.44(a)(2)(ii)......
1304.23(b)(1)(iii)................. ........................... 1302.44(a)(2)(vi)......
1304.23(b)(1)(iv).................. ........................... 1302.44(a)(2)(iv)......
1304.23(b)(1)(v)................... ........................... 1302.44(a)(2)(iii).....
1304.23(b)(1)(vi).................. ........................... 1302.44(a)(2)(iii).....
1304.23(b)(1)(vii)................. ........................... First sentence removed.
1302.44(a)(2)(iv)......
1304.23(b)(2)...................... ........................... 1302.44(a)(2)(vii).....
1304.23(b)(3)...................... ........................... 1302.43................
1304.23(b)(4)...................... ........................... ....................... Removed.
1304.23(c)......................... ........................... 1302.31(e)(2)..........
1304.23(c)(1)...................... ........................... ....................... Removed.
1304.23(c)(2)...................... ........................... 1302.31(e)(2).
1302.90(c)(1)(i)(D)....
1304.23(c)(3)...................... ........................... 1302.31(e)(2)..........
1304.23(c)(4)...................... ........................... 1302.31(e)(2)..........
1304.23(c)(5)...................... ........................... 1302.31(e)(2).
1302.44(a)(2)(v).......
1304.23(c)(6)...................... ........................... 1302.44(a)(1)..........
1304.23(c)(7)...................... ........................... ....................... Removed.
1304.23(d)......................... ........................... 1302.46(b)(1)(ii)......
1304.23(e)(1)...................... ........................... ....................... Removed.
1304.23(e)(2)...................... ........................... 1302.44(a)(2)(viii)....
1304.24............................ Child mental health........ .......................
1304.24(a)(1)...................... ........................... 1302.41(a).............
1304.24(a)(1)(i)................... ........................... 1302.46(b)(1)(iv)......
1304.24(a)(1)(ii).................. ........................... 1302.46(b)(1)(iv)......
1304.24(a)(1)(iii)................. ........................... 1302.46(b)(1)(iv)......
1304.24(a)(1)(iv).................. ........................... 1302.45(a)(1)..........
1304.24(a)(1)(v)................... ........................... 1302.46(b)(2)(i).......
1304.24(a)(1)(vi).................. ........................... ....................... Removed.
1304.24(a)(2)...................... ........................... 1302.45(b).............
1304.24(a)(3)(i)................... ........................... 1302.45(a)(1).
1302.45(b)(1)..........
[[Page 35442]]
1304.24(a)(3)(ii).................. ........................... 1302.45(a)(1)-(2)......
1304.24(a)(3)(iii)................. ........................... 1302.45(b)(2)..........
1304.24(a)(3)(iv).................. ........................... 1302.45(a)(3)..........
1304.40(a)(1)...................... Family partnerships........ 1302.50(b)(2).
1302.52(a)-(b).........
1304.40(a)(2)...................... ........................... 1302.52(c).............
1304.40(a)(3)...................... ........................... 1302.52(d).............
1304.40(a)(4)...................... ........................... 1302.50(a).............
1304.40(a)(5)...................... ........................... 1302.50(b)(2)..........
1304.40(b)(1)...................... ........................... 1302.52(c).............
1304.40(b)(1)(i)................... ........................... ....................... Removed.
1304.40(b)(1)(ii).................. ........................... ....................... Removed.
1304.40(b)(1)(iii)................. ........................... ....................... Removed.
1304.40(b)(2)...................... ........................... 1302.52(c)(3)..........
1304.40(c)(1)...................... ........................... 1302.80(c).............
1304.40(c)(1)(i)................... ........................... 1302.80(c).............
1304.40(c)(1)(ii).................. ........................... 1302.80(c).............
1304.40(c)(1)(iii)................. ........................... 1302.80(c).............
1304.40(c)(2)...................... ........................... 1302.81(a).............
1304.40(c)(3)...................... ........................... 1302.44(a)(2)(viii).
1302.81(a).............
1304.40(d)(1)...................... ........................... 1302.50................ Removed last
sentence.
1304.40(d)(2)...................... ........................... 1302.17(c).
1302.34(a).............
1302.34(b)(1)..........
1304.40(d)(3)...................... ........................... 1302.34(b)(4)..........
1304.40(e)(1)...................... ........................... ....................... Removed.
1304.40(e)(2)...................... ........................... ....................... Removed.
1304.40(e)(3)...................... ........................... 1302.30.
1302.51................
1304.40(e)(4)...................... ........................... ....................... Removed.
1304.40(e)(4)(i)................... ........................... ....................... Removed.
1304.40(e)(4)(ii).................. ........................... ....................... Removed.
1304.40(e)(5)...................... ........................... 1302.34(b)(2)..........
1304.40(f)(1)...................... ........................... 1302.46(a).............
1304.40(f)(2)(i)................... ........................... 1302.46(b)(2)(iii).....
1304.40(f)(2)(ii).................. ........................... 1302.41(a).............
1304.40(f)(2)(iii)................. ........................... 1302.46(b)(1)(i).
1302.46(b)(2)..........
1304.40(f)(3)(i)................... ........................... 1302.46(b)(1)(ii)......
1304.40(f)(3)(ii).................. ........................... 1302.46(b)(1)(ii)......
1304.40(f)(4)...................... ........................... 1302.46(b)(1)(iv)......
1304.40(f)(4)(i)................... ........................... ....................... Removed.
1304.40(f)(4)(ii).................. ........................... ....................... Removed.
1304.40(f)(4)(iii)................. ........................... ....................... Removed.
1304.40(g)(1)(i)................... ........................... ....................... Removed.
1304.40(g)(1)(ii).................. ........................... 1302.52(c).............
1304.40(g)(2)...................... ........................... ....................... Removed.
1304.40(h)(1)...................... ........................... 1302.70(b).
1302.71(b)(1)..........
1304.40(h)(2)...................... ........................... 1302.71(b)(2)(i)
1302.71(c).
1304.40(h)(3)...................... ........................... 1302.71(c)
1302.72(b)(1).
1304.40(h)(3)(i)................... ........................... 1302.72(b)(2)(iii).....
1304.40(h)(3)(ii).................. ........................... 1302.72(b)(2)(iv)......
1304.40(h)(4)...................... ........................... ....................... Removed.
1304.40(i)(1)...................... ........................... 1302.17(c)............. Second sentence
removed.
1304.40(i)(2)...................... ........................... 1302.34(b)(6).......... Second sentence
removed.
1304.40(i)(3)...................... ........................... ....................... Removed.
1304.40(i)(4)...................... ........................... 1302.34(b)(6).
1302.22(a).............
1304.40(i)(5)...................... ........................... 1302.22(c)(1)..........
1304.40(i)(6)...................... ........................... 1302.82(b).............
1304.41(a)(1)...................... Community partnerships..... 1302.53(a)............. Second sentence
removed.
1304.41(a)(2)...................... ........................... 1302.53(b)(1)..........
1304.41(a)(2)(i)................... ........................... 1302.53(b)(2)(i).......
1304.41(a)(2)(ii).................. ........................... 1302.53(b)(2)(i).......
1304.41(a)(2)(iii)................. ........................... 1302.53(b)(2)(i).......
1304.41(a)(2)(iv).................. ........................... 1302.53(b)(2)(ii)......
[[Page 35443]]
1304.41(a)(2)(v)................... ........................... 1302.53(b)(2)(iii).....
1304.41(a)(2)(vi).................. ........................... 1302.53(b)(2)(iii).....
1304.41(a)(2)(vii)................. ........................... 1302.53(b)(2)(iv)......
1304.41(a)(2)(viii)................ ........................... 1302.53(b)(2)(ii)......
1304.41(a)(2)(ix).................. ........................... 1302.53(b)(2)(viii)....
1304.41(a)(3)...................... ........................... ....................... Removed.
1304.41(a)(4)...................... ........................... 1302.63(b).............
1304.41(b)......................... ........................... 1302.53(c)............. Removed second
sentence.
1304.41(c)(1)...................... ........................... 1302.70(a).
1302.71(a).............
1304.41(c)(1)(i)................... ........................... 1302.70(d)(2)(i)
1302.71(c)(2)(i).
1304.41(c)(1)(ii).................. ........................... 1302.71(c)(2)(ii)
1302.70(d)(2)(ii).
1304.41(c)(1)(iii)................. ........................... 1302.71(b)(2)(iv)......
1304.41(c)(1)(iv).................. ........................... 1302.71(c)(2)(iii).....
1304.41(c)(2)...................... ........................... 1302.70(b).............
1304.41(c)(3)...................... ........................... ....................... Removed.
1304.50(a)(1)...................... Program Design and 1301.1.................
Management.
1304.50(a)(1)(i)................... ........................... 1301.4(a)..............
1304.50(a)(1)(ii).................. ........................... 1301.4(a)..............
1304.50(a)(1)(iii)................. ........................... ....................... Removed.
1304.50(a)(2)...................... ........................... ....................... Removed.
1304.50(a)(3)...................... ........................... 1301.4(b)--First
sentence
1301.4(d)(4)--Second
sentence.
1304.50(a)(4)...................... ........................... 1301.4(a)..............
1304.50(a)(5)...................... ........................... ....................... Removed.
1304.50(b)(1)...................... ........................... ....................... Removed.
1304.50(b)(2)...................... ........................... 1301.4(b)..............
1304.50(b)(3)...................... ........................... 1301.4(b)..............
1304.50(b)(4)...................... ........................... 1301.4(d)(2)...........
1304.50(b)(5)...................... ........................... 1301.4(d)(3)...........
1304.50(b)(6)...................... ........................... ....................... Removed.
1304.50(b)(7)...................... ........................... 1301.4(b)..............
1304.50(c)......................... ........................... 1301.4(c)..............
1304.50(d)(1)...................... ........................... 1301.4(c)..............
1304.50(d)(1)(i)................... ........................... 1301.4(c)..............
1304.50(d)(1)(ii).................. ........................... ....................... Removed.
1304.50(d)(1)(iii)................. ........................... 1301.1.................
1304.50(d)(1)(iv).................. ........................... 1301.1.
1302.102(a)............
1304.50(d)(1)(v)................... ........................... 1301.4(c)..............
1304.50(d)(1)(vi).................. ........................... ....................... Removed.
1304.50(d)(1)(vii)................. ........................... 1301.4(c)..............
1304.50(d)(1)(viii)................ ........................... 1301.4(c)(2).
1302.102(b)(2)(ii).....
1304.50(d)(1)((ix)................. ........................... 1301.4(c)..............
1304.50(d)(1)(x)................... ........................... ....................... Removed.
1304.50(d)(1)(xi).................. ........................... 1301.4(c)..............
1304.50(d)(2)(i)................... ........................... ....................... Removed.
1304.50(d)(2)(ii).................. ........................... ....................... Removed.
1304.50(d)(2)(iii)................. ........................... ....................... Removed.
1304.50(d)(2)(iv).................. ........................... ....................... Removed.
1304.50(d)(2)(v)................... ........................... ....................... Removed.
1304.50(e)......................... ........................... ....................... Removed.
1304.50(e)(1)...................... ........................... ....................... Removed.
1304.50(e)(2)...................... ........................... ....................... Removed.
1304.50(e)(3)...................... ........................... ....................... Removed.
1304.50(f)......................... ........................... 1301.4(e)..............
1304.50(g)(1)...................... ........................... ....................... Removed.
1304.50(g)(2)...................... ........................... 1301.3(b)(1)...........
1304.50(h)......................... ........................... 1301.5(a)..............
Appendix A......................... ........................... ....................... Removed.
1304.51(a)(1)...................... Management systems and 1302.100...............
procedures.
1304.51(a)(1)(i)................... ........................... 1302.102(a)(3).........
1304.51(a)(1)(ii).................. ........................... 1302.102(a).
1302.102(c)(iii).......
1304.51(a)(1)(iii)................. ........................... ....................... Removed.
1304.51(a)(2)...................... ........................... ....................... Removed.
1304.51(b)......................... ........................... ....................... Removed.
1304.51(c)(1)...................... ........................... 1302.50(b)(2)..........
1304.51(c)(2)...................... ........................... 1302.50(b)(2)..........
1304.51(d)(1)...................... ........................... ....................... Removed.
[[Page 35444]]
1304.51(d)(2)...................... ........................... 1301.3(b)(2)...........
1304.51(d)(3)...................... ........................... 1301.3(b)(2)...........
1304.51(d)(4)...................... ........................... 1301.3(b)(2)...........
1304.51(e)......................... ........................... ....................... Removed.
1304.51(f)......................... ........................... ....................... Removed.
1304.51(g)......................... ........................... 1302.90(c)(1)(iii).
1302.101(a)............
1303.23................
1304.51(h)(1)...................... ........................... 1302.102(d)(1)(i).
1301.3(b)(2)...........
1304.51(h)(2)...................... ........................... 1302.102(d)(1)(iii)....
1304.51(i)(1)...................... ........................... 1302.102(b)(2)(i)......
1304.51(i)(2)...................... ........................... 1302.102(b)(1).........
1304.51(i)(3)...................... ........................... 1303.32(b).............
1304.52(a)(1)...................... Human resources management. 1302.101(a)(2).........
1304.52(a)(2)...................... ........................... 1302.101(a)(1).........
1304.52(a)(2)(i)................... ........................... ....................... Removed.
1304.52(a)(2)(ii).................. ........................... ....................... Removed.
1304.52(a)(2)(iii)................. ........................... ....................... Removed.
1304.52(b)(1)...................... ........................... 1302.91(a).............
1304.52(b)(2)...................... ........................... ....................... Removed.
1304.52(b)(3)...................... ........................... 1302.90(b)(5)..........
1304.52(b)(4)...................... ........................... 1302.90(d)(1)..........
1304.52(c)......................... ........................... 1302.91(i).............
1304.52(d)......................... ........................... 1302.91(a).
1302.101(a)(2).........
1304.52(d)(1)...................... ........................... 1302.91(c)-(e).........
1304.52(d)(2)...................... ........................... 1302.91(a).............
1304.52(d)(3)...................... ........................... 1302.91(h)(1)..........
1304.52(d)(4)...................... ........................... 1302.91(h)(2)..........
1304.52(d)(5)...................... ........................... 1302.91(a).............
1304.52(d)(6)...................... ........................... ....................... Removed.
1304.52(d)(7)...................... ........................... 1302.91(a).............
1304.52(d)(8)...................... ........................... 1302.91(h)(3)..........
1304.52(e)......................... ........................... 1302.91(f).............
1304.52(f)......................... ........................... 1302.91(b).
1302.92(b).............
1304.52(g)(1)...................... ........................... ....................... Removed.
1304.52(g)(2)...................... ........................... 1302.90(d)(2)..........
1304.52(g)(3)...................... ........................... ....................... Removed.
1304.52(g)(4)...................... ........................... 1302.21(b)(1)-(3)......
1304.52(g)(5)...................... ........................... 1302.90(c)(4)(i).......
1304.52(h)(1)...................... ........................... 1302.91(g)(1)..........
1304.52(h)(2)...................... ........................... ....................... Removed.
1304.52(h)(3)...................... ........................... ....................... Removed.
1304.52(h)(4)...................... ........................... 1302.91(g)(2)..........
1304.52(h)(5)...................... ........................... 1302.91(g)(3)..........
1304.52(h)(6)...................... ........................... ....................... Removed.
1304.52(i)(1)...................... ........................... 1302.90(c)(1)..........
1304.52(i)(1)(i)................... ........................... 1302.90(c)(1)(ii)......
1304.52(i)(1)(ii).................. ........................... 1302.90(c)(1)(iii).....
1304.52(i)(1)(iii)................. ........................... 1302.90(c)(1)(iv)......
1304.52(i)(1)(iv).................. ........................... 1302.90(c)(1)(i)(A).
1302.90(c)(1)(i)(C)-(I)
1304.52(i)(2)...................... ........................... 1303.3.................
1304.52(i)(3)...................... ........................... 1302.90(c)(2)..........
1304.52(j)......................... ........................... ....................... Removed.
1304.52(k)(1)...................... ........................... 1302.93(a).............
1304.52(k)(2)...................... ........................... 1302.94(a).............
1304.52(k)(3)...................... ........................... 1302.93(b).............
1304.52(l)(1)...................... ........................... 1302.92(a).............
1304.52(l)(2)...................... ........................... 1302.92(b).............
1304.52(l)(3)...................... ........................... 1302.92(b)(3)..........
1304.52(l)(3)(i)................... ........................... 1302.92(b)(1)..........
1304.52(l)(3)(ii).................. ........................... 1302.92(b)(3)..........
1304.52(l)(4)...................... ........................... 1301.2.................
1304.52(l)(5)(i)................... ........................... ....................... Removed.
1304.52(l)(5)(ii).................. ........................... ....................... Removed.
1304.52(l)(5))(iii)................ ........................... ....................... Removed.
1304.52(l)(5)(iv).................. ........................... ....................... Removed.
1304.52(l)(5)(v)................... ........................... ....................... Removed.
1304.52(l)(5)(vi).................. ........................... ....................... Removed.
[[Page 35445]]
1304.52(l)(5)(vii)................. ........................... ....................... Removed.
1304.52(l)(5)(viii)................ ........................... ....................... Removed.
1304.53(a)(1)...................... Facilities, materials, and ....................... Removed.
equipment.
1304.53(a)(2)...................... ........................... ....................... Removed.
1304.53(a)(3)...................... ........................... 1302.31(d).............
1304.53(a)(4)...................... ........................... ....................... Removed.
1304.53(a)(5)...................... ........................... 1302.21(d)(2)..........
1304.53(a)(6)...................... ........................... 1302.21(d)(1).
1302.22(d).............
1302.23(d).............
1304.53(a)(7)...................... ........................... 1302.47(b)(1)..........
1304.53(a)(8)...................... ........................... 1302.47(b)(1)(ii)......
1304.53(a)(9)...................... ........................... 1302.47(b)(4)(ii).
1302.47(b)(5)..........
1304.53(a)(10)..................... ........................... 1302.102(b)(1).........
1304.53(a)(10)(i).................. ........................... 1302.47(b)(2)..........
1304.53(a)(10)(ii)................. ........................... 1302.47(b)(2)..........
1304.53(a)(10)(iii)................ ........................... 1302.47(b)(1)(iii).....
1304.53(a)(10)(iv)................. ........................... 1302.47(b)(1)(iv)......
1304.53(a)(10)(v).................. ........................... 1302.47(b)(1)(v)(B)....
1304.53(a)(10)(vi)................. ........................... 1302.47(b)(1)(v)(B)....
1304.53(a)(10)(vii)................ ........................... ....................... Removed.
1304.53(a)(10)(viii)............... ........................... ....................... Removed.
1304.53(a)(10)(ix)................. ........................... 1302.47(b)(1)(iii).....
1304.53(a)(10)(x).................. ........................... ....................... Removed.
1304.53(a)(10)(xi)................. ........................... ....................... Removed.
1304.53(a)(10)(xii)................ ........................... ....................... Removed.
1304.53(a)(10)(xiii)............... ........................... ....................... Removed.
1304.53(a)(10)(xiv)................ ........................... ....................... Removed.
1304.53(a)(10)(xv)................. ........................... ....................... Removed.
1304.53(a)(10)(xvi)................ ........................... ....................... Removed.
1304.53(a)(10)(xvii)............... ........................... 1302.47(b)(2)..........
1304.53(b)(1)...................... ........................... 1302.31(d).............
1304.53(b)(1)(i)................... ........................... 1302.31(d).............
1304.53(b)(1)(ii).................. ........................... 1302.47(b)(2)..........
1304.53(b)(1)(iii)................. ........................... 1302.31(d).............
1304.53(b)(1)(iv).................. ........................... ....................... Removed.
1304.53(b)(1)(v)................... ........................... ....................... Removed.
1304.53(b)(1)(vi).................. ........................... 1302.47(b)(2)..........
1304.53(b)(1)(vii)................. ........................... ....................... Removed.
1304.53(b)(2)...................... ........................... 1302.47(b)(1)-(2)......
1304.53(b)(3)...................... ........................... 1302.47(b)(1)-(2).
1302.47(b)(4)..........
1304.60(a)......................... Deficiencies and quality ....................... Removed.
improvement plans.
1304.60(b)......................... ........................... 1304.2(b)..............
1304.60(c)......................... ........................... 1302.102(d)(3).
1304.2(c)(1)...........
1304.60(d)......................... ........................... ....................... Removed.
1304.60(e)......................... ........................... ....................... Removed.
1304.60(f)......................... ........................... 1304.2(c)(2)...........
1304.61(a)......................... Noncompliance.............. 1304.2(a)..............
1304.61(b)......................... ........................... 1304.2(b)..............
1305............................... Eligibility, recruitment,
selection, eligibility and
attendance.
1305.1............................. Purpose and scope.......... 1302.10................
1305.2............................. Definitions................ 1305...................
1305.3(a).......................... Determining community 1302.11(a)(1)..........
strengths and needs.
1305.3(b).......................... ........................... 1302.11(a)(2)..........
1305.3(c).......................... ........................... 1302.11(b)(1)..........
1305.3(c)(1)....................... ........................... 1302.11(b)(1)(i).......
1305.3(c)(2)....................... ........................... 1302.11(b)(1)(iv)......
1305.3(c)(3)....................... ........................... 1302.11(b)(1)(vi)......
1305.3(c)(4)....................... ........................... ....................... Removed.
1305.3(c)(5)....................... ........................... 1302.11(b)(1)(vii).....
1305.3(c)(6)....................... ........................... 1302.11(b)(1)(viii)....
1305.3(d)(1)....................... ........................... 1302.102(a)(3).........
1305.3(d)(2)....................... ........................... 1302.20(a)(1)..........
1305.3(d)(3)....................... ........................... ....................... Removed.
1305.3(d)(4)....................... ........................... ....................... Removed.
1305.3(d)(5)....................... ........................... ....................... Removed.
1305.3(d)(6)....................... ........................... ....................... Removed.
1305.3(e).......................... ........................... 1302.11(b)(2)..........
[[Page 35446]]
1305.3(f).......................... ........................... ....................... Removed.
1305.3(g)(1)....................... ........................... ....................... Removed.
1305.3(g)(2)(i).................... ........................... ....................... Removed.
1305.3(g)(2)(ii)................... ........................... ....................... Removed.
1305.4............................. Age of children and family 1302.12................ Redesignated.--Pendin
income eligibility. g OMB approval of
final eligibility
rule.
1305.4(a)(1)(i).................... ........................... 1302.12(a)(1)(i).......
1305.4(a)(1)(ii)................... ........................... 1302.12(a)(1)(ii)......
1305.4(a)(1)(iii).................. ........................... 1302.12(a)(1)(iii).....
1305.4(a)(2)....................... ........................... 1302.12(a)(2)..........
1305.4(b)(1)....................... ........................... 1302.12(b)(1)..........
1305.4(b)(2)(i).................... ........................... 1302.12(b)(2)(i).......
1305.4(b)(2)(ii)................... ........................... 1302.12(b)(2)(i).......
1305.4(b)(2)(iii).................. ........................... 1302.12(b)(2)(ii)......
1305.4(b)(3)....................... ........................... 1302.12(b)(3)..........
1305.4(c)(1)(i).................... ........................... 1302.12(c)(1)(i).......
1305.4(c)(1)(ii)................... ........................... 1302.12(c)(1)(ii)......
1305.4(c)(2)....................... ........................... 1302.12(c)(2)..........
1305.4(d)(1)....................... ........................... 1302.12(d)(1)..........
1305.4(d)(1)(i).................... ........................... 1302.12(d)(1)(i).......
1305.4(d)(1)(ii)................... ........................... 1302.12(d)(1)(ii)......
1305.4(d)(2)....................... ........................... 1302.12(d)(2)..........
1305.4(d)(2)(i).................... ........................... 1302.12(d)(2)(i).......
1305.4(d)(2)(ii)................... ........................... 1302.12(d)(2)(ii)......
1305.4(d)(2)(iii).................. ........................... 1302.12(d)(2)(iii).....
1305.4(d)(2)(iv)................... ........................... 1302.12(d)(2)(iv)......
1305.4(d)(2)(v).................... ........................... 1302.12(d)(2)(v).......
1305.4(d)(2)(vi)................... ........................... 1302.12(d)(2)(vi)......
1305.4(d)(2)(vii).................. ........................... 1302.12(d)(2)(vii).....
1305.4(e)(1)(i).................... ........................... 1302.12(e)(1)(i).......
1305.4(e)(1)(ii)................... ........................... 1302.12(e)(1)(ii)......
1305.4(e)(1)(iii).................. ........................... 1302.12(e)(1)(iii).....
1305.4(e)(1)(iv)................... ........................... 1302.12(e)(1)(iv)......
1305.4(e)(2)....................... ........................... 1302.12(e)(2)..........
1305.4(e)(3)....................... ........................... 1302.12(e)(3)..........
1305.4(f)(1)(i).................... ........................... 1302.12(c)(1)(iii).....
1305.4(f)(1)(ii)................... ........................... 1302.12(c)(1)(iv)......
1305.4(f)(2)....................... ........................... 1302.16(c)(1)..........
1305.4(g)(1)....................... ........................... 1302.12(f).............
1305.4(g)(2)....................... ........................... 1302.12(f).............
1305.4(g)(3)....................... ........................... 1302.12(f).............
1305.4(h).......................... ........................... 1302.12(h).............
1305.4(i)(1)(i).................... ........................... 1302.12(i)(1)..........
1305.4(i)(1)(ii)................... ........................... 1302.12(i)(1)..........
1305.4(i)(1)(iii).................. ........................... 1302.12(i)(1)..........
1305.4(i)(2)....................... ........................... 1302.12(i)(2)..........
1305.4(i)(3)(i)(A)................. ........................... 1302.12(i)(3)(i).......
1305.4(i)(3)(i)(B)................. ........................... 1302.12(i)(3)(i).......
1305.4(i)(3)(ii)................... ........................... 1302.12(i)(3)(ii)......
1305.4(i)(4)....................... ........................... 1302.12(j)(3)..........
1305.4(i)(5)....................... ........................... 1302.12(i)(4)..........
1305.4(j)(1)(i).................... ........................... 1302.12(i)(5)(i).......
1305.4(j)(1)(ii)................... ........................... 1302.12(i)(5)(ii)......
1305.4(j)(1)(iii).................. ........................... 1302.12(j)(5)(iii).....
1305.4(j)(2)(i).................... ........................... 1302.12(i)(6)..........
1305.4(j)(2)(ii)................... ........................... 1302.12(i)(6)..........
1305.4(j)(3)(i).................... ........................... 1302.12(i)(7)(i).......
1305.4(j)(3)(ii)................... ........................... 1302.12(i)(7)(ii)......
1305.4(j)(4)....................... ........................... 1302.12(i)(8)..........
1305.4(k)(1)....................... ........................... 1302.12(j)(1)..........
1305.4(k)(2)....................... ........................... 1302.12(j)(4)..........
1305.4(l)(1)....................... ........................... 1302.12(k)(1)..........
1305.4(l)(2)(i).................... ........................... 1302.12(k)(2)(i).......
1305.4(l)(2)(ii)(A)................ ........................... 1302.12(k)(2)(ii)(A)...
1305.4(l)(2)(ii)(B)................ ........................... 1302.12(k)(2)(ii)(B)...
1305.4(l)(2)(ii)(C)(1)............. ........................... 1302.12(k)(2)(ii)(B)...
1305.4(l)(2)(ii)(C)(2)............. ........................... 1302.12(k)(2)(ii)(B)...
1305.4(l)(2)(ii)(C)(3)............. ........................... 1302.12(k)(2)(ii)(B)...
1305.4(l)(2)(iii)(A)............... ........................... 1302.12(k)(2)(iii)(A)..
1305.4(l)(2)(iii)(B)............... ........................... 1302.12(k)(2)(iii)(B)..
1305.4(l)(2)(iii)(C)............... ........................... 1302.12(k)(2)(iii)(C)..
[[Page 35447]]
1305.4(l)(2)(iii)(D)............... ........................... 1302.12(k)(2)(iii)(C)..
1305.4(l)(2)(iii)(E)............... ........................... 1302.12(k)(2)(iii)(D)..
1305.4(l)(2)(iii)(F)............... ........................... 1302.12(k)(2)(iii)(E)..
1305.4(l)(3)(i).................... ........................... 1302.12(k)(3)..........
1305.4(l)(3)(ii)................... ........................... 1302.12(k)(3)..........
1305.4(l)(3)(iii).................. ........................... 1302.12(k)(3)..........
1305.4(m).......................... ........................... 1302.12(l).............
1305.4(n)(1)....................... ........................... 1302.12(m)(1)..........
1305.4(n)(1)(i).................... ........................... 1302.12(m)(1)(i).......
1305.4(n)(1)(ii)................... ........................... 1302.12(m)(1)(ii)......
1305.4(n)(1)(iii).................. ........................... 1302.12(m)(1)(iii).....
1305.4(n)(2)....................... ........................... 1302.12(m)(2)..........
1305.4(n)(3)....................... ........................... 1302.12(m)(3)..........
1305.4(n)(4)....................... ........................... 1302.12(m)(4)..........
1305.5(a).......................... Recruitment of children.... 1302.13(a) first Second sentence
sentence. removed.
1305.5(b).......................... ........................... 1302.13(b)(1-2)........
1305.5(c).......................... ........................... 1302.13(b)(1)..........
1305.6(a).......................... Selection process.......... 1302.14(a)(1)..........
1305.6(b).......................... ........................... 1302.14(a)(1)(i)(iv)&
1302.14(a)(2).
1305.6(c).......................... ........................... 1302.14(b)(1)..........
1305.6(d).......................... ........................... 1302.14(c).............
1305.7(a).......................... Enrollment and reenrollment 1302.12.
1302.15(b).............
1305.7(b).......................... ........................... 1302.15(a) 1st sentence
amended and combined
with second sentence.
Third sentence is
removed.
1305.7(c).......................... ........................... 1302.12(j)(2).
1302.70(d)(1)-last
sentence.
1305.8(a).......................... Attendance................. 1302.16(b).............
1305.8(b).......................... ........................... 1302.16(a)(2)..........
1305.8(c).......................... ........................... 1302.16(a)(3)..........
1305.9............................. Policy on fees............. 1302.18.
Second sentence removed
1305.10............................ Compliance................. 1304.4(a)(2)(iv).......
1306............................... Program staffing...........
1306.1............................. Purpose and scope.......... ....................... Removed.
1306.2............................. Effective dates............ ....................... Removed.
1306.2(a).......................... ........................... ....................... Removed.
1306.2(b).......................... ........................... ....................... Removed.
1306.3............................. Definitions................ 1305...................
1306.20(a)......................... Program staffing patterns.. ....................... Removed.
1306.20(b)......................... ........................... 1302.101(a)(2).........
1306.20(c)......................... ........................... 1302.21(b)............. Last sentence
removed.
1306.20(d)......................... ........................... ....................... Removed.
1306.20(e)......................... ........................... ....................... Removed.
1306.20(f)......................... ........................... 1302.90(d)(1)..........
1306.20(g)......................... ........................... 1302.23(b)(1)..........
1306.20(g)(1)...................... ........................... 1302.23(b)(2)..........
1306.20(g)(2)...................... ........................... 1302.23(b)(3)..........
1306.20(g)(3)...................... ........................... ....................... Removed.
1306.20(h)(1)...................... ........................... 1302.23(e).............
1306.20(h)(2)...................... ........................... 1302.23(e).............
1306.20(h)(3)...................... ........................... 1302.23(e)(2)-(4)......
1306.20(i)......................... ........................... 1302.20(b).............
1306.21............................ Staff qualification........ 1302.91(c)-(e).........
1306.22(a)......................... Volunteers................. ....................... Removed.
1306.22(b)......................... ........................... ....................... Removed.
1306.23(a)......................... Training................... 1302.92................
1306.23(b)......................... ........................... 1302.92(a).............
1306.30(a)......................... Provision of comprehensive 1302.20(b).............
child development services.
1306.30(b)......................... ........................... ....................... Removed.
1306.30(c)......................... ........................... 1302.21(d)(1).
1302.22(d).............
1302.23(d).............
1306.30(d)......................... ........................... ....................... Removed.
1306.31(a)......................... Choosing a Head Start 1302.20(a)(1)..........
program option.
1306.31(b)......................... ........................... 1302.20(a)(1)..........
1306.31(c)......................... ........................... ....................... Removed.
1306.32(a)(1)...................... Center-based program option 1302.21(b).............
[[Page 35448]]
1306.32(a)(2)...................... ........................... 1302.21(b)(1)..........
1306.32(a)(3)...................... ........................... 1302.21(b)(5)..........
1306.32(a)(4)...................... ........................... 1302.24(c)(2)(ii)......
1306.32(a)(5)...................... ........................... 1302.21(b)(4)..........
1306.32(a)(6)...................... ........................... 1302.24(c)(2)(i).......
1306.32(a)(7)...................... ........................... ....................... Removed.
1306.32(a)(8)...................... ........................... ....................... Removed.
1306.32(a)(9)...................... ........................... ....................... Removed.
1306.32(a)(10)..................... ........................... 1302.21(b)(1).......... Second sentence
removed.
1306.32(a)(11)..................... ........................... ....................... Removed.
1306.32(a)(12)..................... ........................... 1302.21(b).............
1306.32(b)(1)...................... ........................... ....................... Removed.
1306.32(b)(2)...................... ........................... 1302.21(c)(2)..........
1306.32(b)(3)...................... ........................... 1302.21(c)(1).
1302.21(c)(1)(ii)......
1306.32(b)(4)...................... ........................... 1302.21(c)(1)(i)....... Last sentence
removed.
1306.32(b)(5)...................... ........................... 1302.16(a)(2).......... First sentence
removed.
1306.32(b)(6)...................... ........................... 1302.21(c)(2)..........
1306.32(b)(7)...................... ........................... 1302.101(a)(3)......... Last sentence
removed.
1306.32(b)(8)...................... ........................... 1302.17(c).
1302.34(b)(6)..........
1306.32(b)(9)...................... ........................... 1302.34(b)(2).
1302.34(b)(7)..........
1306.32(c)(1)...................... ........................... ....................... Removed.
1306.32(c)(2)...................... ........................... ....................... Removed.
1306.32(c)(3)...................... ........................... ....................... Removed.
1306.32(d)(1)...................... ........................... ....................... Removed.
1306.32(d)(2)...................... ........................... ....................... Removed.
1306.32(d)(3)...................... ........................... ....................... Removed.
1306.32(e)......................... ........................... ....................... Removed.
1306.33(a)(1)...................... Home based program option.. 1302.22(c)(1).
1302.24(c)(3)(i).......
1306.33(a)(2)...................... ........................... 1302.22(c)(2).
1302.24(c)(3)(ii)......
1306.33(a)(3)...................... ........................... 1302.22(c)(3)-(4)......
1306.33(a)(4)...................... ........................... 1302.101(a)(3).........
1306.33(a)(5)...................... ........................... 1302.22(b).............
1306.33(b)......................... ........................... 1302.35(b)(1).
1302.35(b)(3)..........
1302.91(f).............
1306.33(b)(1)...................... ........................... 1302.35(a).............
1306.33(b)(2)...................... ........................... ....................... Removed.
1306.33(c)......................... ........................... 1302.35(e)(1)..........
1306.33(c)(1)...................... ........................... 1302.35(e)(2)(i). Last sentence
1302.35(e)(1).......... removed.
1306.33(c)(2)...................... ........................... ....................... Removed.
1306.33(c)(3)...................... ........................... 1302.44(a)(2)(vii).....
1306.34(a)(1)...................... Combination program option. ....................... Removed.
1306.34(a)(2)...................... ........................... ....................... Removed.
1306.34(a)(3)...................... ........................... ....................... Removed.
1306.34(a)(4)...................... ........................... ....................... Removed.
1306.34(b)(1)...................... ........................... ....................... Removed.
1306.34(b)(2)...................... ........................... ....................... Removed.
1306.34(b)(3)...................... ........................... ....................... Removed.
1306.34(c)(1)...................... ........................... ....................... Removed.
1306.34(c)(2)...................... ........................... ....................... Removed.
1306.35(a)(1)...................... Family child care program 1302.23(a)(1).
option. 1302.23(c).............
1306.35(a)(2)(i)................... ........................... 1302.23(a)(2)..........
1306.35(a)(2)(ii).................. ........................... 1302.23(a)(1)..........
1306.35(a)(3)...................... ........................... 1302.23(a).
1302.31(d).............
1306.35(a)(4)...................... ........................... 1301.4(c)(1)...........
1306.35(b)(1)...................... ........................... 1302.47(a)............. Second sentence
removed.
1306.35(b)(2)(i)................... ........................... 1302.47(b)(1)(i)-(iii).
1306.35(b)(2)(ii).................. ........................... 1302.47(b)(1)(v)(B)....
1306.35(b)(2)(iii)................. ........................... ....................... Removed.
[[Page 35449]]
1306.35(b)(2)(iv).................. ........................... 1302.47(4)(ii)
1302.47(b)(5)..........
1306.35(b)(2)(v)................... ........................... 1302.47(b)(1)
1302.47(b)(5)..........
1306.35(b)(2)(vi).................. ........................... ....................... Removed.
1306.35(b)(2)(vii)................. ........................... 1302.47(b)(1)..........
1306.35(b)(2)(viii)................ ........................... 1302.47(b)(4)
1302.47(b)(5)..........
1306.35(b)(2)(ix).................. ........................... 1302.47(b)(1)..........
1306.35(c)......................... ........................... 1302.47(b)(7)..........
1306.35(d)......................... ........................... 1302.23(d).............
1306.36............................ Additional Head Start 1302.24(a).............
program option variations.
1306.37............................ Compliance waiver.......... 1302.24(c).............
1307............................... Policies and procedures for No changes made--only
designation renewal of redesignated--will not
Head Start and Early Head consider comments.
Start grantees.
1307.1............................. Purpose and scope.......... 1304.10................ Redesignated.
1307.2............................. Definitions................ 1305................... Redesignated.
1307.3............................. Basis for determining 1304.11................ Redesignated.
whether a Head Start
agency will be subject to
an open competition.
1307.3(a).......................... ........................... 1304.11(a)............. Redesignated.
1307.3(b).......................... ........................... 1304.11(b)............. Redesignated.
1307.3(b)(1)....................... ........................... 1304.11(b)(1).......... Redesignated.
1307.3(b)(1)(i).................... ........................... 1304.11(b)(1)(i)....... Redesignated.
1307.3(b)(1)(ii)................... ........................... 1304.11(b)(1)(ii)...... Redesignated.
1307.3(b)(1)(iii).................. ........................... 1304.11(b)(1)(iii)..... Redesignated.
1307.3(b)(2)....................... ........................... 1304.11(b)(2).......... Redesignated.
1307.3(b)(2)(i).................... ........................... 1304.11(b)(2)(i)....... Redesignated.
1307.3(b)(2)(ii)................... ........................... 1304.11(b)(2)(ii)...... Redesignated.
1307.3(c).......................... ........................... 1304.11(c)............. Redesignated.
1307.3(c)(1)....................... ........................... 1304.11(c)(1).......... Redesignated.
1307.3(c)(1)(i).................... ........................... 1304.11(c)(1)(i)....... Redesignated.
1307.3(c)(1)(ii)................... ........................... 1304.11(c)(1)(ii)...... Redesignated.
1307.3(c)(1)(iii).................. ........................... 1304.11(c)(1)(iii)..... Redesignated.
1307.3(c)(2)....................... ........................... 1304.11(c)(2).......... Redesignated.
1307.3(d).......................... ........................... 1304.11(d)............. Redesignated.
1307.3(e).......................... ........................... 1304.11(e)............. Redesignated.
1307.3(f).......................... ........................... 1304.11(f)............. Redesignated.
1307.3(g).......................... ........................... 1304.11(g)............. Redesignated.
1307.4(a).......................... Grantee reporting 1304.12(a)............. Redesignated.
requirements concerning
certain conditions.
1307.4(b).......................... ........................... 1304.12(b)............. Redesignated.
1307.4(b)(1)....................... ........................... 1304.12(b)(1).......... Redesignated.
1307.4(b)(2)....................... ........................... 1304.12(b)(2).......... Redesignated.
1307.4(b)(3)....................... ........................... 1304.12(b)(3).......... Redesignated.
1307.4(b)(4)....................... ........................... 1304.12(b)(4).......... Redesignated.
1307.5............................. Requirements to be 1304.13................ Redesignated.
considered for designation
for a five-year period
when the existing grantee
in a community is not
determined to be
delivering a high quality
and comprehensive Head
Start program and is not
automatically renewed.
1307.60(a)......................... Tribal government 1304.14(a)............. Redesignated.
consultation under the
Designation Renewal System
for when an Indian Head
Start grant is being
considered for competition.
1307.60(a)(1)...................... ........................... 1304.14(a)(1).......... Redesignated.
1307.60(a)(2)...................... ........................... 1304.14(a)(2).......... Redesignated.
1307.60(a)(3)...................... ........................... 1304.14(a)(3).......... Redesignated.
1307.60(b)......................... ........................... 1304.1514(b)........... Redesignated.
1307.60(c)......................... ........................... 1304.14(c)............. Redesignated.
1307.70(a)......................... Designation request, review 1304.15(a)............. Redesignated.
and notification process.
1307.70(a)(1)...................... ........................... 1304.15(a)(1).......... Redesignated.
1307.70(a)(2)...................... ........................... 1304.15(a)(2).......... Redesignated.
1307.70(b)......................... ........................... 1304.15(b)............. Redesignated.
1307.70(b)(1)...................... ........................... 1304.15(b)(1).......... Redesignated.
1307.70(b)(2)...................... ........................... 1304.15(b)(2).......... Redesignated.
1307.70(b)(3)...................... ........................... 1304.15(b)(3).......... Redesignated.
1307.70(c)......................... ........................... 1304.15(c)............. Redesignated.
[[Page 35450]]
1307.70(c)(1)...................... ........................... 1304.15(c)(1).......... Redesignated.
1307.70(c)(2)...................... ........................... 1304.15(c)(2).......... Redesignated.
1307.70(c)(2)(i)................... ........................... 1304.15(c)(2)(i)....... Redesignated.
1307.70(c)(2)(i)................... ........................... 1304.15(c)(2)(i)....... Redesignated.
1307.70(c)(3)...................... ........................... ....................... Redesignated.
1307.70(c(3)(i).................... ........................... ....................... Redesignated.
1307.70(c)(3)ii)................... ........................... ....................... Redesignated.
1307.80............................ Use of CLASS: Pre-K ....................... Redesignated.
Instrument in the
Designation Renewal System.
1308............................... Service for children with
disabilities.
1308.1............................. Purpose.................... 1302.60................
1308.2............................. Scope...................... ....................... Removed.
1308.3............................. Definitions................ 1305...................
1308.4(a).......................... Disabilities service plan.. 1302.101(b)(3).........
1308.4(a)(1)....................... ........................... ....................... Removed.
1308.4(a)(2)....................... ........................... ....................... Removed.
1308.4(b).......................... ........................... 1302.101(b)(3).........
1308.4(c).......................... ........................... 1302.60................
1308.4(d).......................... ........................... ....................... Removed.
1308.4(e).......................... ........................... ....................... Removed.
1308.4(f)(1)....................... ........................... 1302.63(a).............
1308.4(f)(2)....................... ........................... 1302.63(a).............
1308.4(f)(3)....................... ........................... ....................... Removed.
1308.4(f)(4)....................... ........................... ....................... Removed.
1308.4(g).......................... ........................... 1302.61(b)(3)..........
1308.4(h).......................... ........................... ....................... Removed.
1308.4(h)(1)....................... ........................... ....................... Removed.
1308.4(h)(2)....................... ........................... ....................... Removed.
1308.4(h)(3)....................... ........................... ....................... Removed.
1308.4(h)(4)....................... ........................... ....................... Removed.
1308.4(h)(5)....................... ........................... ....................... Removed.
1308.4(h)(6)....................... ........................... 1303.75................
1308.4(h)(7)....................... ........................... ....................... Removed.
1308.4(i).......................... ........................... ....................... Removed.
1308.4(j)(1)....................... ........................... ....................... Removed.
1308.4(j)(2)....................... ........................... ....................... Removed.
1308.4(j)(3)....................... ........................... ....................... Removed.
1308.4(j)(4)....................... ........................... ....................... Removed.
1308.4(j)(5)....................... ........................... ....................... Removed.
1308.4(j)(5)(i).................... ........................... ....................... Removed.
1308.4(j)(5)(ii)................... ........................... ....................... Removed.
1308.4(j)(5)(iii).................. ........................... ....................... Removed.
1308.4(k).......................... ........................... ....................... Removed.
1308.4(l).......................... ........................... 1302.63(b).............
1308.4(l)(1)....................... ........................... ....................... Removed.
1308.4(l)(2)....................... ........................... ....................... Removed.
1308.4(l)(3)....................... ........................... 1302.63(b).............
1308.4(l)(4)....................... ........................... 1302.63(b).............
1308.4(l)(5)....................... ........................... ....................... Removed.
1308.4(l)(6)....................... ........................... ....................... Removed.
1308.4(l)(7)....................... ........................... ....................... Removed.
1308.4(m).......................... ........................... ....................... Removed.
1308.4(n).......................... ........................... ....................... Removed.
1308.4(o).......................... ........................... ....................... Removed.
1308.4(o)(1)....................... ........................... ....................... Removed.
1308.4(o)(2)....................... ........................... ....................... Removed.
1308.4(o)(3)....................... ........................... ....................... Removed.
1308.4(o)(4)....................... ........................... ....................... Removed.
1308.4(o)(5)....................... ........................... ....................... Removed.
1308.4(o)(6)....................... ........................... ....................... Removed.
1308.4(o)(7)....................... ........................... ....................... Removed.
1308.4(o)(7)(i).................... ........................... ....................... Removed.
1308.4(o)(7)(ii)................... ........................... ....................... Removed.
1308.4(o)(7)(iii).................. ........................... ....................... Removed.
1308.5(a).......................... Recruitment and enrollment 1302.12(b)(3)..........
of children with
disabilities.
1308.5(b).......................... ........................... ....................... Removed.
1308.5(c)(1)....................... ........................... 1302.13(b)(2)..........
1308.5(c)(2)....................... ........................... 1302.13(b)(2)..........
1308.5(c)(3)....................... ........................... 1302.13(b)(2)..........
1308.5(c)(4)....................... ........................... 1302.13(b)(2)..........
1308.5(d)(1)....................... ........................... ....................... Removed.
[[Page 35451]]
1308.5(d)(2)....................... ........................... ....................... Removed.
1308.5(d)(3)....................... ........................... ....................... Removed.
1308.5(d)(4)....................... ........................... ....................... Removed.
1308.5(d)(5)....................... ........................... ....................... Removed.
1308.5(e).......................... ........................... 1302.13(a)(1)(v).......
1308.5(e)(1)....................... ........................... ....................... Removed.
1308.5(e)(2)....................... ........................... ....................... Removed.
1308.5(e)(3)....................... ........................... ....................... Removed.
1308.5(f).......................... ........................... ....................... Removed.
1308.6(a).......................... Assessment of children..... ....................... Removed.
1308.6(a)(1)....................... ........................... 1302.33(a).............
1308.6(a)(2)....................... ........................... 1302.33(b).............
1308.6(a)(3)....................... ........................... ....................... Removed.
1308.6(b)(1)....................... ........................... 1302.33(a)
1302.42(b)(2)..........
1308.6(b)(2)....................... ........................... ....................... Removed.
1308.6(b)(3)....................... ........................... ....................... Removed.
1308.6(c).......................... ........................... 1302.34(b)(5)..........
1308.6(d).......................... ........................... ....................... Removed.
1308.6(e).......................... ........................... 1302.33(a)(2)..........
1308.6(e)(1)....................... ........................... 1302.33(a)(2)..........
1308.6(e)(2)....................... ........................... ....................... Removed.
1308.6(e)(2)(i).................... ........................... ....................... Removed.
1308.6(e)(2)(ii)................... ........................... ....................... Removed.
1308.6(e)(2)(iii).................. ........................... ....................... Removed.
1308.6(e)(2)(iv)................... ........................... ....................... Removed.
1308.6(e)(2)(v).................... ........................... ....................... Removed.
1308.6(e)(2)(vi)................... ........................... ....................... Removed.
1308.6(e)(2)(vii).................. ........................... ....................... Removed.
1308.6(e)(2)(viii)................. ........................... ....................... Removed.
1308.6(e)(3)....................... ........................... ....................... Removed.
1306.6(e)(4)....................... ........................... ....................... Removed.
1306.6(e)(5)....................... ........................... ....................... Removed.
1308.7(a).......................... Eligibility criteria: ....................... Removed.
Health impairment.
1308.7(b).......................... ........................... ....................... Removed.
1308.7(c).......................... ........................... ....................... Removed.
1308.7(d).......................... ........................... ....................... Removed.
1308.7(d)(1)....................... ........................... ....................... Removed.
1308.7(d)(2)....................... ........................... ....................... Removed.
1308.7(d)(2)(i).................... ........................... ....................... Removed.
1308.7(d)(2)(ii)................... ........................... ....................... Removed.
1308.7(d)(2)(iii).................. ........................... ....................... Removed.
1308.7(d)(2)(iv)................... ........................... ....................... Removed.
1308.7(d)(2)(v).................... ........................... ....................... Removed.
1308.7(d)(3)....................... ........................... ....................... Removed.
1308.7(d)(4)....................... ........................... ....................... Removed.
1308.8(a).......................... Eligibility criteria: ....................... Removed.
Emotional/behavioral
disorders.
1308.8(a)(1)....................... ........................... ....................... Removed.
1308.8(a)(2)....................... ........................... ....................... Removed.
1308.8(a)(3)....................... ........................... ....................... Removed.
1308.8(a)(4)....................... ........................... ....................... Removed.
1308.8(b).......................... ........................... ....................... Removed.
1308.8(c).......................... ........................... ....................... Removed.
1308.9(a).......................... Eligibility criteria: ....................... Removed.
Speech or language
impairments.
1308.9(b).......................... ........................... ....................... Removed.
1308.9(c).......................... ........................... ....................... Removed.
1308.9(d).......................... ........................... ....................... Removed.
1308.9(e).......................... ........................... ....................... Removed.
1308.9(e)(1)....................... ........................... ....................... Removed.
1308.9(e)(2)....................... ........................... ....................... Removed.
1308.9(e)(3)....................... ........................... ....................... Removed.
1308.10(a)......................... Eligibility criteria: ....................... Removed.
Mental retardation.
1308.10(b)......................... ........................... ....................... Removed.
1308.10(c)......................... ........................... ....................... Removed.
1308.11............................ Eligibility criteria: ....................... Removed.
Hearing impairment
including deafness.
1308.11(a)......................... ........................... ....................... Removed.
1308.11(b)......................... ........................... ....................... Removed.
1308.11(c)......................... ........................... ....................... Removed.
1308.12(a)......................... Eligibility criteria: ....................... Removed.
Orthopedic impairment.
[[Page 35452]]
1308.12(b)......................... ........................... ....................... Removed.
1308.13(a)......................... Eligibility criteria: ....................... Removed.
Visual impairment
including blindness.
1308.13(a)(1)...................... ........................... ....................... Removed.
1308.13(a)(2)...................... ........................... ....................... Removed.
1303.13(b)......................... ........................... ....................... Removed.
1308.14(a)......................... Eligibility criteria: ....................... Removed.
Learning disabilities.
1308.14(b)......................... ........................... ....................... Removed.
1308.14(b)(1)...................... ........................... ....................... Removed.
1308.14(b)(2)...................... ........................... ....................... Removed.
1308.14(b)(3)...................... ........................... ....................... Removed.
1308.14(c)......................... ........................... ....................... Removed.
1308.15............................ Eligibility criteria: ....................... Removed.
Autism.
1308.16............................ Eligibility criteria: ....................... Removed.
Traumatic brain injury.
1308.17(a)......................... Eligibility criteria: Other ....................... Removed.
impairments.
1308.17(a)(1)...................... ........................... ....................... Removed.
1308.17(a)(2)...................... ........................... ....................... Removed.
1308.17(a)(3)...................... ........................... ....................... Removed.
1308.17(b)......................... ........................... ....................... Removed.
1308.17(c)......................... ........................... ....................... Removed.
1308.17(d)......................... ........................... ....................... Removed.
1308.17(e)......................... ........................... ....................... Removed.
1308.18(a)......................... Disabilities/health ....................... Removed.
services coordination.
1308.18(b)......................... ........................... ....................... Removed.
1308.18(c)......................... ........................... ....................... Removed.
1308.18(d)(1)...................... ........................... 1302.47(b)(7)(v).......
1308.18(d)(2)...................... ........................... ....................... Removed.
1308.18(d)(3)...................... ........................... ....................... Removed.
1308.18(d)(4)...................... ........................... ....................... Removed.
1308.19(a)......................... Developing individualized ....................... Removed.
education programs(IEPs).
1308.19(b)......................... ........................... ....................... Removed.
1308.19(c)......................... ........................... ....................... Removed.
1308.19(d)......................... ........................... ....................... Removed.
1308.19(e)......................... ........................... ....................... Removed.
1308.19(e)(1)...................... ........................... ....................... Removed.
1308.19(e)(2)...................... ........................... ....................... Removed.
1308.19(e)(3)...................... ........................... ....................... Removed.
1308.19(e)(4)...................... ........................... ....................... Removed.
1308.19(e)(5)...................... ........................... ....................... Removed.
1308.19(e)(6)...................... ........................... ....................... Removed.
1308.19(e)(7)...................... ........................... ....................... Removed.
1308.19(e)(8)...................... ........................... ....................... Removed.
1308.19(f)......................... ........................... ....................... Removed.
1308.19(f)(1)...................... ........................... ....................... Removed.
1308.19(f)(2)...................... ........................... ....................... Removed.
1308.19(f)(3)...................... ........................... ....................... Removed.
1308.19(f)(4)...................... ........................... ....................... Removed.
1308.19(g)......................... ........................... ....................... Removed.
1308.19(h)......................... ........................... ....................... Removed.
1308.19(i)......................... ........................... ....................... Removed.
1308.19(j)......................... ........................... ....................... Removed.
1308.19(j)(1)...................... ........................... ....................... Removed.
1308.19(j)(2)...................... ........................... ....................... Removed.
1308.19(j)(3)...................... ........................... ....................... Removed.
1308.19(j)(4)...................... ........................... ....................... Removed.
1308.19(k)......................... ........................... ....................... Removed.
1308.20(a)......................... Nutrition services......... ....................... Removed.
1308.20(b)......................... ........................... ....................... Removed.
1308.20(c)......................... ........................... ....................... Removed.
1308.20(d)......................... ........................... ....................... Removed.
1308.21(a)(1)...................... Parent participation and 1302.61(b)(3)..........
transition of children
into Head Start and from
Head Start to public
school.
1308.21(a)(2)...................... ........................... 1302.62(a)(1)..........
1308.21(a)(3)...................... ........................... 1302.34(b)(4)..........
1308.21(a)(4)...................... ........................... ....................... Removed.
1308.21(a)(5)...................... ........................... ....................... Removed.
1308.21(a)(6)...................... ........................... 1302.62(a)(2)..........
1308.21(a)(7)...................... ........................... 1302.62(b).............
1308.21(a)(8)...................... ........................... ....................... Removed.
1308.21(a)(9)...................... ........................... ....................... Removed.
[[Page 35453]]
1308.21(a)(10)..................... ........................... 1302.62(a).............
1308.21(b)......................... ........................... 1302.62(b)(3)..........
1308.21(c)......................... ........................... ....................... Removed.
1309............................... Head Start facilities
purchase, major renovation
and construction.
1309.1............................. ........................... 1303.40................
1309.2............................. Approval of the use of Head 1303.41................
Start funds to continue
purchase of facilities.
1309.3............................. Definitions................ 1305...................
1309.4............................. Eligibility--Construction..
1309.4(a).......................... ........................... 1303.42(a)(1)..........
1309.4(b).......................... ........................... 1303.42(a)(3)
1303.42(b).............
1309.5............................. Eligibility--Major
renovations.
1309.5(a).......................... ........................... 1303.42(a)(1)..........
1309.5(b).......................... ........................... 1303.42(a)(3)
1303.42(b).............
1309.10............................ Applications for the 1303.44(a).............
purchase, construction and
major renovation of
facilities.
1309.10(a)......................... ........................... 1303.44(a)(1)
1303.44(a)(2)..........
1309.10(b)......................... ........................... 1303.44(a)(3)
1303.44(a)(5)..........
1303.45(a)(1)..........
1309.10(c)......................... ........................... 1303.44(a)(8)..........
1309.10(d)......................... ........................... 1303.44(a)(3)
1303.45(c).............
1309.10(e)......................... ........................... 1303.44(a)(4)..........
1309.10(f)......................... ........................... 1303.42(b).............
1309.10(g)......................... ........................... 1303.44(a)(11).........
1309.10(h)......................... ........................... 1303.44(a)(9)..........
1309.10(i)......................... ........................... 1303.44(a)(4)..........
1309.10(j)......................... ........................... ....................... Removed.
1309.10(k)......................... ........................... 1303.44(a)(6)..........
1309.10(l)......................... ........................... 1303.44(b)
1303.48(b).............
1303.50(a).............
1309.10(m)......................... ........................... 1303.44(a)(12).........
1309.10(n)......................... ........................... ....................... Removed.
1309.10(o)......................... ........................... 1303.44(a)(9)..........
1309.10(p)......................... ........................... 1303.44(a)(10).........
1309.10(q)......................... ........................... 1303.44(a)(13).........
1309.11(a)......................... Cost comparison for 1303.45(a)(1)..........
purchase, construction and
major renovation of
facilities.
1309.11(b)......................... ........................... 1303.45(a)(2)(i).......
1309.11(c)(1)...................... ........................... 1303.45(a)(1)..........
1309.11(c)(2)...................... ........................... ....................... Removed.
1309.11(c)(3)...................... ........................... 1303.45(a)(1)..........
1309.11(d)(1)...................... ........................... 1303.45(a)(2)(i).......
1309.11(d)(2)...................... ........................... 1303.45(a)(2)(i).......
1309.11(e)......................... ........................... 1303.45(a)(2)(ii)......
1309.11(f)......................... ........................... 1303.45(c).............
1309.20............................ Title...................... ....................... Removed.
1309.21............................ Recording of federal
interest
and other protection of
federal interest.
1309.21(a)......................... ........................... 1305 First Sentence
1303.51 Second Sentence
1309.21(b)......................... ........................... 1303.48(a).............
1309.21(c)......................... ........................... 1303.48(b).............
1309.21(d)(1)...................... ........................... 1303.50................
1309.21(d)(2)...................... ........................... 1303.46(b)(1) First
sentence
1303.47(b)(1) Second
sentence.
1303.47(b)(1)(vi) Third
sentence.
Fourth sentence removed
1303.47(b)(2) Last
sentence.
1309.21(d)(3)...................... ........................... .......................
1309.21(d)(3)(i)................... ........................... 1303.47(b)(1)(i)-(iii).
1309.21(d)(3)(ii).................. ........................... 1303.47(b)(1)(v).......
1309.21(d)(3)(iii)................. ........................... 1303.47(b)(1)(v).......
1309.21(d)(3)(iv).................. ........................... 1303.48(a).............
1309.21(d)(3)(v)................... ........................... ....................... Removed.
1309.21(d)(3)(vi).................. ........................... 1303.47(a)(9)..........
[[Page 35454]]
1309.21(d)(4)...................... ........................... 1303.47(b)(1)..........
1309.21(d)(4)(i)................... ........................... 1303.47(b)(1)(i)(ii)...
1309.21(d)(4)(ii).................. ........................... 1303.47(b)(1)(v).......
1309.21(d)(4)(iii)................. ........................... 1303.47(b)(1)(v).......
1309.21(e)......................... ........................... 1303.55(a): 1303.3.....
1309.21(f)(1)...................... ........................... 1303.51................
1309.21(f)(1)(i)................... ........................... ....................... Removed.
1309.21(f)(1)(ii).................. ........................... ....................... Removed.
1309.21(f)(1)(iii)................. ........................... ....................... Removed.
1309.21(f)(2)...................... ........................... 1303.47................
1309.21(f)(2)(i)................... ........................... ....................... Removed.
1309.21(f)(2)(ii).................. ........................... ....................... Removed.
1309.21(f)(2)(iii)................. ........................... ....................... Removed.
1309.21(f)(2)(iv).................. ........................... ....................... Removed.
1309.21(f)(3)...................... ........................... ....................... Removed.
1309.22(a)......................... Rights and responsibilities 1303.49(a)(1),(3),(6), Removed last two
in the event of grantee's & (7). sentences.
default on mortgage, or
withdrawal or termination.
1309.22(b)......................... ........................... 1303.49(b).............
1309.22(c)......................... ........................... 1303.49(a)(5); 1303.51.
1309.23(a)......................... Insurance, bonding and 1303.52(a).............
maintenance.
1309.23(a)(1)...................... ........................... 1303.52(a) &
1303.52(b)(1).
1309.23(a)(2)...................... ........................... 1303.52(b)(1) & (2)....
1309.23(b)......................... ........................... 1303.52(b)(3)..........
1309.23(c)......................... ........................... 1303.52(c).............
1309.30(a)......................... General.................... ....................... Removed.
1309.30(b)......................... ........................... ....................... Removed.
1309.31(a)......................... Site description........... 1303.44(b)(2)..........
1309.31(b)......................... ........................... 1303.47(c).............
1309.31(c)......................... ........................... 1303.47(c)(7)..........
1309.32(a)......................... Statement of procurement ....................... Removed.
procedure for modular
units.
1309.32(b)......................... ........................... ....................... Removed.
1309.33............................ Inspection................. 1303.56................
1309.34............................ Costs of installation of ....................... Removed.
modular unit.
1309.40............................ Copies of documents........ 1303.53................
1309.41............................ Record retention........... 1303.54................
1309.42............................ Audit of mortgage.......... ....................... Removed.
1309.43............................ Use of grant funds to pay 1303.43................
fees.
1309.44(a)......................... Independent analysis....... ....................... Removed.
1309.44(b)......................... ........................... ....................... Removed.
1309.44(c)......................... ........................... ....................... Removed.
1309.51(a)......................... Submission of drawings and ....................... Removed.
specifications.
1309.51(b)......................... ........................... ....................... Removed.
1309.52(a)......................... Procurement procedures..... 1303.55(a).............
1309.52(b)......................... ........................... 1303.55(b).............
1309.52(c)......................... ........................... 1303.55(c).............
1309.52(d)......................... ........................... 1303.55(d).............
1309.53(a)......................... Inspection of work......... 1303.56................
1309.53(b)......................... ........................... 1303.56................
1309.54............................ Davis-Bacon Act............ 1303.11................
1310............................... Head Start transportation..
1310.1............................. Purpose.................... ....................... Removed.
1310.2(a).......................... Applicability.............. 1303.70(a).............
1310.2(b)(1)....................... ........................... ....................... Removed.
1310.2(b)(2)....................... ........................... ....................... Removed.
1310.2(c).......................... ........................... 1303.70(c)(1) and
(c)(2).
1310.3............................. Definitions................ 1305...................
1310.10............................ General.................... .......................
1310.10(a)......................... ........................... 1303.70(b)(1)..........
1310.10(b)......................... ........................... 1303.70(b)(1)..........
1310.10(c)......................... ........................... 1303.70(a).............
1310.10(d)(1)...................... ........................... 1303.71(b).............
1310.10(d)(2)...................... ........................... 1303.71(b).............
1310.10(d)(3)...................... ........................... 1303.71(b).............
1310.10(d)(4)...................... ........................... 1303.71(b).............
1310.10(e)......................... ........................... 1303.71(c).............
1310.10(f)......................... ........................... 1303.70(b)(3)..........
1310.10(g)......................... ........................... 1303.72(a)(3)..........
1310.11(a)......................... Child restraint systems.... 1303.71(d).............
1310.11(b)......................... ........................... ....................... Removed.
1310.12(a)......................... Required use of school 1303.71(a).............
buses or allowable
alternate vehicles.
[[Page 35455]]
1310.12(b)......................... ........................... 1303.71(a).............
1310.12(b)(1)...................... ........................... 1303.71(a).............
1310.12(b)(2)...................... ........................... 1303.71(a).............
1310.12(c)......................... ........................... 1303.71(a).............
1310.13............................ Maintenance of vehicles.... 1303.71(e)(1)..........
1310.13(a)......................... ........................... 1303.71(e)(2)(i).......
1310.13(b)......................... ........................... 1303.71(e)(2)(ii)......
1310.13(c)......................... ........................... 1303.71(e)(2)(iii).....
1310.14............................ Inspection of new vehicles 1303.71(f).............
at the time of delivery.
1310.15(a)......................... Operation of vehicles...... 1303.72(a)(1)..........
1310.15(b)......................... ........................... 1303.72(a)(2)..........
1310.15(c)......................... ........................... 1303.72(b)(4)..........
1310.15(d)......................... ........................... ....................... Removed.
1310.16(a)(1)...................... Driver qualifications...... 1303.72(b)(1)..........
1310.16(b)......................... ........................... 1303.72(c).............
1310.16(b)(1)...................... ........................... 1303.72(c)(1)..........
1310.16(b)(2)...................... ........................... 1303.72(c)(2) and
1303.72(c)(3).
1310.16(b)(3)...................... ........................... 1303.72(c)(4)..........
1310.16(c)......................... ........................... 1303.72(c).............
1310.17(a)......................... Driver and bus monitor third sentence is First two sentences
training. 1303.72(d)(1). removed
1310.17(b)(1)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(2)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(3)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(4)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(5)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(6)...................... ........................... 1303.72(d)(2)(i).......
1310.17(b)(7)...................... ........................... 1303.72(d)(2)(i).......
1310.17(c)......................... ........................... 1303.72(d)(2)(ii)......
1310.17(d)......................... ........................... ....................... Removed.
1310.17(e)......................... ........................... ....................... Removed.
1310.17(f)(1)...................... ........................... 1303.72(d)(3)..........
1310.17(f)(2)...................... ........................... 1303.72(e).............
1310.20(a)......................... Trip routing............... 1303.73(a).............
1310.20(b)(1)...................... ........................... 1303.73(b)(1)..........
1310.20(b)(2)...................... ........................... 1303.73(b)(2)..........
1310.20(b)(3)...................... ........................... 1303.73(b)(3)..........
1310.20(b)(4)...................... ........................... 1303.73(b)(4)..........
1310.20(b)(5)...................... ........................... 1303.73(b)(5)..........
1310.20(b)(6)...................... ........................... 1303.73(b)(6)..........
1310.20(b)(7)...................... ........................... 1303.73(b)(7)..........
1310.21(a)......................... Safety education........... 1302.46(b)(1)(v)....... First sentence
redesignated and
revised. Remaining
removed.
1310.21(b)(1)...................... ........................... 1303.74(b).............
1310.21(b)(2)...................... ........................... 1303.74(b).............
1310.21(b)(3)...................... ........................... 1303.74(b).............
1310.21(b)(4)...................... ........................... 1303.74(b).............
1310.21(b)(5)...................... ........................... 1303.74(b).............
1310.21(c)(1)...................... ........................... ....................... Removed.
1310.21(c)(2)...................... ........................... ....................... Removed.
1310.21(d)......................... ........................... 1303.74(d).............
1310.21(e)......................... ........................... ....................... Removed.
1310.22............................ Children with disabilities
1310.22(a)......................... ........................... 1303.75(a).............
1310.22(b)......................... ........................... ....................... Removed.
1310.22(c)......................... ........................... 1303.75(b).............
1310.22(c)(1)...................... ........................... 1303.75(b).............
1310.22(c)(2)...................... ........................... 1303.75(b).............
1310.22(c)(3)...................... ........................... 1303.75(b).............
1310.22(c)(4)...................... ........................... 1303.75(b).............
1310.22(c)(5)...................... ........................... 1303.75(b).............
1310.23(a)......................... Coordinated transportation. 1303.70(b)(2)..........
1310.23(b)(1)...................... ........................... ....................... Removed.
1310.23(b)(2)...................... ........................... ....................... Removed.
1310.23(b)(3)...................... ........................... ....................... Removed.
1311............................... Head Start Fellows Program. 1304.41................
----------------------------------------------------------------------------------------------------------------
[[Page 35456]]
III. Background
Initiated in 1965, as part of President Lyndon Johnson's ``War on
Poverty,'' Head Start was created out of concern for the well-being of
children in low-income families based on evidence that they were less
likely to succeed in school than their more advantaged peers. As its
name implies, the Head Start program was developed to enhance the
experiences of children in low-income families prior to school entry,
with the goal of alleviating the negative effects of growing up in
poverty. At its inception, Head Start was the only large-scale child
development program in the United States. It was visionary then, and in
many ways continues to lead the early education community. For example,
Head Start has been and continues to be a leader in its focus on family
engagement and comprehensive services, on children with disabilities,
and on children from diverse cultural and linguistic backgrounds; in
its commitments to accountability for program quality; in its
investments in the professional development of the early childhood
education workforce that led to the development of the Child
Development Associate (CDA) credential; and in its commitment to and
investment in research and evaluation to strengthen quality, improve
child outcomes, and reduce the achievement gap.
When Project Head Start was first started in the summer of 1965,
over 560,000 children and families across the United States were served
in an 8-week program. As the program grew, it expanded opportunities
for children to receive high quality services in a number of ways. Over
time, Head Start grew to serving both 3- and 4-year-old children and
was expanded to reach children in migrant and seasonal farm worker
families, as well as American Indian and Alaska Native children. In
1972, the Economic Opportunity Act was amended to expand Head Start
program opportunities for children with disabilities for the first time
and ensured that 10 percent of the enrollment opportunities for
children served nationally were reserved for children who had
disabilities. In 1995, Head Start expanded to include pregnant women
and children from birth to 3 years of age, through the Early Head Start
program, a visionary approach which led the field toward a new emphasis
on intervention in children's earliest years. At the same time as it
was expanding to reach more families, the Head Start program was also
building an infrastructure to support quality, an effort for which
there was little precedent. The first major revisions to the Head Start
program performance standards to further support high quality services
were issued in 1996, and in 1998, the Head Start Reauthorization Act
included a mandate to expand full-day, full-year services. The 2007
Head Start reauthorization placed an even greater emphasis on embedding
research-based practices in Head Start and placing a stronger focus on
the educational outcomes of Head Start children.
Head Start now serves more than one million children and their
families each year. The combination of Head Start's size and scope, the
experience and input gained, and the major developments in early
childhood research suggest that the time is right to capitalize on this
knowledge and experience by overhauling the regulations that form the
backbone of the comprehensive, high quality services Head Start
programs strive to deliver. This NPRM builds upon that knowledge and
experience to codify best practices and ensure Head Start's place as a
leader in the field of early childhood. Through this NPRM, we intend to
carry Head Start forward into the 21st century to ensure all Head Start
children receive sufficient exposure to high quality services that will
promote school success and reinvigorate the promise of Head Start
envisioned in 1965 as a means to help end the effects of poverty child
by child, community by community.
Statutory Authority and Requirements
This NPRM is published under the authority granted to the Secretary
of the Department of Health and Human Services under sections 641A,
644, 645, 645A, and 646 of the Head Start Act (Act) (42 U.S.C. 9801,
9836a, 9839(c), 9840, 9840a, and 9841), as amended by the Improving
Head Start for School Readiness Act of 2007. In these sections, the
Secretary is required to establish performance standards for Head Start
and Early Head Start programs, as well as federal administrative
procedures. Specifically, the Act requires the Secretary to ``. . .
modify, as necessary, program performance standards by regulation
applicable to Head Start agencies and programs . . .'' \7\ and
explicitly directs a number of modifications, including
``scientifically based and developmentally appropriate education
performance standards related to school readiness that are based on the
Head Start Child Outcomes Framework'' and to ``consult with experts in
the fields of child development, early childhood education, child
health care, family services . . ., administration, and financial
management, and with persons with experience in the operation of Head
Start programs.'' Not only did the Act mandate such significant
revisions, there was also bipartisan and bicameral agreement in
Congress that its central purpose was to update and raise the education
standards and practices in Head Start programs.\8\ As such, the
revisions proposed in this NPRM substantially expand upon and improve
the standards related to the education of children in Head Start
programs. Additionally, in order to meet requirements mandated by the
Act, incorporate findings from scientific research, reflect best
practices from years of program input, and integrate recommendations
from the Secretary's Advisory Committee Final Report on Head Start
Research and Evaluation,\9\ this NPRM proposes to reorganize and
substantially amend the existing regulation.
---------------------------------------------------------------------------
\7\ See section 641A(a)(1) of the Act.
\8\ See http://beta.congress.gov/crec/2007/11/14/CREC-2007-11-14-pt1-PgS14375-2.pdf
\9\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
---------------------------------------------------------------------------
Expert and Stakeholder Consultation
We sought extensive input to develop this NPRM. Beginning in 2008
and continuing through 2014, we convened consultations, listening
sessions, and focus groups that involved child development experts,
subject matter experts, early childhood education program
administrators, representatives from Indian tribes, Head Start staff,
parents, and other constituent groups. We heard from tribal leaders in
our annual tribal consultations. We consulted with national
organizations and agencies with particular expertise and longstanding
interests in early childhood education. In addition, we analyzed the
types of technical assistance requested by and provided to Head Start
agencies and programs. We reviewed findings from monitoring reports and
gathered information from programs and families about the circumstances
of those populations served by Head Start programs. We considered
advances in research-based practices with respect to early childhood
education and development, and the projected needs of expanding Head
Start services. We also drew upon the expertise of federal agencies and
staff responsible for related programs in order to obtain advice on how
to promote quality across all Head Start settings and program options.
We reviewed the study on developmental
[[Page 35457]]
outcomes and assessments for young children by the National Academy of
Sciences. We also reviewed the standards and performance criteria
established by state Quality Rating and Improvement Systems, national
organizations, and policy experts in early childhood development,
health, safety, maternal health, and related fields.
From this multi-year consultation process, we collected many ideas
about how best to revise the program performance standards. Those ideas
that were regularly raised are included in this NPRM. They include:
The organization of the standards should reflect the key
elements of program operations.
The standards should emphasize what high quality looks
like in Head Start programs.
The standards should clarify how data should be used for
planning, individualizing, referral, follow-up, and service provision.
The standards should enhance collaborative partnerships,
while maintaining core Head Start principles.
The standards should describe how they apply across age
groups.
The standards should reflect the importance of supporting
children's home language development in order to support English
language acquisition and overall child progress.
The standards should reflect the centrality of parents and
families in children's healthy development.
The standards should be flexible so that Head Start
programs can be more responsive to local settings, circumstances, and
needs.
The standards should be inclusive of Indian tribes,
migrant and seasonal, and homeless populations as well as children with
disabilities.
The governance standards should be flexible where possible
and responsive to difference among types of Head Start agencies, i.e.,
multi-purpose, governmental, etc.
The standards should reduce unnecessary administrative
burden to free up time and resources for service delivery and quality
improvement.
Overview of Major Proposed Revisions to Head Start Performance
Standards
The changes proposed in this NPRM will strengthen Head Start
quality, improve child and family outcomes, prepare children to succeed
in school and in life, and create a system of accountability that
ensures continuous improvement. Some proposals are necessary revisions
of existing standards that now conflict with the 2007 Act. Other
standards we propose implement new requirements that reflect current
research and program experience.
The major changes in the NPRM focus on three over-arching goals.
First, the NPRM proposes to raise standards for service delivery to
improve program quality and ensure Head Start achieves stronger
outcomes for children and families. We propose revisions to reflect
research-based practices for teaching practices, curriculum,
assessment, health, mental health, professional development, and parent
engagement services. We also propose to increase the minimum amount of
dosage to better support effective classroom practices, be more aligned
with the dosage of effective early education programs, better support
working families, and achieve stronger child outcomes.
We also propose a significant reorganization of program performance
standards to improve their clarity, transparency, and ease of
implementation. Forty years of partial or topical, regulatory changes
created an organizational structure that made it difficult to
understand the requirements of Head Start. Some key requirements were
not adequately addressed in regulations and needed updating and
restructuring. Current regulations are also unnecessarily long, a
consequence of Head Start's long history and too much focus on
micromanagement. We propose to significantly reduce the total number of
regulations without reducing program quality. We believe these
structural changes, updates, and reductions will make it easier for
programs to understand and implement high quality services and more
inviting for prospective grantees to apply for funding. We are
requesting comment on whether there are additional specific
requirements that should be eliminated because they are overly
burdensome and interfere with good practice.
Finally, we propose to revise and reduce regulations that place
bureaucratic burden on programs that interfere with program quality.
For example, we reduce or eliminate requirements focused on written
plans and instead emphasize programs implementing systems of continuous
improvement to ensure local programs set goals, collect data, and use
their data to improve their performance. We also shift the nature of
hygiene and safety requirements to focus more squarely on keeping
children safe so that programs attend to this important outcome instead
of micromanaged prescriptions.
In sum, we propose to completely reorganize the regulatory
structure to be more logical and easier to understand and implement;
reduce bureaucratic burden on local programs by streamlining,
simplifying, and reducing the total number of regulations; strengthen
standards for program services to reflect research and best practice
and improve quality; and, completely overhaul and update the education
standards to improve classroom practices and child outcomes. Together,
these proposed revisions will support an increase in intensity, focus,
and effort on high quality service delivery. This NPRM represents our
effort to provide a clear roadmap for current and prospective grantees
to provide high quality Head Start services, regardless of setting.
This NPRM will allow Head Start programs will improve the quality of
Head Start services and bolster their impact on the children and
families we serve.
IV. Discussion of Proposed Rule
The Administrative Procedures Act (APA) governs how federal
agencies may propose regulations. Section 553(b)(3) of the APA allows a
federal agency to organize an NPRM either by the terms or substance of
the proposed rule or by a description of subjects and issues involved.
We choose to organize this NPRM by a description of subjects and
issues involved. The primary reason being that we propose to delete
subparts 1301 through 1311 in the current regulation and either
completely rewrite or restructure them under subchapter B at 45 CFR
Chapter XIII. The order we propose here removes parts 1306 through 1311
in the current regulation and redesignates parts 1301 through 1305. We
include redesignation and distribution tables to help the public
readily locate current sections and provisions we propose to revise,
redesignate, or remove and renumber.
Program Governance; Part 1301 (Currently Sec. Sec. 1304.50 and
1304.52)
This section describes program governance requirements for Head
Start agencies. Program governance in Head Start refers to the formal
structure in place ``for the oversight of quality services for Head
Start children and families and for making decisions related to program
design and implementation'' as outlined in section 642(c) of the Act.
This structure must be comprised of a governing body and a policy
council. The governing body is the entity legally and fiscally
responsible for the program. The policy council is responsible for the
direction of the program and must be made up primarily of parents of
currently enrolled children. Parent involvement in program governance
reflects the fundamental belief, present since the
[[Page 35458]]
inception of Project Head Start in 1965, that parents must be involved
in decision-making about the nature and operation of the program for
Head Start to be successful in bringing about substantial change.\10\
---------------------------------------------------------------------------
\10\ See Federal Register, 40 FR 27562, June 30, 1975.
---------------------------------------------------------------------------
Section 642(c) of the Act specifies the requirements for program
governance, and this section was extensively amended by the Improving
Head Start for School Readiness Act of 2007. It emphasizes the critical
role both the governing body and the policy council, or policy
committee at the delegate level, have in oversight, design and
implementation of Head Start and Early Head Start programs. We propose
to revise current program governance requirements to conform to the
amendments in the Act. To align with the Act, we focus on training, the
governing body, policy groups, and impasse procedures. Below we
describe these areas according to the structure we propose for part
1301.
Section 1301.1 In General
This section reiterates the requirement in section 642(c) of the
Act that an ``agency [must] establish and maintain a formal structure
for program governance, for the oversight of quality services for Head
Start children and families and for making decisions related to program
design and implementation.'' This structure includes a governing body,
a policy council, and, for a delegate agency, a policy committee. It
emphasizes that the governing body has legal and fiscal responsibility
to administer and oversee the program, which is consistent with Sec.
1304.50(a)(5) in the current regulation, and the policy council is
responsible for the direction of the program including program design
and operations and long- and short-term planning goals and objectives.
Section 1301.2 Training
Section 642(d)(3) of the Act requires governing body and policy
council members to have appropriate training and technical assistance
to ensure they understand the information they received and can oversee
and participate in the agency's programs effectively. This requirement
is very similar to and consistent with Sec. 1304.52(l)(4) in the
current regulation, which requires agencies to provide training or
orientation to governing body, policy council, and policy committee
members to enable them to carry out their program governance
responsibilities effectively. To consolidate all requirements related
to governance into one section, we propose to move the current
requirement to Sec. 1301.2. We also propose to add advisory committee
members to the list and require orientation to include training on the
program performance standards since familiarity with these regulations
is critical to fulfilling governance responsibilities.
Section 1301.3 Governing Body
The Act affirms the current requirement at Sec. 1304.50(a)(5) that
the governing body has legal and fiscal responsibility to administer
and oversee the program but provides significantly more detail on the
composition and responsibilities of the governing body than the current
regulation addresses. To conform to the Act, the first two paragraphs
of this section refer grantees to the composition requirements at
section 642(c)(1)(B) of the Act (including the exceptions to such
composition requirements at section 642 (c)(1)(B)(v) for governing
bodies, such as tribal governing bodies, whose members oversee a public
entity and are selected to their positions with the public entity by
public election or political appointment) and the responsibilities
outlined in section 642(c)(1)(E) of the Act. In addition to the
responsibilities noted in the Act, we propose to require that governing
body members use ongoing monitoring results, school readiness goals, as
well as the information specified in section 642(d)(2) of the Act, to
conduct their responsibilities.
The third and final paragraphs of proposed Sec. 1301.3 pertain to
advisory committees, which act as sub-boards. Section
642(c)(1)(E)(iv)(XI) of the Act permits a governing body, at its own
discretion, to establish advisory committees to oversee key
responsibilities related to program governance. In response to
questions and requests for clarification from the field, we elaborate
on what must be included in written procedures should a governing body
invoke its authority to establish an advisory committee. We propose the
written procedures the governing body establishes include, for example,
the advisory committee's duties, actions, and obligations, and the
membership of advisory committees. These written procedures are
required to specify how and with what frequency the advisory committee
must keep the governing body apprised of decisions it makes related to
program governance.
Current Sec. 1304.50 has three provisions that relate to the
governing body: Sec. Sec. 1304.50(a)(5), 1304.50(g)(1) and
1304.50(g)(2). To conform to the Act, our proposed rule retains the
part of Sec. 1304.50 that establishes the governing body as legally
and fiscally responsible for administering and overseeing the program,
but removes language stating that the governing body, the policy
council, or policy committee cannot have identical memberships and
functions. This language is no longer needed since the Act has specific
requirements for the composition and functions of the governing body
and policy council. The second provision related to the governing body
is Sec. 1304.50(g)(1) of the current regulation, which requires
agencies to have written policies that define the roles and
responsibilities of the governing body and that inform them of the
management procedures and functions necessary to implement a high
quality program. We propose to remove this language because the Act
outlines the responsibilities of the governing body. It would be
inconsistent with the Act for individual grantees and delegate agencies
to define the roles and responsibilities of the governing body.
The third provision, at Sec. 1304.50(g)(2), relates to
establishing internal controls and safeguarding federal funds, and
these responsibilities are subsumed in the overarching requirements of
the governing body found in section 642(c)(1)(E) of the Act.
Section 1301.4 Policy Councils and Policy Committees
In this section, we retain a number of current requirements and
propose other requirements to conform to the Act. In paragraph (a), we
retain the current requirement for agencies to establish and maintain a
policy council at the agency level and a policy committee at the
delegate level, consistent with section 642(c)(2) and (3) of the Act.
We also propose to retain the following current requirements: parents
of children currently enrolled in all program options must be
proportionately represented on policy groups; delegates must establish
a policy committee; and the policy council and policy committee can be
the same entity when the agency delegates operational responsibility
for the entire program to one delegate.
However, we no longer require agencies to have parent committees as
required in current Sec. 1304.5(a)(1)(iii) and (a)(2). Thus far, we
have required agencies to establish parent committees at the program
option level with the purpose of providing a formal venue for
meaningful parent engagement and for input in decisions affecting the
program. The broader goal of active and meaningful parent engagement in
[[Page 35459]]
program operations is critical and remains our expectation throughout
this NPRM, but we are no longer prescribing parent committees,
specifically, as a means to achieve that goal. We do not think there is
strong rationale for a federal requirement prescribing how active and
meaningful engagement occurs and that every program option must achieve
that involvement through a formal structure like parent committees.
Additionally, we propose to remove this requirement because the parent
committee structure may not work in all models, such as the Early Head
Start-Child Care Partnerships, when there may be a few Early Head Start
slots in a particular setting. Additionally, there would still be
representation of parents on policy councils. Therefore the current
requirements at Sec. 1304.50(a)(1)(iii), as well as other provisions
related to parent committees at Sec. 1304.50(d)(2)(i) through (iii)
and Sec. 1304.50(e)(1) through (3), are not included in this NPRM.
This proposed change does not preclude grantees from establishing or
maintaining parent committees, however it is no longer a requirement.
This in no way diminishes the role for parents given the extensive
requirements proposed in part 1302, subpart E Family & Community
Partnership Program Services and the fact that section 642(c)(2)(D) of
the Act is clear that policy councils are responsible for activities
that support parents' involvement in program operations, including
policies to ensure the Head Start agency is responsive to community and
parent needs.
In paragraph (b), we refer grantees to the composition requirements
at section 642(c)(2)(B) of the Act. We propose to remove current Sec.
1304.50(b)(6), which excludes staff from serving on policy councils or
policy committees, with some exceptions, because it is superseded by
the Act.
In place of the current list of policy council or policy committee
responsibilities at Sec. 1304.50(d), we propose in paragraph (c) to
refer grantees to the responsibilities outlined in section 642(c)(2)(D)
and section 642(c)(3) of the Act. To conform to the Act, we are not
requiring policy councils to take responsibility for everything listed
in Sec. 1304.50(d). We are removing those responsibilities that are
not in the Act, including for example the requirement at Sec.
1304.50(d)(1)(ii) for policy groups to establish procedures to
implement shared decision-making and the requirement at Sec.
1304.50(d)(1)(vi) that the policy council take responsibility for its
composition and the procedures for choosing members. Also, for the
purpose of conforming to the Act, we add responsibilities for the
policy council, or policy committee, such as budget planning and
developing bylaws, that are not currently required in Sec. 1304.50(d).
In addition to the responsibilities noted in the Act, our proposed rule
requires policy councils or policy committees to use ongoing monitoring
results, school readiness goals, and information specified in section
642(d)(2) to conduct their responsibilities.
Paragraph (d) pertains to the term of the policy groups. It retains
existing requirements in current Sec. 1304.50(b)(4) and (5), and Sec.
1304.50(a)(3) that members serve for one year and must be reelected and
that policy groups cannot dissolve until a successor council is seated.
The one change we propose is to allow discretion to establish in their
bylaws that members may serve a maximum of five one-year terms, up from
the current maximum of three one-year terms.
Paragraph (e) of our proposed Sec. 1301.4 retains the existing
requirement in Sec. 1304.50(f) related to reimbursement of policy
group members for reasonable expenses incurred.
Section 1301.5 Impasse Procedures
This section begins with the current requirement at Sec.
1304.50(h) for an agency's governing body and policy council to work
together to establish written procedures to resolve internal disputes
that include impasse procedures. In response to the requirement at
section 642(d)(1) of the Act, we build on the current requirement at
Sec. 1304.50(h) and specify what must be included in the impasse
procedures. We propose to require programs to establish and follow
impasse procedures that (1) demonstrate the governing body considers
recommendations from the policy council; (2) require the governing body
to inform the policy council in writing why it does not accept a
recommendation, (3) describe a process and timeline to resolve issues
and reach decisions that are not arbitrary, capricious, or illegal; and
(4) require the governing body to notify the policy council in writing
of its decision. This final step is consistent with the role of the
governing body as legally and fiscally responsible for the program.
We believe our efforts to align program governance requirements
with the Act will eliminate confusion that results from contradictions
between the Act and current regulation, provide clarification on our
expectations for advisory committees, and retain the fundamental goals
of accountable and high quality oversight and meaningful parental
engagement in program operations.
Program Operations; Part 1302
This part, Program Operations, outlines all of the operational
requirements for serving children and families in Early Head Start and
Head Start. This includes eligibility, selection, and enrollment
requirements. It also includes the comprehensive services requirements,
including education, health, nutrition, mental health, and family and
community engagement services, as well as additional services to
children with disabilities, transition services, and services to
enrolled pregnant women. Finally, it includes requirements for human
resources and program management. This reflects a reorganized structure
that places all program operations into one part so that programs may
easily find and understand the services they must deliver. We believe
this more logical organization will greatly improve clarity and
transparency and will support more effective implementation of high
quality comprehensive services.
Eligibility, Recruitment, Selection, Enrollment and Attendance; Subpart
A (Currently Parts 1304, 1305, and 1306)
We do not propose to substantially change this subpart from current
regulation. Although we propose to redesignate it into part 1302 as
part of a full restructuring of the existing rule in this NPRM, many
provisions of the regulation proposed in this subpart are no different
from the current rule. Overall, we propose to simplify, restructure,
and clarify the language in this subpart so that it is easier for
grantees to understand their obligations. We also propose revisions,
and in some cases we propose to add new provisions, in order to comply
with the 2007 amendments to section 645 of the Act.
The revisions we propose to this subpart reflect requirements in
the Act related to utilizing the community assessment to identify the
children who are most in need of services and appropriately
prioritizing special populations such as children experiencing
homelessness, children in foster care, and children with disabilities.
In addition, the proposed revisions to this subpart highlight the
importance of regular attendance and continuity of enrollment for all
children served in Head Start.
Further, the Act requires us to promulgate regulations to remove
barriers to serve homeless children. As a result, in this section, we
propose to
[[Page 35460]]
add several provisions that will increase opportunities for children
experiencing homelessness to participate in Head Start. In addition we
propose new provisions to clarify requirements for programs to continue
to serve children who have persistent behavioral issues. We also
propose revisions throughout this subpart to better support the ability
of programs to serve children from diverse economic backgrounds, given
research that suggests children's early learning is positively
influenced by interactions with diverse peers 11 12 We also
require programs to prioritize serving younger children in communities
where there is publicly funded high quality pre-kindergarten for four
year olds. Consistent with other subparts in this NPRM, we propose to
redesignate definitions related to this subpart to part 1305.
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\11\ Mashburn, A. J., Justice, L. M., Downer, J. T., & Pianta,
R. C. (2009). Peer effects on children's language achievement during
pre[hyphen]kindergarten. Child Development, 80(3), 686-702.
\12\ Henry, G. T., & Rickman, D. K. (2007). Do peers influence
children's skill development in preschool? Economics of Education
Review, 26(1), 100-112.
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Section 1302.10 In General
In this section, we propose to provide a general overview of the
content in this subpart.
Section 1302.11 Determining Community Strengths and Needs
In this section, we propose to simplify and clarify the process for
determining community strengths and needs. We also propose to revise
and redesignate language in existing rule Sec. 1305.3 to clarify
expectations for grantees and prospective grantees. For example, the
proposed reorganization of this section is broken into two parts.
Section 1302.11(a) describes how prospective grantees must define
service area, which is the first logical step for prospective grantees.
The current requirement at Sec. 1305.3(b) that the service area must
be approved is retained while removing the requirement that the
services area does not overlap with other grantees in order to give
flexibility to local programs. The next provisions under Sec.
1302.11(b) require grantees to assess the service area to determine the
needs of the community. In order to be consistent with the 5-year grant
period required by the Act, we propose to extend the current
requirement for grantees to conduct community assessments from every
three years to every five years. In paragraph, (b)(2) we further
require that program review and update the assessment annually to
reflect any significant changes including increased availability of
publicly-funded full-day pre-kindergarten, rates of family and child
homelessness, and significant shifts in community demographics. This
proposal will relieve undue burden on programs and increase efficiency
of program operations and administration. Programs are still required
to review their community assessment annually and update the assessment
as changes occur in the community. We propose to retain this annual
evaluation to ensure that programs continue to meet the needs of their
community if anything changes.
We also propose to add several elements to the community assessment
that grantees are currently required to perform to ensure that grantees
collect all relevant information needed to design their program and
services to best meet community needs. These new elements include the
number of children experiencing homelessness and the number of children
in foster care to enable grantees to prioritize the most at-risk
children in their communities. We believe this reflects a stronger
emphasis on serving these vulnerable populations in the Act. In
addition, we propose to expand information collected as part of the
community assessment about the availability of early childhood programs
in the community, so grantees are aware of other options available to
eligible children. This data collection will also help programs
understand trends in early childhood programming in their communities,
including the increasing availability of state and other publicly
funded preschool programs \13\ and recent fluctuations in such funding
\14\ so that programs are better able to target their Head Start and
Early Head Start services appropriately. In addition, we propose to
require programs to determine whether the characteristics of their
communities would allow them to operate classrooms that include
children from diverse economic backgrounds. Research suggests
children's early learning is positively influenced by interactions with
economically diverse peers.15 16
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\13\ Barnett, W.S., Carolan, M.E., Squires, J.H., Clarke Brown,
K. (2013). The state of preschool 2013: State preschool yearbook.
New Brunswick, NJ: National Institute for Early Education Research.
\14\ Ibid.
\15\ Mashburn, A. J., Justice, L. M., Downer, J. T., & Pianta,
R. C. (2009). Peer effects on children's language achievement during
pre[hyphen]kindergarten. Child Development, 80(3), 686-702.
\16\ Henry, G. T., & Rickman, D. K. (2007). Do peers influence
children's skill development in preschool? Economics of Education
Review, 26(1), 100-112.
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Moreover, in this section and in Sec. 1302.12, we propose language
to clarify that we do not limit tribal Head Start programs to
reservation areas.
Finally, we propose to remove the current requirements in Sec.
1305.3(d) that prescribe particular processes for which programs must
use the community needs assessment and replace them with a general
requirement that programs use the assessment to design a program that
meets community needs.
Section 1302.12 Determining, Verifying, and Documenting Eligibility
We propose to redesignate this section from Sec. 1305.4 in the
current regulation to Sec. 1302.12 in this NPRM. Using the newly
finalized Sec. 1305.4 as a base, we propose to reorganize provisions
to better mirror the style of this NPRM. As part of this reorganization
we have made small changes to reduce confusion in the field resulting
from the newly finalized provisions in 1305.4. Specifically, we propose
to remove the separate paragraph (f) that describes categorical
eligibility and incorporate this language into paragraph (c) so that
all eligibility requirements are described under a single paragraph. We
also propose to require verification of public assistance eligibility
be based on documentation from a state or local public assistance
office. This change is made in response to questions and confusion
following the final rule on eligibility.
Additionally, for clarity and to better reflect best practices in
the field, we propose to add a few provisions. Specifically, in
paragraph (a), we propose a new provision that allows programs to use
an alternate effective method to determine eligibility. In paragraph
(e), we propose to include existing statutory authority for tribal
programs that operate Head Start and Early Head Start to reallocate
funds between the two programs. We also propose to include existing
statutory authority under a new paragraph (g) that allows programs in
communities with 1,000 or fewer individuals to establish their own
eligibility criteria as long as they satisfy the criteria outlined in
section 645(a)(2) of the Act.
We further propose to streamline provisions regarding multi-year
eligibility and requirements to re-verify between Early Head Start and
Head Start and for the unusual circumstance of a third year in Head
Start to remove redundancy. We have also clarified that Early Head
Start age eligibility ends at three unless the requirements at Sec.
1302.70(b)(2) of the proposed rule apply.
Finally, we propose to remove ``pregnant women'' from age
eligibility requirements and the separate definition
[[Page 35461]]
of family as it relates to ``pregnant women'', as both of these
provisions have caused unnecessary confusion and the eligibility rule
did not change the requirements.
While the changes in this section do not reflect substantive
changes from the final rule published in February of 2015, we
explicitly solicit comment on any provisions within this section that
have resulted in unnecessary complications in the eligibility process.
Section 1302.13 Recruitment of Children
We propose to restructure current provisions and to streamline
language for clarity while maintaining requirements in the existing
rule. In this proposed section, the goal of the recruitment process is
to reach all of those in need of services by actively informing
families with eligible children of the availability of program services
and encouraging them to apply for admission to the program. If
necessary, a program must assist the family in completing the
application. We also include a provision in this section, redesignated
from Sec. 1308.5(a), that programs must make an effort to actively
recruit children with disabilities.
Section 1302.14 Selection Process
We propose to restructure this section so that programs understand
that they must develop a selection process by which they use specific
criteria to weigh selection of participants who have been deemed
eligible. Paragraph (a)(1) of this proposed section lists the criteria
by which a program must prioritize selection of participants. The
revisions we propose simplify this information by enumerating criteria
in a list format, explicitly link these criteria to a program's annual
update of their community needs assessment, and add children
experiencing homelessness and children in foster care to the priority
list. We also propose to require programs to prioritize younger
children in their selection process if publicly funded high quality
pre-kindergarten spaces are available for four year olds for a full
school day in the Head Start program's service area.
We also propose to include provisions, which conform to the
requirement in section 640(d) of the Act, that at least 10 percent of a
program's total enrollment are children eligible for services under the
Individuals with Disabilities Education Act (IDEA) (20 U.S.C. 1400 et
seq.), unless the responsible HHS official grants a waiver. The
existing rule at Sec. 1305.6(c) requires that 10 percent of enrollment
opportunities consist of children with disabilities, and the revision
conforms to changes in the Act. This requirement must, by definition,
inform each grantee's selection process. In paragraph (c), we include
existing provisions that delineate the requirements for developing and
maintaining a waiting list of eligible participants.
Section 1302.15 Enrollment
We propose to redesignate provisions currently enumerated in Sec.
1305.7 of the existing rule to this section and revise its title to
remove the term re-enrollment, which is a concept we no longer use in
this NPRM. The redesignated and revised provisions we propose to
include in this section clarify program requirements with regard to
maintaining its funded enrollment and ensuring continuity of
enrollment, to the extent possible. Specifically, we propose to
continue to require programs apply the eligibility of children
enrolling in Early Head Start to the duration of participation in Early
Head Start, with renewed income verification when the children
transition to Head Start. These provisions are consistent with proposed
Sec. 1302.12, in which we maintain the provision from Sec. 1305.7(c)
that children in Head Start are automatically eligible for a second
year. Further, in Sec. 1302.15(c) we propose to clarify and simplify
the provision in Sec. 1305.7(a) of the existing rule, which allows for
a third year of Head Start eligibility under exceptional circumstances
as long as programs verify family income between the second and third
year.
In order to support enrollment of homeless children, we add a
provision that programs may reserve slots for children experiencing
homelessness. Since homeless children do not have a stable residence,
they may move and enter a program after the beginning of the program
year. This is an important provision for removing barriers to serving
homeless children as required in section 640(m) of the Act. Given the
large waiting lists maintained by programs and to ensure that a large
number of slots are not vacant, no more than three percent of a
programs funded enrollment may be reserved for this purpose. If a
reserved slot is not filled within 30 days it becomes a vacant slot and
must be filled within 30 days. We also propose to include children in
foster care in this provision, given their family instability and the
importance of early intervention, like that provided by Head Start, on
their school readiness and long-term outcomes.\17\ Finally, we propose
to add a provision in Sec. 1302.15(d) to allow programs to enroll
children who are funded through non-Head Start sources including
private pay. Research shows children's early learning is positively
influenced by interactions with economically diverse
peers.18 19 Finally, in paragraph (e) we propose to add a
provision to clarify current policy which requires programs to follow
their state immunization enrollment and attendance requirements. This
proposed provision is not a new requirement, rather it clarifies that
programs are already subject to such state requirements.
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\17\ Rankin, V. E., & Gonsoulin, S. (2014). Early learning is
essential: Addressing the needs of young children potentially at
risk for system involvement. Washington, DC: National Evaluation and
Technical Assistance Center for Children and Youth Who Are
Neglected, Delinquent, or At Risk (NDTAC).
\18\ Mashburn, A. J., Justice, L. M., Downer, J. T., & Pianta,
R. C. (2009). Peer effects on children's language achievement during
pre[hyphen]kindergarten. Child Development, 80(3), 686-702.
\19\ Henry, G. T., & Rickman, D. K. (2007). Do peers influence
children's skill development in preschool? Economics of Education
Review, 26(1), 100-112.
---------------------------------------------------------------------------
Section 1302.16 Attendance
We propose to promote regular attendance since research
demonstrates that consistent attendance is predictive of school
success. While more research has been conducted on K-12 school
attendance, studies indicate that regular preschool attendance is also
essential for success in preschool and beyond. For example, one study
conducted in the Chicago Public Schools shows that preschool attendance
is important for several reasons: (1) It sets up patterns for long-term
school attendance; (2) children who regularly attend preschool perform
better on kindergarten entry assessments tests; and (3) regular
attendance enhances social-emotional development.\20\ Another study in
Tulsa found that preschoolers who attended regularly showed more growth
in literacy skills than their peers who were frequently absent.\21\ In
Baltimore, researchers found that 25 percent of children who were
chronically absent in pre-kindergarten and kindergarten were retained
in later grades, compared to nine percent of their peers who regularly
attended in these early years.\22\
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\20\ Ehrlich, S. B., Gwynne, J. A., Pareja, A. S., &
Allensworth, E. M. (2013). Preschool Attendance in Chicago Public
Schools. Research Summary. University of Chicago Consortium on
Chicago School Research.
\21\ Community Action Project Tulsa County. (2012). Attendance
Works Peer Learning Network Webinar.
\22\ Connolly, F., & Olson, L. S. (2012). Early Elementary
Performance and Attendance in Baltimore City Schools' Pre-
Kindergarten and Kindergarten. Baltimore Education Research
Consortium.
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[[Page 35462]]
Consistent with the research mentioned above, the central addition
to this section is the requirement that attendance be tracked for each
child. We also propose to require programs take actions including
attempting to conduct additional home visits and provision of support
services, as necessary, to increase child attendance when children have
four or more consecutive unexcused absences or are frequently absent.
We would like to invite public comment specifically on this proposed
change and whether experts and practitioners would recommend setting a
different threshold than four days. To ensure that a child is safe when
they do not come to school, we propose a new requirement that programs
contact a parent if the child has not come to school and the parent has
not called within one hour of program start time. Automated systems,
such as those used in public school systems to call and/or text parents
of absent children would be considered appropriate contact. In this
section, we also strengthen the current standards related to systemic
attendance issues indicated by an average monthly attendance falling
below 85 percent by requiring programs to analyze the causes of
absenteeism and use this data to inform their efforts related to
ongoing oversight and correction, as well as continuous program
improvement. We also propose a new provision and redesignate a
provision to clearly delineate requirements to support the attendance
of homeless children. Specifically, we redesignate Sec. 1305.4(f)(2)
of the final eligibility rule to Sec. 1302.16(c)(1) as this
requirement logically fits under supporting attendance for homeless
children rather than categorical eligibility. We also add a provision
to encourage programs to work with community partners and families of
children experiencing homelessness to meet their needs, including
through the provision of transportation services. However, such
transportation services are not explicitly required.
Section 1302.17 Suspension and Expulsion
In this section, we propose limitations on the use of suspension
and propose to prohibit programs from expelling children because of a
child's behavior. Recent data indicate that expulsions and suspensions
occur at high rates in preschool settings.23 24 25 This is
particularly troubling given that research suggests that school
expulsion and suspension practices are associated with negative
educational and life outcomes.26 27 Head Start has a long-
standing and continuing practice of preventing the expulsion or
suspension of children, and facilitating transitions to more
appropriate placements in circumstances where the child exhibits
serious behavioral issues. Several of the standards in the existing
regulation support this. However we want to ensure through explicit
requirements that all programs are aware of these limitations and
prohibitions and consistently implement them using best practice.
---------------------------------------------------------------------------
\23\ Gilliam, W. S. (2005). Prekindergarteners left behind:
Expulsion rates in state prekindergarten systems. New York, NY:
Foundation for Child Development.
\24\ Gilliam, W.S., & Shahar, G. (2006). Preschool and child
care expulsion and suspension: Rates and predictors in one state.
Infants & Young Children, 19, 228-245.
\25\ Lamont, J. H., Devore, C. D., Allison, M., Ancona, R.,
Barnett, S. E., Gunther, R., & Young, T. (2013). Out-of-school
suspension and expulsion. Pediatrics, 131(3), e1000-e1007.
\26\ Petras, H., Masyn, K. E., Buckley, J. A., Ialongo, N. S., &
Kellam, S. (2011). Who is most at risk for school removal? A
multilevel discrete-time survival analysis of individual- and
context-level influences. Journal of Educational Psychology, 103,
223.
\27\ American Psychological Association, Zero Tolerance Task
Force Report (2008). An evidentiary review and recommendations.
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In paragraph (a), we propose to clearly state that programs must
either prohibit or severely limit the use of suspension and include
requirements for programs to engage a mental health consultant,
collaborate with parents, and utilize appropriate community resources
should a temporary suspension be deemed necessary because a child's
behavior represents a serious safety threat for themselves or other
children. The determination of safety threats should be based only on
actual risks and objective evidence, and not on stereotypes or
generalizations.
In paragraph (b)(1) we explicitly prohibit unenrollment or
expulsion based on a child's behavior to clarify that unenrolling a
child because of their behavior is prohibited even if a program might
not think it qualifies as expulsion. In paragraph (b)(2), we also
specifically propose a new requirement that programs must take
exhaustive steps to ensure that a child who exhibits persistent and
serious challenging behaviors can participate safely in the program.
Though we do not have evidence of significant expulsion issues in Head
Start, we believe this sets forth an important policy for best practice
and is added to address increasing numbers of children being expelled
from child care and preschool settings due to challenging behaviors.
One study of randomly sampled preschool teachers in Massachusetts
indicated that the preschool expulsion rate was more than 34 times the
K-12 expulsion rate in the state and more than 13 times the national K-
12 expulsion rate.\28\ Data also indicate that specific groups of
children are being disproportionately expelled and suspended from their
early learning settings; a trend that has remained virtually unchanged
over the past decade.\29\ Recent data out of the Department of
Education indicate that African-American boys make up 18% of preschool
enrollment, but 48% of preschoolers suspended more than once.\30\ Other
research indicates that while Hispanic and African-American boys
combined represent 46% of all boys in preschool, these children
represent 66% preschool boys suspended. Analyses of boys, compared to
girls, indicate that they make up 79% of preschoolers suspended once,
and 82% of preschoolers suspended multiple times.\31\
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\28\ Gilliam, W. S., & Shahar, G. (2006) Preschool and Child
Care Expulsion and Suspension: Rates and Predictors in One State.
Infants and Young Children, 19(3), 228-245.
\29\ Gilliam, W. S. (2005). Prekindergarteners left behind:
Expulsion rates in state prekindergarten systems. New York, NY:
Foundation for Child Development.
\30\ U.S Department of Education Office for Civil Rights (2014).
Data Snapshot: Early Childhood Education.
\31\ Raffaele Mendez, L. (2003). Predictors of suspension and
negative school outcomes: A longitudinal investigation. New
Directions for Youth Development, 99, 17-33.
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This section sets out procedures that a program must follow to
address persistent behavior problems. Research has indicated that
mental health consultation can reduce the risk of expulsion for
children exhibiting challenging behaviors.\32\ The process for
addressing such behaviors must be guided by the program's mental health
consultant and include consultation with parents and the child's
physician at a minimum. The agency responsible for IDEA must be
involved if a child has an Individualized Education Program (IEP) or
Individual Family Service Plan (IFSP) and must be involved to determine
the child's need for services if they do not have an IEP or IFSP. If it
is determined that a child's continued participation in Head Start
poses a continued serious safety threat to themselves or other
children, the program must work with the family and other individuals
described above to assist the family in finding an
[[Page 35463]]
appropriate placement and directly transition the child to that
placement.
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\32\ Perry, D. F., Dunne, M. C., McFadden, L., & Campbell, D.
(2008). Reducing the risk for preschool expulsion: Mental health
consultation for young children with challenging behaviors. Journal
of Child and Family Studies, 17(1), 44-54.
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We also redesignate several provisions that appear throughout the
existing rule. For instance, in proposed Sec. 1302.17(c), we
streamline the requirement that children cannot be excluded from
participation because their parent(s) do not participate in parent
activities, including parental consent for data sharing, and spells out
that participation is voluntary. These requirements in (c) are
redesignated from Sec. Sec. 1304.40(d)(2), 1304.40(i)(1) and
1306.32(b)(8).
Section 1302.18 Fees
We propose to redesignate this section from Sec. Sec. 1305.9 and
1306.32 and revise for purposes of clarification. We maintain the
overarching policy that programs are prohibited from charging parents
of eligible children a fee for their child's participation in a Head
Start program. In other words, parents of children who are part of the
Head Start program's funded enrollment must not, under any
circumstances, be charged a fee for their child to participate in the
Head Start funded day.
We propose in paragraph (b) to offer clarification on two allowable
fees. First, we allow programs to accept a fee, including co-payments
required by an alternate funding source such as the Child Care and
Development Block Grant, from eligible families when programs extend
services outside of program hours. For example, if a program is funded
to serve children for eight hours a day but opts to extend the program
day to ten hours, the program can charge a fee from all enrolled
children for those additional two hours that are not supported with
Head Start funds.
Second, we clarify that programs can charge a fee or a co-payment
from families who are not part of the Head Start funded enrollment if
they are serving children from diverse economic backgrounds or using
multiple funding sources, including private pay. We encourage programs
to be innovative in leveraging multiple funding sources in order to
serve more children and serve children from diverse economic
backgrounds because we believe it will better serve the community and
improve impacts on child outcomes.
Program Structure; Subpart B (Currently Sec. Sec. 1306.20, 1306.30,
1306.37, and 1304.52)
All Head Start and Early Head Start programs are given the option
to deliver comprehensive services through different program models that
are meant to meet the needs of the children, families, and the
community these programs serve. In this subpart, we propose to revise
and redesignate most of the current provisions from ``Head Start
Program Options'' in current Sec. Sec. 1306.30 through 1306.37, and we
consolidate, revise, and redesignate program options and structural
requirements for Early Head Start and family child care into this
subpart that are in current Sec. 1306.20(g) and (h) and Sec. 1304.52
(g)(4). We propose to revise the different types of program models Head
Start and Early Head Start grantees may operate, and propose the basic
structural requirements, such as minimum hours of operation and
teacher-child ratios, that programs must meet for each of these program
models.
In this section, we propose three standard program options: center-
based, family child care, and home-based, and a locally-designed
variation of those options. We also propose the setting, ratio, class
size, service duration, and hour per day requirements for these program
options. We propose to remove combination options and double session
options as standard options as well as home-based options for
preschoolers. But, we propose to allow programs to apply for a locally-
designed variation if it best meets the learning needs of the children
and the needs of the community.
Furthermore, we propose to consolidate licensing and square footage
requirements for center-based, family child care, and home visit group
socializations into this subpart. We also make it clear that all
programs must meet state, local, or tribal licensing requirements. Our
structural reorganization and streamlined language of the program
options and structural requirements will make the requirements simpler
to read, understand, and implement. This improved clarity and
transparency will reduce unnecessary burden and confusion for programs.
In addition to the proposed organizational changes described above,
we propose several important policy changes to increase program
quality. For example, we propose to increase the minimum hours and days
of program operation, consistent with the President's FY2016 Budget,
recommendations from the Head Start Advisory Committee, and research on
high-quality early learning programs. As discussed at length below, a
significant body of research suggests this is a necessary change to
foster better child outcomes in Head Start. We also propose increasing
accountability for locally-designed program models to better ensure
they meet the educational needs of the children they serve. We believe
our proposed revisions to structural characteristics will help improve
program impact on children's education and development.
Furthermore, for purposes of clarity and improved ease of
implementation, we propose to include only structural requirements for
each of the program model options in this subpart. Therefore, we
propose to revise and redesignate many of the requirements in the
current ``Program Options'' sections that are not structural
characteristics of program options to more appropriate sections within
this NPRM. For example, we revise and redesignate Sec. 1306.32(b)(7)
in the existing rule, which addresses requirements about staff
management, to the proposed part 1302 subpart J--Program Management. We
also revise and redesignate part of Sec. 1306.32(b)(8) in the existing
rule, which prohibits programs from expelling children for lack of
parent participation in home visits, to part 1302 subpart A, which
includes the requirements about eligibility, enrollment, and
attendance. To improve clarity and reduce redundancy, we also propose
to remove Sec. 1306.30(d), which requires programs to ``identify,
secure and use community resources in the provision of services . . .
prior to using Head Start funds for these services.'' We believe this
provision is unnecessary because throughout our proposed NPRM, we are
clear that Head Start should leverage community resources and specify
when Head Start funds may be used as payer of last resort. Our proposal
to remove this provision should not be interpreted to mean that Head
Start should be paying for services for which other community program
resources are available.
In addition, we propose to remove provisions that allow combination
programs (Sec. 1306.34), double session variations (Sec. 1306.32(c)),
and home-based (Sec. 1306.33) for Head Start age children as standard
program options. We propose revisions to make these variations
available to grantees only under certain conditions through the
locally-designed program variation option in Sec. 1302.24. The full
day variation at Sec. 1306.32(d) is assumed in the center-based
option. We believe this will better ensure children in all programs
receive sufficient exposure to high quality education services. We also
believe these revisions will ensure that programs better meet the needs
of families and the communities they serve, while still ensuring local
flexibility in the structure of program design.
[[Page 35464]]
Section 1302.20 In General
In this section, we revise and redesignate parts of Sec. 1306.31
in the existing rule to propose the following program model options:
Center-based, family child care, home-based (for Early Head Start
Programs), or a locally-designed variation of these options. In
addition, to ensure programs continue to meet the needs of the children
and families in their community, we propose to require programs to
regularly reconsider the appropriateness of their program model and
structure choices and specifically assess whether it would be
appropriate to extend services or convert slots to serve younger
children. We propose to remove the current overly prescriptive process
at Sec. 1306.31(c), which describes how a program must consider
placement. We propose to require programs to consider ways to operate
for a full calendar year.
In Sec. 1302.20(b), we propose to revise for improved clarity but
retain the requirement that all program options deliver the full range
of comprehensive services as required in Sec. 1306.30(a) and Sec.
1306.20(i) in the existing rule. These services include the
requirements proposed in subparts C through G of part 1302 (services
for education and child development, health program services, family
and community partnership program services, additional services for
children with disabilities, and transition services). As in the
existing rule, this requirement may not be waived for any program and
remains central to Head Start's mission.
In Sec. 1302.20(c), we specify the process and requirements for
converting Head Start slots to Early Head Start slots. Under Sections
640(f)(2)(B) and 645(a)(5), Head Start grantees may request conversion
of funded enrollment slots and a reallocation of funds from Head Start
to Early Head Start. In this section, we propose to codify existing
program guidance on conversion, including the process grantees must
follow to convert Head Start slots to Early Head Start slots, whether
through the traditional re-funding application or a separate grant
amendment, and what information the conversion request must include. In
addition, consistent with Section 645(d)(3) of the Act, we propose
special provisions for American Indian and Alaska Native grantees that
wish to convert slots.
We are seeking public comment on whether the conversion procedures
included in this NPRM provide sufficient clarity to programs on how to
accomplish conversions from Head Start slots to Early Head Start slots.
We specifically seek comment on whether existing programs would benefit
from additional clarity on Federal requirements or processes to which
the Department and programs must adhere in order to convert slots to
serve younger children in the course of their five-year grant, during
grant renewal, or during re-competition.
Section 1302.21 Center-Based Option
In this section, we propose revisions to Sec. 1306.32, including
removal of current Sec. Sec. 1306.32(a)(7) through (9) and Sec.
1304.52(g)(4) in the existing rule and redesignate and revise all
structural requirements for programs that operate a center-based
option, including setting, teacher-child ratios, class size, service
duration, licensing, and square footage. We propose to strengthen
several structural requirements to improve program quality and child
outcomes.
Specifically, in paragraph (b)(2), we propose children in infant
and toddler classrooms be assigned a consistent, primary teacher to
promote continuity of care. Research suggests continuity of care, in
which infants and toddlers have a single primary teacher for an
extended period of time, helps support healthy attachments and more
supportive relationships, which better facilitate growth across
different areas of child development.33 34 35 36 37 We
believe this provision better meets the needs and development of
infants and toddlers. Mixed age group classrooms, which can be
structured to better support continuity of care for individual children
and stronger bonds with primary caregivers, are encouraged.
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\33\ Copple, C., & Bredekamp, S. (2009). Developmentally
appropriate practice in early childhood programs: Serving children
from birth through age 8 (3rd ed.). Washington, DC: National
Association for the Education of Young Children.
\34\ Honig, A. (2002). Secure relationships: Nurturing infant/
toddler attachment in early care settings. Washington, DC: National
Association for the Education of Young Children.
\35\ Post, J., Hohmann, M., & Epstein, A. (2011). Tender care
and early learning: Supporting infants and toddlers in child care
settings (2nd ed.). Ypsilanti, MI: HighScope Press.
\36\ Riley, D., San Juan, R.R., Klinkner, J., & Ramminger, A.
(2008). Social & emotional development: Connecting science and
practice in early childhood settings. St. Paul, MN: Red Leaf Press.
\37\ Zero to Three. (2008). Caring for infants and toddlers in
groups: Developmentally appropriate practice (2nd ed.). Arlington,
VA: Author.
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To improve child outcomes, we propose to increase the minimum
service duration for preschoolers in Sec. 1302.20(c) (as is discussed
below, programs can apply for modifications to these requirements
through a local program option). First, in paragraph (c)(1) we propose
to increase the number of required service days per year for
preschoolers from 128 to 180 days. In paragraph (c)(3) we propose to
increase the minimum required hours per day from 3.5 to 6 hours.
Together, these two proposals will afford a preschool aged child a
minimum of 1,080 hours of education per year. Children in a program
operating under the current minimums receive 448 hours of Head Start
over the course of a calendar year, which is less than half of early
learning services that many children receive in state pre-kindergarten
and will receive at our proposed minimums. Most programs are operating
below these new minimums so our proposal will significantly increase
Head Start children's exposure to early learning experiences, which is
consistent with the Secretary's Advisory Committee recommendation that
Head Start ``optimize dosage.''
Though research on dosage does not identify a specific effective
dosage level for early education, there is strong and mounting evidence
that current minimums are too low to produce strong child outcomes. A
recent analysis of the ECLS-K data finds that the highest risk kids are
almost a full year behind the lowest risk children at kindergarten
entry and ``to catch up, high-risk children would need to make almost
twice as much progress during kindergarten as low-risk children.''\38\
We do not believe our current operating minimums allow sufficient time
for the growth and development in school readiness skills for Head
Start children. We would like to invite comment specifically on whether
six hours is the most appropriate new minimum.
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\38\ Bernstein, S., West, J., Newsham, R., & Reid, M. (2014).
Kindergartners' Skills at School Entry: An Analysis of the ECLS-K.
Mathematica Report.
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Research on extended day with young children, full day
kindergarten, and effective teaching and curricula practices all
strongly point to the inadequacy of a 3.5 hour day in Head Start. For
example, a randomized control study in which one group attended pre-
kindergarten for 8 hours per day for 45 weeks and another group
attended 2.5 to 3 hours per day for 41 weeks found that by the spring
of kindergarten, the children who had attended full-day pre-
kindergarten had improved almost twice as much on vocabulary and math
skills compared to the children who attended half day.\39\ Research
with toddlers and preschool age children also finds that greater
exposure to rich vocabulary enrichment
[[Page 35465]]
allows for better scaffolding that can lead to improved language and
literacy.40 41 Numerous studies on kindergarten find
children learn more in full-day kindergarten than half-day
kindergarten.42 43 44 45 46 47 48 This is not surprising
since more instruction is delivered in full-day classrooms.\49\ Experts
also find that full-day kindergarten particularly helped narrow the
achievement gap for dual language learners,\50\ which is encouraging
since a large and increasing portion of Head Start children are dual
language learners.
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\39\ Robin, K.B., Frede, E.C., Barnett, W.S. (2006). Is More
Better? The Effects of Full-Day vs. Half-Day Preschool on Early
School Achievement. NIEER Working Paper.
\40\ Harris, Golinkoff, & Hirsh-Pasell (2011). Lessons for the
Crib for the Classroom: How Children Really Learn Vocabulary. In
Handbook of Early Literacy Research, Vol 3. Ed by D. Dickinson and
S. Neuman (NY: Guilford), 49-65.
\41\ Dickinson, D.K., Flushman, T.R., & Freiberg, J.B. (2009).
Learning, reading, and classroom supports: Where we are and where we
need to be going. In B. Richards, M.H. Daller, D.D. Malvern, P.
Meara, J. Milton, & Trefers-Daller (Eds.). Vocabulary Studies in
First and Second Language Acquisition: The Interface Between Theory
and Application. (pp. 23-38). Hampshire, England: Palgrave-McMillan.
\42\ DeCicca, P. (2007). Does full-day kindergarten matter?
Evidence from the first two years of schooling. Economics of
Education Review, 26(1), 67-82.
\43\ Cryan, J. R., Sheehan, R., Wiechel, J., & Bandy-Hedden, I.
G. (1992). Success outcomes of full-day kindergarten: More positive
behavior and increased achievement in the years after. Early
Childhood Research Quarterly, 7(2), 187-203.
\44\ Lee, V. E., Burkam, D. T., Ready, D. D., Honigman, J., &
Meisels, S. J. (2006). Full-Day versus Half-Day Kindergarten: In
Which Program Do Children Learn More? American Journal of Education,
112(2), 163-208.
\45\ http://www.thecommunityguide.org/healthequity/education/he-AJPM-evrec-fdk.pd.
\46\ Schroeder, J. (2007). Full-day kindergarten offsets
negative effects of poverty on state tests. European Early Childhood
Education Research Journal. 15(3), 427-439.
\47\ Hahn, R.A., Rammohan, V. et al. (2014). Effects of Full-Day
Kindergarten on the Long-Term Health Prospects of Children in Low-
Income and Racial/Ethnic-Minority Populations. American Journal of
Preventive Medicine, 46(3), 312-323.
\48\ Walston, J.T., and West, J. (2004). Full-day and Half-day
Kindergarten in the United States: Findings from the Early Childhood
Longitudinal Study, Kindergarten Class of 1998-99 (NCES 2004-078).
U.S. Department of Education, National Center for Education
Statistics. Washington, DC: U.S. Government Printing Office.
\49\ Ibid
\50\ Chang, M. (2012). Academic performance of language-minority
students and all-day kindergarten: a longitudinal study. School
Effectiveness and School Improvement: An International Journal of
Research, Policy and Practice 23(1), 21-48.
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Moreover, research on effective teaching and curriculum practices
for children at risk of school difficulties also support the need for
full-day operation. A meta-analysis of pre-kindergarten programs found
that those that focused on intentional teaching and small group and
one-to-one interactions had larger impacts on child outcomes.\51\ It is
very difficult for a half-day program to provide sufficient time for
teachers to conduct learning activities and intentional instruction in
small group and one-on-one interactions in the areas of skill
development experts believe are important to later school success.
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\51\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W.S. (2010).
Meta-analysis of the effects of early education interventions on
cognitive and social development. Teachers College Record, 112(3),
579-620.
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Researchers believe meaningful skill development in language,
literacy, and math requires intentional, frequent, and specific methods
of instruction and teacher-child interactions, and for many children in
Head Start, need to be conducted in small groups to allow sufficient
individualized scaffolding and skill development.\52\ Targeted
instruction and small group activities are teaching practices that are
particularly important for supporting the learning of children who are
behind.53 54 55 For example, language and literacy experts
believe teachers must take an active role in supporting language and
literacy development for children at risk of reading difficulties. That
requires systematic and explicit instruction to foster vocabulary
breadth and depth. They recommend in addition to integration into group
learning and free play, language and literacy instruction should be
explicitly structured and sequenced in 15 to 20 minutes small group
sessions at least three times per week.\56\ Math experts recommend
similar time frames to support development of broad and deep
mathematical thinking and knowledge.57 58 This is not to say
that all activity should be in small groups nor imply intentional
instruction means rote learning: Large groups, free play, dramatic
play, and child-initiated activities are all essential components of
high quality early learning programs. Three and a half hour days are
not long enough to support these high quality learning experiences.
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\52\ Justice, L.M., Mcginty, A., Cabell, S.Q., Kilday, C.R.,
Knighton, K., & Huffman, G. (2010). Language and literacy curriculum
supplement for preschoolers who are academically at risk: A
feasibility study. Language, Speech, and Hearing Services in
Schools, 41, 161-178.
\53\ Buysse, V., Peisner-Feinber, E.S., Saikakou, E., &
LaForett, D.R. (2014). Recognition & response: A model of response
to Intervention to promote academic learning in early education.
Chapter 5 in Handbook of Response to Intervention in Early
Childhood, Buysee, V., & Peisner-Feinberg, E. (Eds.). Baltimore:
Paul H. Brookes Publishing.
\54\ Justice, L.M., Mcginty, A., Cabell, S.Q., Kilday, C.R.,
Knighton, K., & Huffman, G. (2010). Language and literacy curriculum
supplement for preschoolers who are academically at risk: A
feasibility study. Language, Speech, and Hearing Services in
Schools, 41, 161-178.
\55\ Ginsburg, H.P., Ertle, B., & Presser, A.L. (2014). Math
curriculum and instruction for young children. Chapter 16 in
Handbook of Response to Intervention in Early Childhood, Buysee, V.,
& Peisner-Feinberg, E. (Eds.). Baltimore: Paul H. Brookes
Publishing.
\56\ Curenton, S.M., Justice, L.M., Zucker, T.A., & McGinty,
A.S. (2014). Language and literacy curriculum and instruction.
Chapter 15 in in Handbook of Response to Intervention in Early
Childhood, Buysee, V., & Peisner-Feinberg, E. (Eds.). Baltimore:
Paul H. Brookes Publishing.
\57\ Ginsburg, H.P., Ertle, B., & Presser, A.L. (2014). Math
curriculum and instruction for young children. Chapter 16 in
Handbook of Response to Intervention in Early Childhood, Buysee, V.,
& Peisner-Feinberg, E. (Eds.). Baltimore: Paul H. Brookes
Publishing.
\58\ Clements, D.H., & Sarama, J. (2008). Experimental
evaluation of the effects of a research-based preschool mathematics
curriculum. American Educational Research Journal, 45(2), 443-494.
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In addition, research on summer learning loss and attendance
demonstrates the importance of extending the minimum days of operation
in Head Start. Experts conclude the average student loses one month
worth of skills and development over the summer break.\59\ The amount
of learning loss is even greater for children from low income families
who may not have as much access to educational resources and
experiences during the summer and who are already behind their more
advantaged peers and need extra time to learn skills and strengthen
development.60 61 62 63 64 65 This pattern is also true for
the youngest children in elementary school.\66\ Experts believe the
effects of summer learning loss for children from low-income families
is cumulative and that the disparity in summer gains and losses over
the first
[[Page 35466]]
four summers of elementary school is greater than the differential
between children from high and low income families at school entry and
that summer learning loss in elementary school predicts poor academic
achievement in high school.\67\
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\59\ Sloan McCombs, J. et al. (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\60\ Alexander, K. L., Entwisle D. R., & Olson L. S. (2007).
Summer learning and its implications: Insights from the Beginning
School Study. New Directions for Youth Development, 114, 11-32.
\61\ Sloan McCombs, J. et al. (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\62\ Allington, R.L. & McGill-Franzen, A. (2003). The Impact of
Summer Setback on the Reading Achievement Gap. The Phi Delta Kappan,
85(1), 68-75.
\63\ Fairchild, R. & Noam, G. (Eds.) (2007). Summertime:
Confronting Risks, Exploring Solutions. San Francisco: Jossey-Bass/
Wiley.
\64\ Downey, D.B., von Hippel, P.T. & Broh, B.A. (2004). Are
Schools the Great Equalizer? Cognitive Inequality During the Summer
Months and the School Year. American Sociological Review, 69(5),
613-635.
\65\ Benson, J., & Borman, G.D. (2010). Family, Neighborhood,
and School Settings Across Seasons: When Do Socioeconomic Context
and Racial Composition Matter for the Reading Achievement Growth of
Young Children? Teacher's College Record, 112(5), 1338-1390.
\66\ Benson, J., & Borman, G.D. (2010). Family, Neighborhood,
and School Settings Across Seasons: When Do Socioeconomic Context
and Racial Composition Matter for the Reading Achievement Growth of
Young Children? Teacher's College Record, 112(5), 1338-1390.
\67\ Alexander, K. L., Entwisle D. R., & Olson L. S. (2007).
Lasting consequences of the summer learning gap. American
Sociological Review, 72, 167-180.
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Research on attendance also finds exposure to additional learning
time is important for skill development.68 69 70 71 A recent
study of preschool attendance in Chicago found that even when
accounting for children's skill level at the beginning of preschool,
attendance predicted better academic outcomes at the end of preschool
and beyond and that attendance was most beneficial for children
starting preschool with the lowest skills.\72\
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\68\ Logan, J.A.R., Piasta, S.B., Justice, L.M., Schatschneider,
C., Petrill, S. (2011). Children's attendance rates and quality of
teacher-child interactions in at-risk preschool classrooms:
Contribution to children's expressive language growth. Child & Youth
Care Forum, 40(6), 457-477.
\69\ Hubbs-Tait, L., McDonald Culp, A., Huey E., Culp, R.,
Starost, H., and Hare, C. (2002). Relation of Head Start attendance
to children's cognitive and social outcomes: moderation by family
risk. Early Childhood Research Quarterly, 17, 539-558.
\70\ Taking Attendance Seriously: How School Absences Undermine
Student and School Performance in New York City. (2011). Report by
The Campaign for Fiscal Equity.
\71\ Lamdin, D.J. (1996). Evidence of student attendance as an
independent variable in education production functions. Journal of
Educational Research, 89(3), 155-162.
\72\ Ehrlich, S.B., Gwynne, J.A. . . . . Sorice, E. (2014).
Preschool Attendance in Chicago Public Schools: Relationships with
Learning Outcomes and Reasons for Absences. University of Chicago
Consortium on Chicago School Research. Research Report.
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Furthermore, our dosage proposal is more aligned with state pre-
kindergarten programs that have shown strong effects.73 74
For example, children who attend North Carolina pre-kindergarten, make
gains in language, literacy, math, general knowledge, and social
skills. At the end of third grade, children from low-income families
who had attended state pre-kindergarten scored higher on math
assessments than children from low-income families who did not attend,
and dual language learners made gains at even faster rates than other
children.\75\ Children who attend New Jersey's state pre-kindergarten,
show improvements in language arts, literacy, math, and science at 4th
and 5th grade as well as significantly lower rates of grade retention
and special education placement.\76\ Georgia pre-kindergarten finds
medium to large effects on children's language, literacy, and math
skills at kindergarten entry.\77\ And Tulsa pre-kindergarten, which is
mainly a full-day program for children from low-income families, also
shows strong affects for children in language and math skills.\78\
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\73\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\74\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
\75\ Peisner-Feinberg, E. S., Schaaf, J. M., LaForett, D. R.,
Hildebrandt, L.M., & Sideris, J. (2014). Effects of Georgia's Pre-K
Program on children's school readiness skills: Findings from the
2012-2013 evaluation study. Chapel Hill: The University of North
Carolina, FPG Child Development Institute.
\76\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
\77\ Peisner-Feinberg, E. S., Schaaf, J. M., LaForett, D. R.,
Hildebrandt, L.M., & Sideris, J. (2014). Effects of Georgia's Pre-K
Program on children's school readiness skills: Findings from the
2012-2013 evaluation study. Chapel Hill: The University of North
Carolina, FPG Child Development Institute.
\78\ Gormley, G.T., Gayer, T., Phillips, D., & Dawson, B.
(2005). The effects of universal pre-k on cognitive development.
Developmental Psychology, 4(6), 872-884.
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Evidence demonstrates current operating minimums (3.5 hours/day and
128 days/year) do not provide Head Start children the necessary breadth
and depth of high quality learning experiences they need to succeed in
school and beyond. The day is too short for children to receive needed
targeted instruction, and the majority of Head Start programs operate
with a 4 month break between program years, which we believe undermines
the progress Head Start children make during the year and lessens the
overall impact of the program. Our proposal will allow children to
receive more instructional time and learning activities that support
development of skills important to school success. Therefore, we
believe these proposed increases, combined with proposals to raise the
education standards, are central to achieving the impact Head Start
programs should have for children's school readiness and success.
It is imperative that these proposals are understood as minimums
and not interpreted to mean center-based programs that currently
operate above these minimums should decrease their current service
delivery duration. Rather, we believe our proposed changes to increase
service duration in many programs are essential to increasing the
impact of Head Start on child skill growth and later success in school.
Our proposed revisions also allow programs that wish to serve children
for a shorter period of time to request to operate a locally-designed
variation that meets minimum requirements in Sec. 1302.24, including
evidence of adequate child outcomes.
Paragraph (c)(1) of this proposed section also improves clarity
about the service duration requirement for Early Head Start programs by
proposing to include a long-standing interpretation of statute. From
Congress' initial enactment of Early Head Start in 1994, the law has
stated that Early Head Start programs must provide ``continuous''
services. Since its inception, we have consistently interpreted
``continuous'' to mean ``full-day and full-year'' in our grant process
for Early Head Start. Therefore, we propose to clarify that Early Head
Start programs operate no less than 230 days per year and no less than
6 hours per day. We believe these proposals reflect our long-standing
administrative interpretation of law, and, while the majority of
programs currently either meet these or are very close to meeting
these, there are programs for which this will be a substantive change.
We are specifically seeking public comment about the proposed
dosage changes for both Head Start and Early Head Start in center-based
programs, including transition strategies and timeframes for programs
that do not currently meet these new duration requirements as well as
the benefits and potential tradeoffs of this approach to deepening
children's early learning experiences. We note that the President's
FY2016 Budget proposes significant increased funding for Head Start to
support the change to full-day and full-year programs. We have
requested these funds because we recognize that for programs that now
provide fewer total program hours or operate double sessions, there
will be a cost impact of deepening the dosage. But, we are also aware
that the research points to the importance of increasing program day
and year above current minimums to achieve the positive outcomes for
children the program is designed to deliver. We are seeking comment on
the intersection of this research basis and available resources.
We propose to retain other structural requirements for center-based
options. In paragraph (b)(3) the requirements we propose for ratios and
class size for all children remain the same as in our current
regulation: no more than 8 children and two teachers in any class
serving children under 36 months of age; no more than 17 children with
at least one teacher and one teaching assistant in any class of
majority 3 year
[[Page 35467]]
olds; and no more than 20 children and at least one teacher and one
teaching assistant in any class of majority 4 and 5 year olds. Our
current regulation encourages programs to have a third person in the
classroom. While we still believe this is best practice and encourage
programs to do so, because the current regulation does not require
programs to have a third person in the classroom, we do not include it
in this NPRM. We do propose to simplify how programs determine the
classroom's age categorization and provide additional local flexibility
to enable programs to make adjustments to improve service quality as
needed during the program year. We propose to retain the exemption for
Migrant and Seasonal programs due to the unique services these programs
provide.
We propose to remove current Sec. 1306.32(a)(10), which requires
programs to determine the predominant age of each child in the
classroom at the start of the year because the current requirement
regarding the timing of this determination is overly prescriptive.
Section 1302.22 Home-Based Option.
In this section, we revise and redesignate most provisions in Sec.
1306.33 in the existing rule and propose the structural requirements
for programs that operate a home-based (home-visiting) option,
including setting, caseload, service duration, and licensing
requirements for group socializations. We also propose to strengthen
several structural requirements for the home-based option to improve
the quality of services. Our proposal retains a number of the current
structural requirements for home-based options. In paragraph (a), we
propose to retain language that describes the home-based option.
However, we propose to limit this as a standard program option to Early
Head Start programs. Currently, only 2% of Head Start programs serving
preschoolers provide services through a home-based option. As
previously discussed, we believe more intensive educational experiences
than can be delivered through a home-based option are required to
promote strong early learning outcomes in preschoolers in Head Start.
Thus, we believe it is a more appropriate use of taxpayer dollars to
eliminate this as a standard option for preschoolers. Programs serving
preschoolers who believe a home-based option best meets the needs of
their communities may apply for a locally-designed variation as
described in 1302.24. In paragraph (b), we propose to retain the
maximum caseload and the minimum length of home visit requirements.
Our proposed revisions in paragraph (c)(1) clarify there must be a
minimum of 46 visits per year, which codifies long-standing
administrative interpretation of the Act. The minimum number of group
socializations is also clarified to require a minimum of 22 group
socializations in paragraph (c)(2). This codifies existing service
duration requirements for infants and toddlers. We believe these
important changes will increase the amount of early learning
experiences provided by the home-based option and will facilitate
improved learning and child outcomes.
In addition, in paragraphs (c)(3) and (c)(4) we propose to maintain
provisions that require programs to make up planned home visits and
group socializations when cancelled by the program as necessary to meet
required minimums, and our proposal maintains provisions that prohibit
grantees from replacing home visits or group socializations for medical
or social service appointments. Proposed paragraph (d) retains the
licensing requirements from current regulation.
To improve clarity and implementation of program requirements for
home-based options, we reorganize current provisions from Sec. 1306.33
that do not specifically relate to structural elements of setting,
caseload, and service duration for home-based options. For example, we
revise and redesignate parts of Sec. Sec. 1306.33(b) and 1306.33(b)(1)
in the current rule to Sec. 1302.91(f) in the Human Resources subpart,
and Sec. Sec. 1302.35(a) and 1302.35(b) in the Education and Child
Development subpart, respectively. These provisions describe who
conducts the home visit, the design of the home visit, and the purpose
of the home visit experiences, and we believe the redesignation
supports greater clarity and transparency.
Section 1302.23 Family Child Care Option.
To streamline and simplify the regulations and make them easier to
implement, in this section, we propose to revise and redesignate Sec.
1306.20(g) and (h) and some of the provisions in Sec. 1306.35(a) and
(d) in the current rule to consolidate all structural requirements for
family child care providers into the same subpart as other program
models. In this section, we propose the structural requirements for
setting, ratios and group size, service duration, licensing, and child
development specialists for family child care providers.
We propose several structural changes to improve the quality of
services in family child care options. In paragraph (d), we propose
that family child care providers must be licensed by the state. This
increases the accountability and safety for such programs. In addition,
in paragraph (a)(1), we propose a new provision to require programs be
the employer of the family child care provider or have a legally
binding agreement. This reflects one of the recommendations \79\ from
the Early Head Start for Family Child Care project, and we believe it
better reflects best practice. In paragraph (b), we propose to retain
ratio and class size requirements from our current regulation.
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\79\ Del Grosso, P., Akers, L., & Heinkel, L. (2011). Building
Partnerships Between Early Head Start Grantees and Family Child Care
Providers: Lessons from the Early Head Start for Family Child Care
Project. Final Report.
---------------------------------------------------------------------------
In paragraph (c), to create consistency across program models, we
propose all family child care programs provide planned class operations
a minimum of six hours per day of Head Start services for at least 230
days per year for infants and toddlers in Early Head Start and a
minimum of six hours per day for at least 180 days for preschool age
children in the Head Start program. Most family child care providers
operate full year and full day. We believe this is one of the many
benefits of offering the family child care option in Early Head Start
and Head Start so programs should not interpret these new proposed
minimums to indicate we believe family child care providers providing
higher service duration should decrease their current duration of
operations. Therefore, we also propose to retain the current rule in
Sec. 1306.35(a)(1) that requires family child care options to operate
sufficient hours to meet the child care needs of families.
As with the proposed dosage changes for center-based programs, we
are also specifically seeking public comment about the proposed dosage
changes for family child care programs, including transition strategies
and timeframes for programs that do not currently meet these new
duration requirements as well as the benefits and potential tradeoffs
of this approach to deepening children's early learning experiences.
We retain many family child care requirements in the current rule
with slight revisions to improve clarity. To ensure programs meet the
strongest requirements, we also propose in paragraph (d) to retain the
requirement that family child care providers meet state and local, or
tribal, licensing requirements and that when such requirements vary
from Head Start requirements, the most stringent provisions apply.
Finally, we propose in
[[Page 35468]]
paragraph (e), to redesignate and revise the requirement in current
Sec. 1306.20(h) that a family child care option provide a child
development specialist to support providers and ensure quality
services. Consistent with center-based and home-based options, we
propose to amend and redesignate requirements for family child care
options unrelated to structural requirements to more appropriate
sections in this NPRM. For example, we propose to revise and
redesignate current provisions in Sec. 1306.35(a)(3) on having
appropriate indoor and outdoor space needed to foster cognitive,
social, emotional, and physical development to part 1302, subpart C--
Education and Child Development Program Services. In addition, we
propose to revise and redesignate current Sec. 1306.35(b) and (c),
which address safety, to Sec. 1302.47 in this NPRM to align all safety
requirements across program models.
Section 1302.24 Locally-Designed Program Option Variations.
In this section, we propose to remove Sec. 1306.34 and to revise
and redesignate Sec. Sec. 1306.36, 1306.37, and 1306.32(a)(6) in the
existing rule, to include new requirements for additional program
option variations for locally-designed program models. We propose
changes to retain the flexibility center-based, home-based, and family
child care programs currently have to implement locally-designed
variations for teacher-child ratios, group size, caseload, and service
duration, but also propose to increase accountability by requiring
programs to demonstrate the locally-designed model appropriately meets
the needs of the children and families in their community.
Specifically, in paragraph (a), we support local innovation and
flexibility by proposing to allow programs the option to request
approval from the responsible HHS official to operate a locally-
designed program variation that waives one or more of the structural
requirements proposed for the center-based, home-based, and family
child care options. Under our proposal, no waivers would be permitted
for licensing and square footage requirements, ratios for children
younger than 2 years old or the specific requirements for the delivery
of the full range of comprehensive services as described in subparts C,
D, E, F, and G of part 1302 of this NPRM.
Together, the availability of this waiver, as well as the
accountability provisions we propose set a high but attainable bar for
programs who wish to provide services through a non-standard program
option. We anticipate that programs that choose to align their program
schedules to that of their school districts, for example, in order to
utilize transportation services for the children they serve; programs
that serve teen parents and therefore choose to operate center-based
services during the school year and home-based services during the
summer; or programs with other innovative approaches to meeting
community needs, would be able to demonstrate that children are making
progress and would receive this waiver.
Ratios and class size requirements for Early Head Start programs
are currently specified in 1304.52(g), separate from the program option
requirements for Head Start and Family Child Care (currently in part
1306). This disconnect is the result of part 1306 not being
holistically revised since the implementation of Early Head Start in
1996. This disconnect has also led to the current waiver authority for
ratios, class size, and other structural program features not applying
to Early Head Start. We think the proposed reorganization which brings
Early Head Start under the umbrella of this waiver authority, with one
important exception, will support implementation of birth to five
models, and additional flexibility and innovation among Early Head
Start programs. The waiver authority will not apply to ratios for
children under 24 months old, which has been made clear in the proposed
revision of the regulatory language given the critical importance of
low ratios for infants and young toddlers.
Our proposed revisions increase accountability in locally-designed
models in several ways. First, we would still allow programs to
implement combination or double session program models or home-based
models for preschoolers, but only as locally-designed variations
approved by the appropriate HHS official. If the responsible HHS
official approves a double session, we propose to require those
programs to retain current requirements on ratio and length of the day.
In paragraph (c)(3) we propose specifications for the required number
of home visits and group socializations if the responsible HHS official
approves home-based services for preschoolers. Second, to be approved
for such a waiver, in paragraph (c)(1) we propose to require a program
demonstrate their option effectively supports appropriate child skill
development and progress in the goals described in the Head Start Early
Learning Outcomes Framework (Birth-5) and either better meets the needs
of the community or better supports the continuity of care for
individual children than the standard program options and structures
proposed for center-based, home-based, and family child care providers
described in this subpart. In Sec. 1302.24(b), we propose to require
approval be given every two years to ensure that children and families
are receiving effective services, and give the responsible HHS official
clear authority to revoke approval for the locally-designed variations
if ongoing assessment and monitoring shows that children's educational
needs are not being met as described in subpart J.
Education and Child Development Program Services, Subpart C (Currently
Sec. Sec. 1304.20 Through 1304.23, 1304.40, 1304.52, 1306.32, 1306.33,
1306.35, 1308.6, and 1308.21)
This subpart proposes a significant overhaul of the education and
child development requirements for Early Head Start and Head Start,
which are primarily located in Sec. 1304.21 of the existing rule but
are also found within Sec. Sec. 1304.20, 1304.23, 1304.40, 1304.52,
1306.32, 1306.33, 1306.35, 1308.6, and 1308.21. Section 1304.21 was
last updated in 1998, and many of its provisions precede that revision.
Though the existing regulations on education and child development
services reflect some key child development principles, the knowledge
base on early education has grown considerably after more than 15 years
of research on child development, brain development, and program
implementation and significant expansion of publicly funded early
learning programs. In this subpart, we propose to update, consolidate,
and restructure education and child development requirements to reflect
best practices in teaching and learning, integrate curriculum and
assessment research, support effective use of the Head Start Early
Learning Outcomes Framework (Birth-5), and integrate new requirements
from the Act. Unlike the current rule that unevenly addresses education
services for Early Head Start and Head Start, we propose to apply these
provisions to both programs, except where specifically noted. We
believe these revisions will provide significantly better information
to programs on the elements of high quality early education, strengthen
program practices and quality, and improve child outcomes.
There is a large evidence base that demonstrates that early
learning opportunities can improve children's cognitive, social, and
emotional development so that they enter kindergarten better prepared
to succeed in school and
[[Page 35469]]
beyond.80 81 82 83 84 85 86 87 88 89 Providing effective
early learning programs is particularly important for supporting the
success of children from low-income families. Research finds the well-
documented achievement gaps we see in elementary and secondary
education begin long before children enter
kindergarten.90 91 92 93 Brain development is at its most
rapid during the first five years of life, and neuroscience and other
research suggests intervention at this time is particularly
important.\94\ Head Start and Early Head Start have long led the effort
to help prepare disadvantaged children to succeed in school and in
life. For example, one large study of Head Start children found
significant gains over the program year in literacy, math, and social
and emotional behavior.\95\ Another study found Head Start children
made additional gains after kindergarten.96 97
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\80\ Aikens, N., Kopack Klein, A., Tarullo, L. & West, J.
(2013). Getting Ready for Kindergarten: Children's Progress During
Head Start. FACES 2009 Report. OPRE Report 2013-21a. Washington, DC:
Office of Planning, Research and Evaluation, Administration for
Children and Families, U.S. Department of Health and Human Services.
\81\ Barnett, W.S., & Hustedt, J. T. (2005). Head start's
lasting benefits. Infants & Young Children, 18(1), 16-24.
\82\ Yoshikawa, H., Weiland, C., Brooks-Gunn, J., Burchinal, M.,
* * *Zaslow, M. (2013). Investing in our future: The evidence base
on preschool education. Foundation for Child Development.
\83\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W.S. (2010).
Meta-analysis of the effects of early education interventions on
cognitive and social development. The Teachers College Record, 112,
579-620.
\84\ Wong, V.C., Cook, T.D., Barnett, W.S., & Jung, K. (2008).
An effectiveness-based evaluation of five state prekindergarten
programs. Journal of Policy Analysis and Management, 27, 122-154.
\85\ Reynolds, A.J. (2000). Success in early intervention: The
Chicago Child-Parent Centers. Lincoln, Nebraska: University of
Nebraska Press.
\86\ Schweinhart, L.J., Montie, J., Xiang, Z., Barnett, W.S.,
Belfield, C.R., & Nores, M. (2005). Lifetime effects: The HighScope
Perry Preschool study through age 40. Ypsilanti, MI: HighScope
Press.
\87\ Gormley, W., Gayer, T., Phillips, D.A., & Dawson, B.
(2005). The effects of universal Pre-K on cognitive development.
Developmental Psychology, 41, 872-884.
\88\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\89\ Campbell, F.A., Ramey, C.T., Pungello, E., Sparling, J., &
Miller-Johnson, S. (2002). Early childhood education: Young adult
outcomes from the Abecedarian project. Applied Developmental
Science, 6, 42-57.
\90\ Hart, B. & Risley, T. (1995). Meaningful differences in the
everyday experiences of young American children. Baltimore: Brookes.
\91\ Magnuson, K.A. & Waldfogel, J. (2005). Early childhood care
and education: Effects on ethnic and racial gaps in school
readiness. The Future of Children, 15(1), 169-196.
\92\ U.S. Department of Education. (2008). Preschool: First
findings from the third follow-up of the early childhood
longitudinal study, birth cohort (ECLS-b). (NCES No. 2008-025).
\93\ Promoting Effective Early Learning: What Every Policymaker
and Educator Should Know. (2007). New York: NY: National Center for
Children in Poverty.
\94\ Harvard Center on the Developing Child (2007). The science
of early childhood development: Closing the gap between what we know
and what we do. Cambridge, MA: Author.
\95\ Aikens, N., Kopack Klein, A., Tarullo, L. & West, J.
(2013). Getting Ready for Kindergarten: Children's Progress During
Head Start. FACES 2009 Report. OPRE Report 2013-21a. Washington, DC:
Office of Planning, Research and Evaluation, Administration for
Children and Families, U.S. Department of Health and Human Services.
\96\ Malone. L., Hulsey, L, Aikens, N., West, J., Tarullo, L.
(2010). ACF-OPRE Report: Data Tables for FACES 2006 Head Start
Children Go to Kindergarten Report. Washington, DC. U.S. Department
of Health and Human Services, Administration for Children and
Families, Office of Planning, Research and Evaluation.
\97\ http://www.acf.hhs.gov/sites/default/files/opre/transition_study.pdf
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However, Early Head Start and Head Start can and must do more to
provide high quality education and child development services in every
program. While, the Head Start Impact Study found modest to moderate
positive impacts of Head Start participation across most child
outcomes, we believe with improvements in quality, Head Start can have
an even greater impact.\98\ Research shows considerable variance in
Head Start quality.\99 100\ Data from standardized classroom
observations also find some elements of teaching practices score very
low, on average.\101\ For example, Instructional Support scores from
Head Start monitoring in 2013 were approximately 3 points lower on a 7
point scale, on average, than either Emotional Support or Classroom
Organization scores.\102\ This finding is consistent with other types
of pre-kindergarten programs but reflects a clear need for
improvement.\103\ We intend for the implementation of our proposed
revision of the education and child development provisions to improve
teaching practices and education service delivery across our programs
and help ensure every child in Early Head Start and Head Start receives
high quality early learning experiences.
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\98\ Puma, M., Bell, S., Cook, R., Heid, C., Broene, P.,
Jenkins, F., & Downer, J. (2012). Third grade follow-up to the Head
Start impact study final report. US Department of Health and Human
Services Office of Planning, Research and Evaluation.
\99\ Moiduddin, E., Aikens, N., Tarullo, L., West, J., Xue, Y.
(2012). Child Outcomes and Classroom Quality in FACES 2009. OPRE
Report 2012-37a. Washington, DC: Office of Planning, Research and
Evaluation, Administration for Children and Families, U.S.
Department of Health and Human Services.
\100\ Office of Head Start (2014). A National Overview of
Grantee CLASS(TM) Scores in 2013. Washington, DC: Office of Head
Start, Administration for Children and Families, U.S. Department of
Health and Human Services.
\101\ Office of Head Start (2013). A National Overview of
Grantee CLASS(TM) Scores in 2012. Washington, DC: Office of Head
Start, Administration for Children and Families, U.S. Department of
Health and Human Services.
\102\ Office of Head Start (2014). A National Overview of
Grantee CLASS(TM) Scores in 2013. Washington, DC: Office of Head
Start, Administration for Children and Families, U.S. Department of
Health and Human Services.
\103\ Pianta, R., LaParo, K., & Hamre, B. (2008). The Classroom
Assessment Scoring System Pre- K Manual. Charlottesville, VA:
University of Virginia.
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In this subpart, we outline four central elements for delivering
high-quality education and child development services: teaching
practices and the learning environment; curriculum; screening and
assessment; and parent involvement. We propose to raise program quality
and child education outcomes by updating the existing education
provisions so that each of these four central elements reflects
research and best practice in order to better promote skill growth in
areas needed for later success in school. Many of these revisions
integrate the recommendations offered by our Secretary's Advisory
Committee on Head Start Research and Evaluation.\104\ The report issued
by the Advisory Committee was the culmination of multiple meetings and
discussions held with many of the most prominent experts in the field
of early education and child development.
---------------------------------------------------------------------------
\104\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
---------------------------------------------------------------------------
In addition, we propose to integrate the Head Start Early Learning
Outcomes Framework (Birth-5) into teaching, curriculum, and assessment.
Head Start published the first Head Start Child Outcomes Framework in
2000. There have been enormous advances in the development and use of
early learning standards since the education requirements were last
revised in 1998 and the Framework was first released. Today all States
have adopted early learning and development standards for preschool-age
children, and many have standards for children beginning at birth. The
2007 Act required the Secretary to update the Framework and incorporate
it throughout the program by specifically integrating it into
instructional strategies, curriculum, and assessment.\105\ In 2010, the
Office of Head Start released a revised Framework to reflect a decade
of new research and understanding about child learning and development
for children ages 3 to 5. An updated version of this
[[Page 35470]]
Framework is being developed to better reflect an emerging body of
research on practice and skill development and to make the Framework
inclusive of all ages of children birth to five.
---------------------------------------------------------------------------
\105\ Scott-Little, C., Kagan, S.L., & Frelow, V.S. (2003).
Standards for preschool children's learning and development: who has
standards, how were they developed, and how are they used? Regional
Educational Laboratory at SERVE. Greensboro, NC.
---------------------------------------------------------------------------
The current revision of the Framework will encompass children from
birth to age 5 and focus on the key areas of development and skills
important for later success in school. The Advisory Committee noted the
most effective early learning models are ``focused, intensive, and
systematic.'' \106\ This proposed integration of teaching practices,
curriculum, assessment, and the updated Head Start Early Learning
Outcomes Framework (Birth-5) will better support the type of program
delivery recommended by the Advisory Committee. It will strengthen
teachers' intentional focus on developing key skills and their use of
effective teaching practices. This NPRM achieves this increase in focus
and intensity without narrowing the breadth of learning experiences
children should have as part of a well-rounded education and as
required by the Act.
---------------------------------------------------------------------------
\106\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
---------------------------------------------------------------------------
Though we embed core concepts from Sec. 1304.21 in the existing
rule throughout this proposed subpart, the need to significantly update
the education requirements to capitalize on decades of science and
practice leads us to address many of these core concepts in a markedly
different way. We believe these revisions are necessary to improve the
quality of education services. For example, the current rule includes
some specific requirements that programs support children's social and
emotional, cognitive, and physical development in current Sec. Sec.
1304.21(a)(3), 1304.21(b)(2), 1304.21(a)(4), 1304.21(a)(5),
1304.21(b)(3). Since the previous regulation was drafted, the use of
curriculum and early learning standards has changed considerably in
early childhood education. Practice and research supports including
these types of requirements as part of early learning standards and
curriculum. This reflects significant advancement and growth in the
field of early childhood education. Therefore, we propose to reflect
these advancements, which still retain the centrality of programs
supporting social and emotional, cognitive, and physical development
throughout the education requirements, but in a more purposeful and
appropriate manner. Specifically, we integrate provisions to these
developmental areas into the proposed sections on general purpose,
teaching and the learning environment, curriculum, and screening and
assessment.
Finally, we propose significant revisions to the home-based
education provisions, which are currently spread across multiple
sections of the existing rule and provide few specific requirements
about high quality learning experiences. Because of the inadequate
regulations, delivery of the home-based model has been steered by the
guidance, technical assistance, and dissemination of best practices
from the Office of Head Start. In 2009, the U.S. Department of Health
and Human Services launched the Home Visiting Evidence of Effectiveness
review to conduct a thorough and transparent review of the home
visiting research literature and provide an assessment of the evidence
of effectiveness for home visiting program models that target families
with pregnant women and children from birth to age five.\107\ This
review concluded the Early Head Start home-based model was an effective
research-based model.\108\ Therefore, we propose to codify these
research-based practices in a new section that clearly describes the
education and development services that home-based models must
implement. We believe this will help ensure that all home-based models
have the information they need to provide high quality learning
experiences.
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\107\ http://homvee.acf.hhs.gov/default.aspx
\108\ Ibid.
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Section 1302.30 In General
This section proposes an overarching statement of the general
purpose and goals for education services in center-based and family
child care settings of Early Head Start and Head Start programs. This
incorporates the education related purposes stated in the Act as well
as our belief about the educational services our programs must deliver.
It also includes some of the core philosophies of Head Start enumerated
in the existing rule in Sec. 1304.21, such as the need to deliver
developmentally, culturally, and linguistically appropriate services,
and a clear emphasis on the full inclusion of children with
disabilities. This section proposes to set forth the expectation that
programs deliver high quality education and child development services
that promote children's cognitive, social, and emotional growth, and
the key areas--teaching and the learning environment, curriculum,
screening and assessment, and parent involvement--programs must address
to ensure each child's school readiness and long-term outcomes. A
unique general statement of purpose is proposed for home-based
education services in Sec. 1302.35 because of the differences in
service delivery. Current requirements in this section that were more
indicative of early learning standards were removed because they
describe what children should know and be able to do rather than what
programs and teachers must provide to scaffold their learning.
Section 1302.31 Teaching and the Learning Environment
In this section, we propose the key elements of teaching practices
and the learning environment that programs must deliver to support
children's skill growth and development. These provisions are central
to providing high quality education and learning experiences that will
prepare our children to succeed in school. They reflect research on
best practices and recommendations offered in the final report issued
by our Secretary's Advisory Committee on Head Start Research and
Evaluation.\109\ Together with the other requirements in this subpart,
this proposal will provide more intentional and focused education
experiences that will better promote skill growth and stronger child
outcomes without micromanaging local decision-making and creating undue
burden.
---------------------------------------------------------------------------
\109\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
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In paragraph (a), we propose that programs must support effective
teaching and a high quality learning environment through regular and
ongoing supervision and a system of individualized professional
development. Research suggests integration of professional development
into guiding effective teaching practices can be central to providing
high quality teacher-child interactions.110 111 112 113 114
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\110\ Mashburn, A.J., Pianta, R.C., Hamre, B.K., Downer, J.T.,
Barbarin, O.A., Bryant, D., . . . . & Howes, C. (2008). Measures of
classroom quality in prekindergarten and children's development of
academic, language, and social skills. Child Development, 79(3),
732-749.
\111\ Pianta, R.C., Mashburn, A.J., Downer, J.T., Hamre, B. K.,
& Justice, L. (2008). Effects of web-mediated professional
development resources on teacher-child interactions in pre-
kindergarten classrooms. Early Childhood Research Quarterly, 23(4),
431-451.
\112\ Buysse, V., & Wesley, P.W. (2005). Consultation in Early
Childhood Settings. Baltimore, MD: Paul H. Brookes Publishing.
\113\ Tout, K., Halle, T., Zaslow, M., & Starr, R. (2009).
Evaluation of the Early Childhood Educator Professional Development
Program: Final Report: Report prepared for the U.S. Department of
Education.
\114\ Zaslow, M., Tout, K., Halle, T., Vick, J., & Lavelle, B.
(2010). Towards the identification of features of effective
professional development for early childhood educators: A review of
the literature. Report prepared for the U.S. Department of
Education.
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[[Page 35471]]
In paragraph (b)(1), we focus on the elements of effective teaching
practices. The four provisions in this paragraph revise and redesignate
parts of Sec. Sec. 1304.21(a)(1) and (a)(4) and 1302.21(b)(1) and
(b)(2) in the existing rule, but update the language to promote more
intentional teaching strategies and better instructional practices.
These requirements reflect what research and practice demonstrate are
central to implementing effective teacher-child relationships and
learning experiences that promote children's growth and later school
success,115 116 117 118 119 and retain long-held Head Start
philosophies that research continues to support.
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\115\ Hamre, B.K., & Pianta, R.C. (2001). Early teacher-child
relationships and the trajectory of children's school outcomes
through eighth grade. Child Development, 72(2), 625-638.
\116\ Pianta, R.C., Nimetz, S.L., & Bennett, E. (1997). Mother-
child relationships, teacher-child relationships, and school
outcomes in preschool and kindergarten. Early Childhood Research
Quarterly, 12(3), 263-280.
\117\ Peisner-Feinberg, E.S., & Burchinal, M.R. (1997).
Relations between preschool children's child-care experiences and
concurrent development: The Cost, Quality, and Outcomes Study.
Merrill-Palmer Quarterly (1982), 451-477.
\118\ Burchinal, M., Howes, C., Pianta, R., Bryant, D., Early,
D., Clifford, R., & Barbarin, O. (2008). Predicting child outcomes
at the end of kindergarten from the quality of pre-kindergarten
teacher-child interactions and instruction. Applied Development
Science, 12(3), 140-153.
\119\ Neuman, S.B., & Cunningham, L. (2009). The impact of
professional development and coaching on early language and literacy
instructional practices. American Educational Research Journal,
46(2), 532-566.
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First, in paragraph (b)(1)(i), we propose to focus effective
teaching practices that promote growth in the skill development areas
outlined in the Head Start Early Learning Outcomes Framework (Birth-5),
including domains such as language and literacy, mathematics, social
and emotional development, and physical development. We propose to
require programs to integrate these efforts into their curriculum
implementation, schedules, and lesson plans, which is central to a more
intentional focus on development of skills important for later school
success. Second, in paragraph (b)(1)(ii), we propose to require
programs to emphasize nurturing and responsive interactions that foster
trust and emotional security and support children's engagement in
learning. We also require programs ensure teaching practices and
teacher-child interactions are communication- and language- rich and
promote language development, critical thinking, and problem-solving.
Research is clear that these elements are important for effective high
quality early learning
experiences.120 121 122 123 124 125 126
---------------------------------------------------------------------------
\120\ Peisner[hyphen]Feinberg, E.S., Burchinal, M.R., Clifford,
R.M., Culkin, M.L., Howes, C., Kagan, S.L., & Yazejian, N. (2001).
The relation of preschool childcare quality to children's cognitive
and social developmental trajectories through second grade. Child
Development, 72(5), 1534-1553.
\121\ National Institute of Child Health and Human Development
(NICHD) Early Child Care Research Network. (2000). Characteristics
and quality of child care for toddlers and preschoolers. Applied
Developmental Science, 4(3), 116-135.
\122\ Hamre, B.K., & Pianta, R.C. (2001). Early teacher-child
relationships and the trajectory of children's school outcomes
through eighth grade. Child Development, 72(2), 625-638.
\123\ Rowe, M.L. (2008). Child-directed speech: relation to
socioeconomic status, knowledge of child development and child
vocabulary skill. Journal of Child Language, 35(1), 185.
\124\ Zimmerman, F.J., Gilkerson, J., Richards, J.A.,
Christakis, D.A., Xu, D., Gray, S., & Yapanel, U. (2009). Teaching
by listening: the importance of adult-child conversations to
language development. Pediatrics, 124(1), 342-349.
\125\ Pancsofar, N., & Vernon-Feagans, L. (2006). Mother and
father language input to young children: Contributions to later
language development. Journal of Applied Developmental Psychology,
27(6), 571-587.
\126\ Hoff, E. (2006). How social contexts support and shape
language development. Developmental Review, 26(1), 55-88.
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In paragraph (b)(1)(iii), we propose that teaching practices must
integrate child assessment data in individual and group planning. For
example, additional literacy supports should be added to classroom
activities if child progress monitoring finds significant delays in
emerging literacy skills. Ongoing child assessment is essential to
individualizing teaching and making classroom adjustments.\127\
Learning experiences will be more targeted and more effective, if valid
and reliable assessments that are not too burdensome for teachers,
yield usable information, are conducted at appropriate intervals
throughout the program year, and are integrated into teaching
strategies and lesson plans. Many Head Start programs already
effectively use child assessment information to improve classroom
practices, but by explicitly requiring these proposed changes we intend
for all programs implement this important best practice. This provision
aims to support quality improvement.
---------------------------------------------------------------------------
\127\ Landry, S.H., Anthony, J.L., Swank, P.R., & Monseque-
Bailey, P. (2009). Effectiveness of comprehensive professional
development for teachers of at-risk preschoolers. Journal of
Educational Psychology, 101(2), 448.
---------------------------------------------------------------------------
Finally, in paragraph (b)(1)(iv) we propose that teachers provide
learning experiences in language, literacy, social and emotional
development, math, science, social studies, creative arts, and physical
development that are focused on achieving the goals outlined in the
Head Start Early Learning Outcomes Framework (Birth-5). This important
proposal aims to accomplish two goals. First, it is important that we
continue to expose children to a broad range of learning experiences,
including all of the areas noted in the provision. In addition, based
on advice from researchers and practitioners and our Secretary's
Advisory Committee on Head Start Evaluation and Research, we propose to
require these broad learning experiences be delivered with the intent
of promoting the skills outlined in the Head Start Early Learning
Outcomes Framework (Birth-5).128 129 Given the more targeted
approach of the new Framework, this proposed requirement will ensure
children will continue to have learning experiences in areas such as
creative arts and social studies but with greater intentionality for
improving key child outcomes.
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\128\ Meeting on Birth--5 Early Learning Standards/Guidelines--
Implementation Considerations. Convened by the Office of Head Start,
November 13, 2013.
\129\ Ibid.
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In paragraphs (b)(2) and (3), we propose a new research-based
approach for teachers to better support bilingualism among dual
language learners, as well as their overall development. Over the past
decade, much has been learned about how to best support the educational
needs of dual language learners.130 131 132 133 Research
with young dual language learners,134 135 136 clearly
reflects that children's bilingual skill development promotes overall
language development and should be encouraged.
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\130\ Bialystok, E. (2001). Bilingualism in development:
Language, Literacy, & Cognition. Cambridge: Cambridge University
Press.
\131\ Genesee, F., Paradis, J., & Crago, M.B. (2004). Dual
language development and disorders: A handbook on bilingualism and
second language learning. Baltimore: Paul H. Brookes.
\132\ Castro, D.C. & Espinosa, L.M. (2014). Developmental
characteristics of young dual language learners: Implications of
policy and practice in infant and toddler care. Zero To Three,
January, 2014.
\133\ Espinosa, L. (2010). Getting it right for young children
from diverse backgrounds: Applying research to improve practice.
Upper Saddle River, NJ: Pearson.
\134\ McCAbe, A., Tamis-LeMOnda, C.S., Bornstein, M.H., Cates,
C.B., Golinkoff, R., et al. (2013). Multilingual children: Beyond
Myths and towards Best Practices. Society for Research in Child
Development: Social Policy Report, 27 (4).
\135\ Espinosa, L. (2010). Getting it right for young children
from diverse backgrounds: Applying research to improve practice.
Upper Saddle River, NJ: Pearson.
\136\ Farver, J.M., Lonigan, C., & Eppe, S. (2009). Effective
early literacy skill development for young Spanish-speaking English
Language Learners: An experimental study of two methods. Child
Development, 80(3), 703-719.
\137\ Burchinal, M. et al (2012). Instruction in Spanish in pre-
kindergarten classrooms and child outcomes for English Language
Learners. Early Childhood Research Quarterly. 27(2), 188-197.
\138\ Infant and Toddler Early Learning Guidelines/Standards
Expert Workgroup. Convened October 22, 2013 by the Office of Head
Start. Washington, DC.
\139\ Meeting on Early Learning Standards in Head Start:
Considering Children who are Dual Language Learners Content and and
Implementation. Convened January 13, 2014 by the Office of Head
Start. Washington, DC.
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[[Page 35472]]
The approach we propose for effective teaching practices with dual
language learners differs based on the child's age and the teacher's
ability to speak the child's language. For infant and toddler dual
language learners, we propose programs ensure teaching practices and
teacher-child interactions focus on the development of the home
language and also provide experiences in English. For preschool age
dual language learners, we propose that teaching practices a focus on
both English language acquisition and continued development of the home
language. We believe this approach will best support the language and
overall development of dual language learners and promote the goal of
fluent English language acquisition.
A program should use this approach only if it has a teacher who can
capably provide rich language experiences in the child's home language.
Monolingual English-speaking teachers should take other steps to
support the home language, such as ensuring the availability of books
in the home language, displaying words or pictures representative of
the home language, and encouraging the involvement of parents or
volunteers who speak the home language.
In paragraphs (c) and (d), we redesignate and propose slight
revisions to update and streamline provisions from current Sec.
1304.21(a)(1)(iv), (a)(4)(i), (a)(5)(i), (b)(1), and (b)(2)(ii), that
require programs provide specific types of learning experiences.
Specifically, we redesignate and revise requirements that programs
provide well-organized classrooms with developmentally appropriate
schedules, opportunities for indoor and outdoor learning experiences,
adequate opportunities for choice, play, exploration, and
experimentation, and teacher-directed and child-initiated activities in
different group sizes.
In paragraph (d) we retain portions of current Sec. 1304.53(b) to
require programs change materials intentionally and periodically to
support children's interests, continued development, and learning. We
continue to believe all of these provisions are integral to high
quality education services.
In paragraph (e), we propose requirements for programs to use
approaches to rest, meals, and routines that will support children's
learning. We believe these provisions will increase the opportunities
for development and skill growth throughout the program day without
creating unnecessary burdens on programs. In paragraph (e)(1), we newly
propose programs implement an intentional age appropriate approach to
accommodate children's need to nap or rest. This includes providing a
regular time every day for preschool age children in a full-day
program, which is defined as 6 or more hours, to rest or nap. Though
maximizing learning time is important, research shows a clear link
between adequate sleep and learning, health, and well-
being.137 138 139 Naps or rest time are developmentally
appropriate for many young children, and we believe our proposal will
increase the learning children can gain from other portions of the day.
Quiet learning activities are proposed for children unwilling or unable
to nap or rest so programs can implement learning experiences when that
is more developmentally appropriate.
---------------------------------------------------------------------------
\137\ Bates, J.E., Viken, R.J., Alexander, D.B., Beyers, J., &
Stockton, L. (2002). Sleep and adjustment in preschool children:
Sleep diary reports by mothers relate to behavior reports by
teachers. Child Development, 73(1), 62-75.
\138\ Lam, J.C., Mahone, E.M., Mason, T.B., & Scharf, S.M.
(2011). The effects of napping on cognitive function in
preschoolers. Journal of Developmental and Behavioral Pediatrics,
32(2), 90.
\139\ Kurdziel, L., Duclos, K., & Spencer, R.M. (2013). Sleep
spindles in midday naps enhance learning in preschool children.
Proceedings of the National Academy of Sciences, 110(43), 17267-
17272.
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In paragraph (e)(2), we propose to revise and redesignate meal time
provisions in current Sec. 1304.23(c)(2) through (5) to place a
stronger focus on learning and reduce unnecessary burden on programs.
Family style meals, as we require in the current rule, are designed to
support development and socialization. However, we believe it is less
important that we micromanage how food is served and more important
that programs approach snack and meal times as learning opportunities
that contribute to a child's education and socialization. As a result,
we propose programs implement an approach to mealtime that retains key
elements to support learning, such as supporting staff-child
interactions, without specifically using the term ``family style
meals,'' which carries with it unwanted connotations of the
requirement, such as type of serving dish. We propose to remove current
requirements in Sec. 1304.23, such as a variety of food be served,
which is covered under USDA regulations, and that food related
activities involve children because this is unnecessarily prescriptive
for federal education requirements. In addition, in paragraph (e)(3),
we propose to require programs also approach routines and transitions
between activities as opportunities for learning and development. This
reflects best practice and will help optimize the frequency of
opportunities for skill growth.
Section 1302.32 Curriculum
In paragraph (a), we propose significant changes to the curriculum
requirements in current in Sec. Sec. 1304.21(c) and 1304.3(a)(5) to
reflect new requirements in section 642(f)(3) of the Act, the current
role and use of curricula in the early education field, and a deeper
understanding among practitioners about what qualities of curriculum
are needed to improve child outcomes. This section does not apply to
home-based programs because of inherent differences in the delivery of
education services in home-based programs, as compared to center-based
services. The current requirements for curricula define it in Sec.
1304.3 as a written plan that includes goals, materials, experiences,
and activities. In current Sec. 1304.21(c)(1), programs for
preschoolers must implement a curriculum that supports some areas of
development and individual learning. Though researchers agree that much
is yet to be learned about effectively using curricula, there have been
many advances in early childhood curricula since the existing rule on
curriculum was written. We believe significant revisions to curricula
requirements are necessary to ensure programs deliver high quality
early education. In this NPRM, we propose to extend our curriculum
requirements to Early Head Start, which Sec. 1304.21(b)(1) in the
existing rule does not specifically require. Most Early Head Start
programs use a curriculum, but we believe codifying this practice
better reflects best practice and will foster better and more
developmentally appropriate planning, activities, and emphasis on
developmental skill growth among infants and toddlers in Early Head
Start programs.
Provisions in paragraph (a) propose requirements that outline the
necessary qualities of curricula, as well as the critical
characteristics of its use to ensure effective implementation. These
requirements will increase the use and effective implementation of
curricula that will have greater impacts on child development,
learning, and outcomes. Specifically, our new requirements propose that
curricula must be based on scientifically valid research, be aligned
[[Page 35473]]
with the Head Start Early Learning Outcomes Framework (Birth-5) and
state early learning standards as appropriate, as required by the Head
Start Act, and have standardized training procedures and curriculum
materials to support implementation. Programs should assess their
curriculum as necessary to ensure alignment with the Head Start Early
Learning Outcomes Framework and, as appropriate, State Early Learning
Standards. Programs should consider updating their curriculum or using
curricular enhancements to improve alignment and to reflect program
data on child progress. In addition, we require curricula include an
organized developmental scope and sequence and be sufficiently content
rich to promote measurable progress toward the goals outlined in the
Head Start Early Learning Outcomes Framework (Birth-5) because research
suggests these qualities are key to promoting child
outcomes.140 141 142 143 144 145 146 147 148 We also propose
to integrate professional development, supervision, and regular
monitoring into curriculum use to ensure effective curriculum
implementation.149 150 We anticipate that programs may need
to use curricular enhancements in order to meet the requirements of
this paragraph and that using such enhancements would not trigger the
additional requirements for local variation. Many programs currently
supplement their base curriculum with curricular enhancements to enrich
the content of their curriculum. Programs are encouraged to use
curricula with the best available evidence of effectiveness with their
population of children.
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\140\ Clements, D.H., & Sarama, J. (2008). Experimental
Evaluation of the Effects of a Research-Based Preschool Mathematics
Curriculum. American Educational Research Journal, 45(2), 443-494.
\141\ Starkey, P., Klein, A., & Wakeley, A. (2004). Enhancing
young children's mathematical knowledge through a pre-kindergarten
mathematics intervention. Special issue on Early Learning in Math
and Science, 19(1), 99-120.
\142\ Bierman, K.L., Domitrovich, C.E., Nix, R.L., Gest, S.D.,
Welsh, J.A., Greenberg, M.T., . . . Gill, S. (2008). Promoting
Academic and Social-Emotional School Readiness: The Head Start REDI
Program. Child Development, 79(6), 1802-1817.
\143\ Clements, D.H. (2007). Curriculum research: Toward a
framework for ``Research-based Curricula''. Journal for Research in
Mathematics Education, 38(1), 35-70.
\144\ Fantuzzo, J.W., Gadsden, V.L., & McDermott, P.A. (2011).
An integrated curriculum to improve mathematics, language, and
literacy for Head Start children. American Educational Research
Journal, 48, 763-793.
\145\ Lonigan, C.J., Farver, J.M., Phillips, B.M., & Clancy-
Menchetti, J. (2011). Promoting the development of preschool
children's emergent literacy skills: A randomized evaluation of a
literacy-focused curriculum and two professional development models.
Reading and Writing, 24, 305-337.
\146\ Preschool Curriculum Evaluation Research Consortium
(2008). Effects of preschool curriculum programs on school readiness
(NCER 2008-2009). Washington, DC: National Center for Education
Research, Institute of Education Sciences, U.S. Department of
Education. Washington, DC: U.S. Government Printing Office.
\147\ Wasik, B.A., Bond, M.A., & Hindman, A.H. (2006). The
effects of a language and literacy intervention on Head Start
children and teachers. Journal of Educational Psychology, 98, 63-74.
\148\ Riggs, N.R., Greenberg, M.T., Kusch[eacute], C.A., &
Pentz, M.A. (2006). The mediational role of neurocognition in the
behavioral outcomes of a social-emotional prevention program in
elementary school students: Effects of the PATHS curriculum.
Prevention Science, 7, 91-102.
\149\ Lieber, J., Butera, G., Hanson, M., Palmer, S., Horn, E.,
Czaja, C., & Odom, S. (2009). Factors that influence the
implementation of a new preschool curriculum: Implications for
professional development. Early Education and Development, 20(3),
456-481.
\150\ Landry, S.H., Anthony, J.L., Swank, P.R., & Monseque-
Bailey, P. (2009). Effectiveness of comprehensive professional
development for teachers of at-risk preschoolers. Journal of
Educational Psychology, 101(2), 448.
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In paragraph (b), we propose requirements that allow local
flexibility for programs that need to develop or significantly adapt a
curriculum to better meet the needs of one or more specific
populations. These requirements would not be triggered by the use of
enhancements as long as the curriculum with these added enhancements
meets the requirements in (a)(1)(i)-(ii). Rather, these proposed
requirements would allow programs to use enhancements or other
significant adaptations, where standardized training and materials may
still be in development and a research-base is being built. However,
because quality and implementation of curriculum are important for
child outcomes,\151\ we propose additional requirements for these
variations to ensure program quality is not lowered. Specifically, in
paragraph (b), we propose that programs work with experts from a
college, university, or research organization to develop and evaluate
the effectiveness of the curriculum variation. We believe this proposal
provides critical flexibility for local programs and researchers to
partner in order to drive innovation and growth in the curriculum
field, while also ensuring important safeguards for quality and
accountability.
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\151\ Frede, E., & Barnett, W.S. (1992). Developmentally
appropriate public school preschool: A study of implementation of
the High/Scope curriculum and its effects on disadvantaged
children's skills at first grade. Early Childhood Research
Quarterly, 7(4), 483-499.
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Section 1302.33 Child Screenings and Assessment
This section applies to all program options and proposes
significant revisions to the existing requirements on screening in
Sec. 1304.20(b) and assessment in Sec. 1304.21(c)(2) to integrate
advances from research, reflect best practice, and implement new
requirements from section 641A(b) of the Act. We include proposals for
appropriate use of developmental screening and ongoing child
assessment, characteristics such tools must have to ensure their
quality, and prohibitions in paragraph (d) on the use of assessment
data as required by section 641A(b)(4)(B) of the Act. These
requirements will improve the collection and use of important screening
information that can identify developmental concerns and ongoing
assessment information that can improve teacher practices throughout
the program year. The integration of these requirements into the
education services section of this proposed rule will improve the
quality of such services and strengthen child outcomes.
Paragraph (a) proposes requirements for developmental screening and
how programs must use the results to appropriately meet the needs of
children. In paragraph (a)(1) and (2), we propose to retain the current
45-day requirement for programs to conduct or obtain screenings to
identify concerns regarding a child's developmental, behavioral, motor,
language, social, cognitive, and emotional, skills. We revise and
redesignate this provision from the current child health and
development services in Sec. 1304.20(b), to reflect its appropriate
integration into education services. However, because one of the
purposes of the developmental screening is to determine if a child
requires referral for a formal evaluation for IDEA eligibility, we
include a new proposal to reduce unnecessary screening of children and
burdens on programs in paragraph (a)(3) by removing this requirement
for children who already have a current IFSP or IEP. For all other
children, paragraphs (a)(2) and (a)(4) revise the current rule to
clarify how screening results must be used and to ensure children who
require formal evaluations for IDEA eligibility are promptly referred
for such services. This proposed change implements section 640(d)(3) of
the Act and will reduce current confusion among programs about when and
how screenings, assessments, and formal evaluations should be used and
will lead to improved services for children when properly implemented.
In paragraph (a)(5), we propose a new requirement to help ensure
all children receive the services they need. In some cases, children
experiencing delays in development do not meet a State's
[[Page 35474]]
eligibility criteria for an infant, toddler, or child with a disability
but still exhibit delays that can be mitigated through specific
services that target the child's needs, such as speech therapy. We
believe it is critically important for programs to work to meet the
additional individual needs of these children who may be at risk for
experiencing a more substantial delay in development if additional
supports are not provided. Therefore, we propose that if, after a
formal evaluation, a child is determined not to be eligible for IDEA
services, but the evaluation demonstrates delays likely to impact
children's school readiness, the program must work with parents to
access needed services and supports. We propose to allow program funds
to be used if other resources are unavailable. This proposal should not
be interpreted to create a separate IFSP- or IEP-like process within
Head Start.
In addition, we redesignate and revise the existing rule for
developmental assessments in current Sec. 1304.21(c)(2) to propose
significant improvements for the use of child assessment data in
paragraphs (b)(1) and (2). The current rule only requires staff use
ongoing assessment of each child as one strategy to promote and support
children's learning and progress. We propose to revise this requirement
to ensure programs use appropriate and high-quality assessments and use
the data in an effective manner. Some of our proposal reflects
requirements in section 641A(b) of the Act to increase the quality of
assessments.
Effective integration of ongoing child assessment data can lead to
improved individualization of services within the program year. Such
integration allows teachers to make necessary instructional adjustments
to meet the needs of individual children and the classroom as a
whole.\152\ Therefore, we propose to require programs conduct
structured and standardized assessments for each child that provide
ongoing feedback on their development level and progress in outcomes
aligned with the goals described in the Head Start Early Learning
Outcomes Framework (Birth-5). We also propose to require such
assessments be designed to result in useable information and be
conducted with sufficient frequency to allow for individualization
within the program year, characteristics which are critical to
improving practices.\153\ It is important to note that our proposal on
the frequency of assessments is not intended to lead to unnecessarily
frequent formal evaluations of children. Over-testing young children is
burdensome to the teacher, unnecessary to support individualization,
and does not reflect good practice.
---------------------------------------------------------------------------
\152\ Landry, S. H., Anthony, J. L., Swank, P. R., & Monseque-
Bailey, P. (2009). Effectiveness of comprehensive professional
development for teachers of at-risk preschoolers. Journal of
Educational Psychology, 101(2), 448.
\153\ Ibid.
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In paragraph (b)(3), we propose a new requirement that we also
intend to increase the effective use of assessment data. Though the
initial screenings within 45 days of child enrollment is critical for
catching initial concerns about a child's developmental status,
information from formal child assessments conducted throughout the year
can also reveal concerns sufficient to refer a child for a formal
evaluation by the entity that implements IDEA. Therefore, we propose to
require programs use assessment data to appropriately identify and
address concerns that arise throughout the year, consistent with
current Sec. 1304.20(d).
In paragraph (c), we propose the necessary characteristics of
screenings and assessments to ensure programs use valid and reliable
screening and assessments in an appropriate manner. This revision
includes requirements from section 641A(b) of the Act. In paragraph
(c)(2), we also propose new requirements about how programs must
approach and implement screening and assessment practices for children
who are dual language learners, in order to address the unique aspects
of dual language development in young children, and to ensure that
screening and assessment data are appropriately gathered and used for
these children. Specifically, this provision would require programs to
assess dual language learners in the language or languages that best
capture their skill level and to assess their language development in
both their home language and English, utilizing an interpreter as
needed. This proposal reflects best practice already used by many Head
Start programs and research that demonstrates that children who are
dual language learners have different learning experiences across their
two languages. For example, a child may learn how to count and to
perform simple number operations in Spanish but not in English. At the
same time, the child may learn to identify animals in English rather
than in Spanish. Unlike monolingual children, young dual language
learners may have knowledge, skills and abilities in one of their
languages but not the other.\154\ Therefore, for children who are dual
language learners, screening and assessment may need to be conducted in
both languages in order to gain a complete understanding of these
children's knowledge, skills and abilities.\155\
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\154\ Paradis, J., Genesee, F., & Crago, M. B. (2011). Dual
language development and disorders: A handbook on bilingualism and
second language learning. (Second edition). Baltimore: Paul H.
Brookes.
\155\ Barrueco, S., Lopez, M., Ong, C., & Lozano, P. (2012).
Assessing Spanish-English bilingual preschoolers: A guide to best
approaches and measures. Baltimore, MD: Brookes.
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In paragraph (d), we propose to prohibit the use of assessments for
ranking, comparing, or evaluating children, providing rewards or
sanctions or excluding children from programs consistent with section
641A(b)(3)(B) and section 641A(b)(4)(B) of the Act.
Section 1302.34 Parent Involvement
Parents are children's primary and most influential teachers, and
engaging parents in their child's educational services in Head Start is
one of several fundamental philosophies long held by Head Start. Parent
involvement and engagement is addressed throughout the many subparts of
the NPRM. This section specifically includes provisions to ensure that
center-based and family child care programs structure their education
services to encourage parents to engage in their child's education.
This section is consistent with the current regulation and does not
include any new requirements. Research shows parent involvement this is
critical to children's success in school.156 157 158 We
redesignate and revise the requirements so they are easier to read,
find, and implement by reorganizing them from the many sections they
exist (current Sec. Sec. 1304.21(a)(2)(i)-(ii); 1304.40(d)(2);
1304.40(e)(1); 1304(e)(5); 1306.22(e); and 1306.32(b)(9)) into this
section.
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\156\ Campbell, F. A., Ramey, C. T., Pungello, E., Sparling, J.,
& Miller-Johnson, S. (2002). Early childhood education: Young adult
outcomes from the Abecedarian Project. Applied Developmental
Science, 6(1), 42-57.
\157\ Fantuzzo, J., McWayne, C., Perry, M. A., & Childs, S.
(2004). Multiple dimensions of family involvement and their
relations to behavioral and learning competencies for urban, low-
income children. School Psychology Review, 33(4), 467-480.
\158\ McWayne, C., Fantuzzo, J., Cohen, H. L., & Sekino, Y.
(2004). A multivariate examination of parent involvement and the
social and academic competencies of urban kindergarten children.
Psychology in the Schools, 41(3), 363-377.
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Section 1302.35 Education in Home-Based Programs
Our proposal recognizes the approach to education in home-based
programs is equally critical to that in center-based and family child
care programs, but necessarily quite different in its
[[Page 35475]]
delivery. The Act requires structured child-focused home visiting that
promotes parents ability to support the child's cognitive, social,
emotional, and physical development in section 645A(i)(2)(A).
Therefore, we include a new section within this subpart to focus solely
on the educational content and structure of home visits and group
socializations for the home-based program option. This section
redesignates and revises the requirements of Sec. 1306.33(b) and
(c)(1) and (2) in the existing rule. However, this section is
significantly more comprehensive and better reflects the need for home
visits and other home-based services to focus on improving children's
outcomes by enabling parents to facilitate their progress in domains
critical to school readiness. This section mainly proposes to codify
the guidance and technical assistance we have provided to home-based
programs for many years. Paragraph (b) clearly describes the
requirements for the structure of home visits and retains the
requirements in current Sec. 1306.33(b) while aligning these
requirements with the assessment and individualization requirements of
other program models. Specifically, we propose revisions to the
existing rule to require home visitors use ongoing assessment data to
individualize home-visit learning experiences. We propose to remove
current Sec. 1306.33(b)(2) because we clarify in proposed Sec.
1302.20(b) that regardless of program option, all programs must provide
a full range services. We remove the requirement that all program
elements be provided monthly because it is overly prescriptive and does
not allow programs flexibility to meet individual family needs.
Paragraph (c) proposes new requirements for home-based curricula,
including requirements that curricula be aligned to and be sufficiently
content-rich within the Head Start Early Learning Outcomes Framework
(Birth-5), and include an organized developmental scope and sequence.
We also propose to require programs provide appropriate staff
supervision and high quality professional development to ensure the
curriculum is implemented effectively, in accordance with 645A(i). As
with the center-based and family child care options, we propose to
allow programs to implement local variations of curricula to better
meet the needs of their families provided they continue to meet the
requirements described in paragraph (c)(1)(i)-(ii) and (c)(2) to ensure
quality and accountability.
Paragraph (d) proposes to clarify and expand upon the purpose of
home visit experiences, described in current Sec. 1306.33(b)(1) and
provides requirements about the content of visits to scaffold
individual child and program progress towards school readiness goals
through a home-based model. These requirements are also written to
reflect proposed revisions to the education requirements for the other
program models. For example, in proposed paragraph (4), just as we do
for center-based programs, we propose that home visits focus on the
development of the home language and provide additional experiences in
English for infant and toddler dual language learners; and we propose
requirements that home visits focus on both English language
acquisition and continued development of the home language for
preschool age dual language learners. In addition, we propose to
redesignate and revise current Sec. 1306.33(c)(1) through (2) in
paragraph (e) to better describe the requirements for group
socialization activities for all children, and for preschoolers in
particular. Finally, in paragraph (f), we propose to clarify the
requirement that home-based programs engage in screening and assessment
as proposed for center-based and family child care options (Sec.
1302.33) to ensure these important services are also being delivered to
children receiving the home-based option.
Health Program Services; Subpart D (Currently Part 1304, Subpart B,
Portions of Part 1304, Subpart D; Part 1306 Subpart C, and Sec.
1306.25)
This NPRM updates the existing Early Childhood Development and
Health Services subpart (part 1304, subpart B) by including provisions
related only to health, nutrition, and mental health and by updating,
reorganizing, and streamlining requirements in order to make the rules
easier to find, follow, and implement. This includes redesignating the
sections related to education, and developmental screening and
assessment into a new proposed subpart C of part 1302, Education and
Child Development Program Services; redesignating language regarding
individualization of services into proposed subpart F of part 1302,
Additional Services for Children with Disabilities as well as subpart
C; and reorganizing the entire Health Program Services subpart for the
sake of transparency, clarity, and improved implementation. The Early
Childhood Development and Health Services subpart in the existing rule
is organized in a confusing manner that does not clearly delineate the
services, or outline the chronological steps programs are required to
take to deliver those services. To remedy this confusion, we propose to
restructure the existing Early Childhood Development and Health
Services subpart to clearly delineate the steps that will ensure
programs deliver services that promote the overall health of all
children.
We propose to retain and streamline a majority of the policy
requirements under the existing subpart. Specifically, we retain the
core health services, including screening, ongoing care, and follow-up
care as required by the Act (42 U.S.C. 9831). We propose to retain
these requirements both because the Act clearly links health, mental
health, and nutritional services to the purpose of Head Start, and
because research has demonstrated a strong link between child health,
school readiness, and long-term outcomes.159 160 161
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\159\ Currie, J. M. (2005). Health disparities and gaps in
school readiness. The Future of Children, 15(1), 117-138.
\160\ Janus, M., & Duku, E. (2007). The school entry gap:
Socioeconomic, family, and health factors associated with children's
school readiness to learn. Early Education and Development, 18(3),
375-403.
\161\ Bruner, C. (2009). Connecting child health and school
readiness (Issue Brief No. 9). Denver, CO: The Colorado Trust.
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We propose the most substantial changes in Sec. Sec. 1302.42,
1302.45, 1302.46, and 1302.47. We also propose several important
additions. Specifically, we propose to highlight oral health as well as
the content of parent education in health more explicitly than in the
existing rule by creating new sections that outline requirements in
each of these areas. Finally, given the critical importance of mental
health, we propose to strengthen the provisions of the existing rule to
better reflect best practice in the proposed rule to ensure mental
health services are used to improve classroom management and to
effectively address challenging behaviors when they arise. In their
totality, these proposed changes reflect the overarching goals of the
NPRM to improve clarity so that both existing grantees and prospective
grantees can easily determine expectations, reduce bureaucratic burden
on programs, and improve service delivery.
Section 1302.40 In General
We propose to open the Health Program Services subpart D with a new
`in general' statement that explicitly states the goal of the subpart,
which is to ensure that programs provide high quality health, mental
health, and nutrition services, as well as the purpose of such
services, which is to support each child's growth and school readiness.
[[Page 35476]]
Section 1302.41 Collaboration and Communication With Parents
We believe communication and collaboration with Head Start parents
is fundamental to the delivery of all Head Start health services. The
placement of this section at the forefront of this subpart and the
consolidation of its core elements better communicates its critical
importance to programs and the public. In this NPRM, the requirements
for programs to communicate and collaborate with parents with regard to
their children's health is written to reflect the applicability and
importance of parental communication, collaboration, permission, and
input for the services described throughout the entire Health subpart.
In this section, we propose to redesignate Sec. Sec. 1304.20(e) and
1304.23(b)(4), and concepts from Sec. 1304.24(a)(1). Some of these
concepts are also represented, with regard to parent education services
in Sec. 1302.46 of the proposed rule, which are described below.
Specifically, paragraph (b) proposes requirements for programs to
obtain advance parent or guardian authorization for all health and
developmental procedures, such as vision and auditory screenings and
the administration of any medications, to assist parents in
communicating with their children's physician effects of medication on
a child's behavior, and to share policies for health emergencies that
require rapid response or immediate medical attention.
Section 1302.42 Child Health Status and Care
In the existing rule, section Sec. 1304.20, is organized in a
confusing manner because it does not make the required services, or the
chronological order of the steps within those services clear. The
existing rule conflates requirements that are related to extended
follow-up and care with those of initial screening and ongoing care.
This proposed section clearly delineates the several explicit steps. In
paragraph (a), within 30 calendar days, programs must determine whether
each child has an appropriate source of ongoing care and health
insurance coverage and, if not, assist the parents in accessing each.
In paragraph (b), programs must determine whether children are up to
date on schedules of immunizations and well-child care, within 90
calendar days, and, if not, assist parents in getting children up to
date or if necessary, directly facilitate the provision of health
services for children with parental consent. This direct facilitation
could be accomplished by, for example, providing transportation to
parents, bringing a health care provider to the program or organizing a
field trip to the local health center. We believe the additional
proposed requirement for program to directly facilitate health
services, if necessary, is central to ensuring all children are up-to-
date, especially with critically important vaccinations, with parental
consent. Under paragraph (b)(2) programs must ensure children are
screened for health problems, including visual and auditory concerns,
and assist parents in accessing care for any identified issues.
Finally, in paragraph (c)(2), programs must monitor the implementation
of follow-up care and monitor children for new and/or recurring health
problems. Each of these four steps is also required in the existing
rule, but their individual roles, as well as their order, is difficult
to decipher in the existing structure. The explicit inclusion of health
insurance also codifies long standing practice since linking families
with health insurance is a critical step in helping link them with a
provider, but, given its critical importance and the increased
availability of coverage, we think being explicit on this requirement
is important. We maintain each of these steps because research has
shown that children who participate in a consistent schedule of well
child care and immunizations are more likely to stay healthy and engage
in program activities, leading to improved school readiness.\162\
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\162\ Bruner, C. (2009). Connecting child health and school
readiness (Issue Brief No. 9). Denver, CO: The Colorado Trust.
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In addition to this general reorganization, we propose several
language and policy changes to the existing rule in this section.
Specifically, we propose to reduce the timeframe for determining
whether a child has an appropriate source of health care to 30 days. As
in the existing rule, we still propose to give programs 90 days to
assist parents in accessing such a source of care and to ensure
children are up to date with Early Periodic Screening, Diagnosis, and
Treatment (EPSDT). We do, however, propose to add language to clarify
that an appropriate source of ongoing care must maintain health records
and cannot operate primarily as an emergency room or urgent care
facility, because research has shown that families who have an ongoing
source of continuous care that maintains their health records are more
likely to attend well child visits, know what to do when their child is
sick, and seek appropriate care for illnesses or health concerns.\163\
In paragraphs (b)(3) and (b)(4), we also propose to reduce to 30 days
the time frame programs have to determine whether a child is up to date
with EPSDT for children in programs that operate less than 90 days.
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\163\ Herman, A., & Jackson P. (2011). Empowering low-income
parents with skills to reduce excess pediatric emergency room and
clinic visits through a tailored low literacy training intervention.
Journal of Health Communications, 15(8), 895-910.
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Per the changes described in the overview of this subpart, we
propose to redesignate the requirements in the existing rule that
describe developmental and behavioral screenings and assessments into a
new subpart C of part 1302 in the proposed rule, because those
screenings and assessments are most directly related to educational
services. We do propose to retain sensory screenings and other health
related diagnostics tests, including those related to nutritional
status, in this section because these screenings and tests must be
included in high quality health service delivery. We also propose to
redesignate the requirements in the existing rule that such screenings
be sensitive to each child's background (Sec. 1304.20(b)(1)) to Sec.
1302.23(c)) and revised them to reflect that this is a core
characteristic of an appropriate screening or assessment in subpart C
in this part. In paragraphs (d) and (e), we propose to redesignate and
revise requirements related to ongoing care and extended follow up and
treatment from Sec. Sec. 1304.20 and 1304.22 in the current rule for
clarity and transparency.
Finally, we propose to redesignate Sec. 1304.20(f) and incorporate
its key concepts--the importance of individualizing developmental
services-- to the proposed Additional Services for Children Eligible
for IDEA subpart as well as the Education and Child Development Program
Services subpart. Given this redesignation, it was determined that
health services are individualized by design, and thus the current
Sec. 1304.20(f) was no longer relevant in this section or subpart.
Section 1302.43 Tooth Brushing
In this section, we describe the oral hygiene requirements during
program hours. The requirements delineated within this section are not
new. Rather, we redesignate and revise the current provisions in Sec.
1304.23(b)(3), to more accurately reflect the expectations for hygiene
practices upon which programs are monitored, namely ensuring children
brush their teeth during program hours. Research has documented a link
between oral health
[[Page 35477]]
and specifically dental pain, and children's attendance in preschool
programs, as well as their ability to effectively engage in classroom
activities.164 165 166 167 While the existing rule specifies
that oral hygiene should be promoted in conjunction with meals, we
propose to remove this concept to give programs greater flexibility to
determine how best to meet this requirement. Throughout the NPRM, we
also propose to revise `dental' to `oral health' to reflect current
medical terminology.
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\164\ Abanto, J., Carvalho, T. S., Mendes, F. M., Wanderley, M.
T., B[ouml]necker, M. and Raggio, D. P. (2011), Impact of oral
diseases and disorders on oral health-related quality of life of
preschool children. Community Dentistry and Oral Epidemiology, 39,
105-114. doi: 10.1111/j.1600-0528.2010.00580.x
\165\ U.S. General Accounting Office. (2000). Oral Health:
Dental Disease Is a Chronic Problem Among Low Income and Vulnerable
Populations. Washington, DC: General Accounting Office.
\166\ Schechter N. 2000. The impact of acute and chronic dental
pain on child development. Journal of the Southeastern Society of
Pediatric Dentistry 6(2), 16.
\167\ Altarum Institute. 2007. Issue Brief: Oral Health Is
Critical to the School Readiness of Children in Washington, DC.
Washington, DC: Altarum Institute.
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Section 1302.44 Child Nutrition
Under section 641A(a)(1) of the Act, the Secretary must establish
performance standards with respect to nutritional services. To
implement this requirement, as with other sections of this subpart, we
retain the majority of the requirements of the existing rule in this
section through a reorganized structure. Specifically, in the proposed
rule, we restructure the child nutrition section to solely reflect
nutritional services programs provide directly to children, and as a
result we propose to limit it to the provisions contained in Sec.
1304.23(b), as well as Sec. 1304.23(c)(5) and (6) in the existing
rule. In this vein, we propose to redesignate and restructure current
Sec. 1304.23(a) and Sec. 1304.23(b)(4) such that all nutritional
assessments are incorporated into child health status, as nutritional
status is an integral part of child health status. In addition, we
propose to redesignate Sec. 1304.23(c)(1) through (4) and Sec.
1304.23(c)(7) in the proposed rule to the more appropriate placement in
section Sec. 1302.31(c) in the proposed Education subpart because the
concepts captured by the existing requirements are meant to convey the
importance of utilizing meal time as an opportunity for children to
continue to learn. We also redesignate some provisions in the existing
rule to proposed sections on safety practices in Sec. 1302.47 (e.g.
food sanitation) and standards of conduct in Sec. 1302.90(c) (e.g.
food may not be used as punishment or reward) as those sections are
more appropriate, given the reorganization of the proposed rule.
In sum, in Sec. 1302.44(a)(2) we propose to maintain the
substantive policies contained within the Nutritional Services section
at existing Sec. 1304.23(b) and Sec. 1304.23(c)(5) and (6) of the
existing rule in this section of the proposed rule with minimal
restructuring to improve clarity. We maintain these policies because
research demonstrates that one in every five children in America is
living in a household without access to adequate food \168\ (that rate
is likely much higher among the low-income families Head Start serves)
and that children who are well nourished are better able to grow and
learn.\169\ Additionally, we also redesignate Sec. 1304.40(c)(3) in
the existing rule, which requires programs to make accommodations for
mothers who wish to breastfeed in a center, to this section, as it is
directly related to the nutritional needs of infants and research has
clearly established the benefits of breastfeeding.\170\ In paragraph
(b), we propose to redesignate Sec. 1304.23(b)(i) from the current
rule regarding payment sources for nutritional services.
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\168\ Share Our Strength. (2013). Childhood Hunger in America.
Washington, DC: Author.
\169\ California Childcare Health Program. (2006). School
readiness and health. San Francisco, CA: University of California,
San Francisco School of Nursing, Department of Family Health Care
Nursing.
\170\ National Women's Health Information Center. (n.d.) The
Comprehensive Benefits of Breastfeeding. Washington, DC: Author.
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Section 1302.45 Child Mental Health
In this section, we propose to redesignate and revise the existing
section Sec. 1304.24, which focuses on child mental health services,
to be more explicit about program requirements while focusing on
supporting positive teacher-child interactions and child emotional
well-being. Consistent with the approach throughout this proposed
subpart, we propose to redesignate and revise all parent education
requirements for mental health into the proposed Sec. 1302.46 Family
Support Services for Health, Nutrition, and Mental Health.
To improve how programs use mental health consultants, we propose
to specify that mental health consultants must be engaged in supporting
teachers for effective classroom management, formulating and
implementing strategies for supporting children with challenging
behaviors, and facilitating community partnerships in mental health. We
also propose to remove the requirement that mental health consultants
be utilized on a schedule of `sufficient frequency' (Sec.
1304.24(a)(2) in the existing rule). In fact, we do not propose to
include any prescribed schedule of mental health consultation for every
program because we believe this causes undue burden to programs without
adequate evidence of the most effective timing of such services.
Rather, in paragraph (b)(2) we propose to maintain some flexibility for
programs to determine the best way to guarantee access to mental health
consultants for the purposes we propose to explicitly delineate.
Early childhood mental health, or healthy emotional well-being, has
been clearly linked to children's school readiness outcomes, and
research estimates that between 9 percent and 14 percent of young
children experience mental health, or social and emotional, issues that
negatively impact their development.\171\ As a result, in paragraph
(b)(1), we propose to require mental health consultation to support
teachers because warm and responsive teacher practices and effective
classroom management are critical to helping young children maintain or
achieve healthy emotional well-being and to creating a classroom
environment conducive to learning.172 173 Research has
demonstrated the benefits of mental health consultation services for
child behavior and staff job satisfaction and efficacy in early
childhood programs.174 175 176 This research suggests that
in order to achieve its mission, the Office of Head Start must ensure
that programs are addressing the mental health needs of enrolled
children and that programs promote
[[Page 35478]]
healthy emotional well-being through all program services, especially
through teachers.\177\ The revisions we propose to the existing rule
convey the critical importance of child mental health and emotional
well-being and make the requirements for programs significantly
clearer, without increasing bureaucratic burden.
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\171\ Brauner, C. B., & Stephen, B. C. (2006). Estimating the
prevalence of early childhood serious emotional/behavioral disorder.
Public Health Reports, 121, 303-310.
\172\ Hair, E., Halle, T., Terry-Humen, E., Lavelle, B., &
Calkins, J., (2006). Children's School Readiness in the ECLS-K:
Predictions to Academic, Health, and Social Outcomes in First Grade,
Early Childhood Research Quarterly, 21(4), 431-454.
\173\ Raver, C.C., & Knitzer, J. (2002). Ready to Enter: What
Research Tells Policymakers about Strategies to Promote Social and
Emotional School Readiness among Three- and Four-Year-Old Children.
National Center for Children in Poverty, New York, NY.
\174\ Gilliam, W.S., & Golan, S. (2006). Preschool and child
care expulsion and suspension: Rates and predictors in one state.
Infants and Young Children, 19(3), 228-245.
\175\ Perry, D. F., Dunne, M. C., McFadden, L., & Campbell, D.
(2008). Reducing the risk for preschool expulsion: Mental health
consultation for young children with challenging behaviors. Journal
of Child and Family Studies, 17(1), 44-54.
\176\ Brennan, E. M., Bradley, J. R., Allen, M. D., & Perry, D.
F. (2008). The evidence base for mental health consultation in early
childhood settings: Research synthesis addressing staff and program
outcomes. Early Education and Development, 19(6), 982-1022.
\177\ Raver, C.C., & Knitzer, J., (2002). Ready to Enter: What
Research Tells Policymakers about Strategies to Promote Social and
Emotional School Readiness among Three- and Four-Year-Old Children.
National Center for Children in Poverty, New York, NY.
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Section 1302.46 Family Support Services for Health, Nutrition, and
Mental Health
In this section, we propose to redesignate and consolidate all
provisions from the existing rule that address health education and
support services that must be delivered to families. The proposed
redesignation of each of these provisions into paragraph (b) would
provide greater clarity and transparency regarding these requirements.
In paragraph (a), we propose to create a standalone section to
enumerate program requirements for education and assistance to parents
related to health needs in the proposed rule. By doing this, we
highlight the critical importance of parental health literacy, defined
as a parent's knowledge and understanding about basic health topics as
well as their ability to navigate health systems,\178\ which has been
linked to health and long-term outcomes of young children.\179\ In
2009, a systematic review of the literature revealed a link between low
parental health literacy and child health outcomes and found evidence
that interventions providing written materials and counseling can
increase parental health knowledge and improve health behaviors.\180\
This research, paired with research that documents a strong link
between child health and later educational
success,181 182 183 suggests that improving parental health
literacy has the potential to improve children's school readiness and
long-term outcomes, and that Head Start can play a critical role in
improving child health and school readiness by directly addressing
parental health literacy.\184\ In paragraph (b), we propose to
redesignate and revise elements at Sec. 1304.40(f) in the current
rule.
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\178\ U.S. Department of Health and Human Services, Office of
Disease Prevention and Health Promotion. (2010) National Action Plan
to Improve Health Literacy. Washington, DC.
\179\ Herman, A., & Jackson P. (2011). Empowering low-income
parents with skills to reduce excess pediatric emergency room and
clinic visits through a tailored low literacy training intervention.
Journal of Health Communications, 15(8), 895-910.
\180\ Dewalt, D.A., & Hink, A., (2009). Health Literacy and
Child Health Outcomes: A Systematic Review of the Literature.
Pediatrics, 124(3), 265-274.
\181\ Currie, J., (2009). Healthy, wealthy, and wise:
Socioeconomic status, poor health in childhood, and human capital
development. Journal of Economic Literature, 47(1), 87-122.
\182\ Hair, E., Halle, T., Terry-Humen, E., Lavelle, B., &
Calkins, J., (2006). Children's School Readiness in the ECLS-K:
Predictions to Academic, Health, and Social Outcomes in First Grade,
Early Childhood Research Quarterly, 21(4), 431-454.
\183\ Bruner, C. (2009). Connecting child health and school
readiness (Issue Brief No. 9). Denver, CO: The Colorado Trust.
\184\ U.S. Department of Health and Human Services, Office of
Disease Prevention and Health Promotion. (2010). National Action
Plan to Improve Health Literacy. Washington, DC: Author.
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The proposed redesignation of each of these provisions into this
section would provide greater clarity and transparency regarding these
requirements. We propose only two new requirements. The first is a
requirement that programs provide opportunities for parents to learn
about healthy pregnancy and postpartum care. This new requirement would
reflect the importance of prenatal and postpartum care for healthy
child development and a renewed focus on ensuring that programs reach
as many pregnant women as possible, either directly by providing Early
Head Start services to them, or through education when another child is
enrolled. The second is a requirement that programs inform parents of
opportunities to access health insurance. We propose this new
requirement because parental health insurance is a significant
predictor of child health insurance and that children will get timely
health care.
Section 1302.47 Safety Practices
In this section, we propose to redesignate all provisions related
to safety practices from Sec. Sec. 1304.22, 1304.23(e), 1304.52,
1304.53, and 1306.25(b) and (c) of the existing rule. Maintaining basic
health and safety practices is essential to ensuring high quality care
so we propose strong safety practices and procedures that will ensure
the health and safety of all children. In some instances, we move away
from prescribing extensive detail when such level of regulation is
unnecessary to maintain a high standard of safety and too inflexible to
allow for growth in standard safety practices. This flexibility allows
programs to adjust their policies and procedures according to the most
up to date information about how to keep children safe.
In paragraph (a), we propose that programs establish, train staff
on, implement, and enforce health and safety practices that ensure
children are safe at all times. This places a greater emphasis on
ongoing administrative oversight and staff training than current
regulations and should lead to better systems and practice when
implemented. To ensure programs are equipped with adequate instruction
on how to keep all children safe at all times, we propose programs
consult a new ACF resource in this section, Caring for Our Children
Basics, available at https://www.federalregister.gov/articles/2014/12/18/2014-29649/caring-for-our-children-basics-comment-request. Caring
for Our Children Basics is a set of recommendations, which is intended
to create a common framework to align basic health and safety efforts
across all early childhood settings. Caring for Our Children Basics is
based on Caring for Our Children: National Health and Safety
Performance Standards; Guidelines for Early Care and Education
Programs, Third Edition,\185\ a document produced with the expertise of
researchers, physicians, and practitioners working with the American
Academy of Pediatrics, American Public Health Association, National
Resource Center for Health and Safety in Child Care and Early
Education, and the Maternal and Child Health Bureau in the Department
of Health and Human Services.
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\185\ http://cfoc.nrckids.org.
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In paragraph (b), we propose health and safety requirements for
facilities, equipment and materials, background checks, staff safety
training, safety practices staff must follow, hygiene practices,
administrative safety procedures, and disaster preparedness plans. The
proposed requirements are informed by research and best
practice.186 187 188 189 190 191 192 193 We
[[Page 35479]]
propose to require that programs develop and implement a system of
management, training, ongoing oversight, correction and continuous
improvement adequate to ensure child safety. Additionally, we propose
to require that all facilities for center-based programs meet licensing
requirements and all family child care programs be licensed to maintain
a minimum level of safety. This section references these proposed
requirements, which are found in 1302.21(d)(1) and Sec. 1302.23(d) of
the proposed rule. Finally, in paragraph (c), we propose to require all
programs report any safety incidents in accordance with proposed Sec.
1302.102(d)(1)(iii). We specifically request comment on this section in
regard to whether we include the appropriate areas of health and safety
and whether we include the appropriate amount of specificity for these
proposed requirements.
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\186\ Carr, K. (2012). American Academy of Pediatrics issues
policy statement on pesticide exposure in children. University of
Washington, Seattle, WA.
\187\ U.S. Department of Health and Human Services. The Health
Consequences of Involuntary Exposure to Tobacco Smoke: A Report of
the Surgeon General. (2006). Rockville, MD: Author.
\188\ Kieran J., Phelan, K. J., Khoury, J., Kalkwarf, H., &
Lanphear, B. (2005). Residential injuries in U.S. children and
adolescents. Public Health Reports, 120, 65-70.
\189\ Ibid.
\190\ Simasek, M., & Blandino, D. (2007). Treatment of the
common cold. American Family Physician, 75(4), 515-520.
\191\ Nandrup, B. I. (2011). Comparative studies of hand
disinfection and handwashing procedures as tested by pupils in
intervention programs. American Journal of Infection Control, 39(6),
450-455.
\192\ Mulay, D. A. Keeping All Students Safe: The Need for
Federal Standards to Protect Children from Abusive Restraint and
Seclusion in Schools.
\193\ Dunlap, G., Ostryn, C., & Fox, L. (2011). Preventing the
Use of Restraint and Seclusion with Young Children: The Role of
Effective, Positive Practices. Issue Brief. Technical Assistance
Center on Social Emotional Intervention for Young Children.
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Additional safety practices related to background checks; standards
of conduct including Head Start specific supervision requirements and
prohibitions on seclusion and restraint; vaccination; and
transportation are retained and strengthened in the appropriate
subparts throughout the proposed standards to ensure child safety.
Family and Community Partnership Program Services; Subpart E (Currently
Sec. Sec. 1304.40 and Sec. 1304.41)
This subpart proposes requirements programs must implement to
partner with families and communities. Family engagement is central to
the mission of Head Start and Early Head Start. This is reflected in
how we integrate family- and parent- related requirements throughout
the existing and proposed rule. To improve clarity and transparency, we
propose to broadly restructure, revise and redesignate most of the
provisions from Sec. 1304.40 and Sec. 1304.41 in the existing rule,
under a new subpart E, entitled Family and Community Partnership
Program Services. In this new subpart, we propose to revise the
existing rule to include only the requirements for general approaches
to family engagement, parent services to promote child development,
family partnership services, and community partnerships. We also
propose changes to improve the quality of these services.
To make it easier both for programs to implement and for the public
to understand the broad range of Head Start family services and
involvement, we propose to redesignate family services requirements
from Sec. Sec. 1304.40 and 1304.41 of the existing rule to the
subparts that are the most relevant. For example, we propose to
redesignate and revise Sec. 1304.40(c) of the existing rule, which
addresses the services that must be provided to enrolled pregnant
women, into its own subpart (subpart H) in the proposed rule.
Similarly, we propose to redesignate and revise Sec. Sec. 1304.40(h)
and 1304.41(c) of the current rule, both of which address transition
services, to their own subpart focused solely on transitions services
(subpart G). This proposed reorganization improves clarity about what
we expect programs to deliver and properly elevates the importance of
transition services to providing high quality early education. In
addition, we propose to redesignate and revise Sec. 1304.40(f), which
addresses parent involvement in health nutrition, and mental health
education, to Sec. 1302.46 Family Support Services for Health,
Nutrition, and Mental Health in the proposed subpart D (Health
Services).
In addition to the reorganization described above, we propose
policy revisions to improve the quality of family services and update
community partnerships. We propose to better integrate family
engagement practices into all aspects of programs and increase use of
research-based strategies. In addition, we propose to clarify the
expected outcomes of effective family engagement: Enhanced parenting
skills, increased parental engagement in child learning and
development, and improved family well-being in order to support child
learning. Moreover, we propose to eliminate requirements for written
plans, increase our focus on outcomes, and increase local flexibility
to better match resources with family needs. We also propose revisions
to community partnerships as required by the Act. These revisions will
reduce bureaucratic burden and clarify that community partnership
priorities should be driven by family needs and goals.
Section 1302.50 In General
This section proposes the fundamental requirements that apply
broadly to all parent and family engagement activities as well as
general parent and family practices in Head Start and Early Head Start
programs. These fundamental requirements are consistent with long-
standing Head Start philosophy about the importance of parents in the
Head Start mission. Some provisions are retained from the current rule
and others are updated to reflect best practice and lessons from
research.
In paragraph (a), we propose to require programs to integrate
parent and family engagement strategies into all systems and program
components. We envision program leadership playing an important role in
this intentional integration so that all staff value and understand how
to support and engage parents and families. Specifically, we propose to
require programs to implement strategies into all systems and program
components and develop community partnerships that will support family
well-being in order to promote child learning and foster parental
confidence and skills in ways that promote child learning and
development. In parts of this section, we propose to retain some
provisions with slight revisions, including current Sec.
1304.40(a)(5), which requires staff to respect family diversity and
cultural and ethnic backgrounds, and current Sec. 1304.40(d)(3), which
requires programs to provide parents with opportunities to participate
as employees or volunteers.
In addition, we propose new requirements that reflect research and
best practice. For example, in Sec. 1302.50(b)(1), we propose to
require a greater emphasis on supporting regular child attendance
because this is central to improving child outcomes in Head Start.
Emerging research demonstrates a link between higher attendance rates
in preschool and school readiness for kindergarten.\194\ Although about
half of the days young children miss in preschool are likely due to
illness, recent research in Chicago indicates that missed days may also
be explained by other challenges, such as transportation, child care,
and other demands on the family that make it difficult for the parent
to secure child attendance.\195\ The proposed change requires programs
to work with parents to determine how best to address attendance
issues. This important new emphasis is further strengthened by
additional systemic requirements for programs to promote regular
attendance in Sec. 1302.16 in the proposed rule.
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\194\ Magnuson, K.A., Meyers, M.K., Ruhm, C.J., Waldfogel, J.,
(2004). Inequality in preschool education and school readiness.
American Educational Research Journal, 41(1), 115-157.
\195\ Erlich, S.B., Preschool Attendance in Chicago Public
Schools: Relationships with Learning Outcomes and Reasons for
Absences, The University of Chicago Consortium on Chicago School
Research, 2013.
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[[Page 35480]]
In paragraph (b)(3) we propose to require programs to implement an
intentional focus on father involvement in their children's early
learning and development because it has been linked to improve child
outcomes.\196\ For example, a study of Early Head Start families found
that father engagement was associated with increased security and
exploration among toddlers and stronger math and reading skills in the
fifth grade.\197\
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\196\ Fagan, J., & Iglesias, A. (1999). Father involvement
program effects on fathers, father figures, and their Head Start
children: A quasi-experimental study. Early Childhood Research
Quarterly, 14(2), 243-269.
\197\ Cook, G.A., Roggman, L.A., & Boyce, L.K. (2011). Fathers'
and mothers' cognitive stimulation in early play with toddlers:
Predictors of 5th grade reading and math. Family Science, 1(2), 131-
145.
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In paragraphs (b)(5) and (6), we propose to add language to ensure
programs allow families a choice in where they share personal
information and have procedures for communication between family
service, education staff, and home visiting staff to share information
relevant to best meet the needs of children and families.
Section 1302.51 Parent Activities To Promote Child Learning and
Development
In this section, we propose revisions to existing requirements in
Sec. 1304.40(e) describing the parent activities programs must provide
to promote child learning and development in order to give more local
flexibility to programs in determining the best way to meet the
individual needs of families they serve. We also propose revisions to
strengthen the quality of services by requiring programs offer parents
opportunities to participate in a research-based parenting curriculum.
The existing rule does not require research-based approaches, and we
believe some parent activities programs provide do not have the impact
that research shows is possible. Positive parent-child relationships
are fundamental to the goal of promoting child learning and
development. In paragraph (a) in this section, we propose to strengthen
the longstanding commitment in Head Start and Early Head Start to
promoting parenting skills with the incorporation of key concepts that
have emerged in recent research: parental efficacy or confidence and
parenting education that is designed to model targeted skills. Programs
can and should provide supportive environments for parents and families
that help them develop positive views of themselves as parents and the
knowledge and skills to effectively foster the healthy development and
early learning of their children. Interactions with staff,
opportunities to form peer relationships, and access to information and
supports can support parental confidence.
Specifically, in proposed Sec. 1302.51(b), we propose a new
requirement that all parents be offered the opportunity to practice and
enhance parenting skills through participation in a research-based
parenting curriculum. We believe this will improve the effectiveness of
parent services aimed at enhancing parenting skills that support child
learning and development.\198\ According to testimony by Dr. Hirokazu
Yoshikawa for the Senate Committee on Health, Education, Labor and
Pensions, programs with a parenting focus augment preschool
effectiveness only if it they provide parents with modeling of positive
interactions or opportunities for practice with feedback.\199\ One
meta-analysis found that early childhood programs that simply provide
parenting information had little to no effects, whereas programs that
implemented intensive efforts in which desired behaviors are modeled
and gave parents opportunities to practice had more significant
gains.\200\
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\198\ The National Center on Parent Family and Community
Engagement, Research to Practice Series, Positive Parent-Child
Relationships, 2013.
\199\ Yoshikawa, H. Testimony to the Senate HELP Committee--
Full-Committee Hearing on Supporting Children and Families through
Investments in High-Quality Early Education, February 6, 2014.
\200\ Shonkoff, J. (2013). Minds (Still) Wide Open: Sharpening
our Theory of Change and Advancing the Frontiers of Innovation.
Presentation to Frontiers of Innovation Community Workshop, Boston,
MA.
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Section 1302.52 Family Partnership Services
In this section, we propose to revise and redesignate parts of
Sec. 1304.40(a) and (b) of the existing rule that govern what were
formerly named family partnership plans, to clarify the ongoing and
strength-based nature of these services, to enumerate a specific
sequence of activities programs are to offer families, and to allow
more local flexibility in serving families. Existing regulations do not
identify the key areas for engagement nor permit local flexibility to
meet family needs. We envision a family partnership services approach
that continues to be initiated as early as possible, is clearly shaped
by parent interest and need, but effectively targets program and staff
resources to ensure appropriate levels of intensity of services. We
believe these proposed revisions increase local flexibility to meet
family needs while placing a greater emphasis on measurable outcomes,
which should lead to more targeted and effective service delivery.
We propose revisions to the family partnership agreement process in
this section to de-emphasize the development of a single written plan
and instead require programs to offer individualized linkages to
services based on family strengths and needs. Our intention is to
require programs to analyze what they learn from families about their
strengths and needs on an ongoing basis and tailor program family
engagement and support strategies and resources as needed. We also make
clear in Sec. 1302.52(c) that, while we propose to require all
families be offered opportunities for individualized family partnership
services, programs must take into account the urgency and intensity of
family needs as well as their own program's capacities and triage
services as appropriate. Our proposal would give programs the
flexibility they need to able to respond to the range of enrolled
families' needs, whether the family is homeless or financially stable;
well-functioning or in crisis.
In paragraph (b), we propose new requirements that programs
implement intake and enrollment procedures that capture important
information about family strengths and needs according to family
outcomes outlined in the Head Start Parent Family and Community
Engagement Framework, as appropriate. These new requirements make clear
that information collected is just the first step of an ongoing process
of collaborating with families to identify, prioritize, and access
services and supports that are appropriate to address identified
strengths and needs, and, if desired, work toward family goals. The
proposed requirements also give programs the leeway to judge how best
to match program and staff resources according to intensity and urgency
of needs and goals. Programs must be able to measure progress in
meeting identified needs and goals and work with parents to identify
other actions if necessary. Finally, in proposed paragraph (d), we
revise Sec. 1304.40(a)(3) in the existing rule, to acknowledge that
programs and families operate within a larger community context. We
propose to require that programs are aware of existing plans developed
by other community agencies and help families access needed resources
from other entities in the community, if available, in order to avoid
duplication of effort.
Section 1302.53 Community Partnerships
This section redesignates and revises Sec. 1304.41(a) and (b) of
the existing rule, that address community partnerships
[[Page 35481]]
and advisory committees, with additions required by the Head Start Act,
language updates to streamline existing provisions, and adds new
provisions on coordination with state and local Quality Rating and
Improvement Systems and agencies funded for early childhood data
systems and K-12 statewide data systems (e.g., State Longitudinal Data
Systems). We propose to update the existing regulations on community
partnerships to reflect the development of an array of services since
Head Start's inception. Although in some communities there may be many
more potential partners than previously, there continues to be a need
for coordination of services for families. We believe Head Start
agencies must play an evolving leadership role to coordinate and build
local systems as they provide complementary services on behalf of Head
Start and Early Head Start children and families.
We intend to strengthen community partnership activities in several
additional ways. In Sec. 1302.53(a), we propose to remove
documentation requirements and place a greater focus on active
implementation. This would reduce bureaucratic burden that is more
about process than action. Additional changes in Sec. 1302.53(a) and
(b) propose create a more direct connection between the family
partnership services described in this subpart and how programs
prioritize the formation of community partnerships. This further
clarifies that community partners that can advance family needs and
goals, including those for improving family economic well-being and
stability, education and credentials, and asset-building, should be
prioritized as needed.
In addition, in Sec. 1302.53(b) we propose to add types of
providers with which programs should engage in collaborative
relationships and partnerships. This includes providers of services to
homeless children and families, domestic violence prevention and
support, substance abuse prevention, mental health, providers of pre-
and post-natal support, Temporary Assistance for Needy Families
agencies, and workforce development and training programs; family
literacy, adult education, and post-secondary education institutions.
Some of these additional partners are proposed as required in section
645A(b)(11) and section 642(e) of the Act, others reflect best
practices from the Parent and Community Engagement Framework,\201\ and
others from recommendations from the Advisory Committee on Head Start
Research and Evaluation.\202\
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\201\ http://eclkc.ohs.acf.hhs.gov/hslc/tta-system/family.
\202\ Advisory Committee on Head Start Research and Evaluation:
Final Report (2012).
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We propose three additional changes in this section. First, in
Sec. 1302.53(c), we propose to retain the requirement that programs
must have health advisory committees and we propose to remove language
about an option to have other advisory committees. This streamlined
proposal reduces unnecessary redundancy. Second, in Sec. 1302.53(d),
we reflect a provision described in section 642(e)(5) of the Act that
requires a program to enter into a memorandum of understanding with the
appropriate local entity responsible for managing publically funded
preschool programs in the service area. This has been in effect since
2008 and does not reflect a new requirement on programs. Finally, we
propose a new provision that programs should participate in state or
local Quality Rating and Improvement Systems if they have been
validated to show that the tiers in the State's Tiered Quality Rating
and Improvement System accurately reflect differential levels of
quality, are related to progress in learning and development, and build
toward school readiness and if Head Start programs can participate in
the same way as other early childhood providers in the area. We
considered making this a stronger requirement that programs must
participate and are seeking comment on whether that would be a better
approach. We are also specifically requesting comment on whether this
provision will assist in improving information for parents and the
quality of services for children or will create an undue burden on
programs and duplication in monitoring. We are also specifically
requesting comments on whether the Quality Rating and Improvements
Systems have been appropriately validated, the results are publicly
available and we should limit the proposal for Head Start participation
in Quality Rating and Improvement Systems to systems that meet these or
other requirements.
Additional Services for Children With Disabilities; Subpart F
(Currently Part 1308)
In this subpart of the NPRM, we propose to redesignate requirements
in part 1308 in the existing rule, related to Services for Children
with Disabilities, and significantly update those requirements to align
with the Act. Specifically, we propose revisions to reflect
requirements that children must be identified and receive services as
prescribed in the Individuals with Disabilities Education Act (IDEA).
In order to communicate its critical importance, we also propose to
incorporate requirements for the full inclusion and participation of
children with disabilities in all program activities, including but not
limited to children eligible for IDEA services, throughout this NPRM.
Prior to reauthorization of the Act in 2007, we permitted programs
to use independent evaluators to diagnose disabilities and provide
services. In this subpart, we propose to remove all requirements
relevant to this outdated authority, including the eligibility
criteria, which are outlined for twelve diagnostic categories in the
existing rule (Sec. Sec. 1308.7 through 1308.17). Consistent with
revisions throughout this NPRM, we propose to revise this section to
include children from birth through the age of kindergarten entry,
rather than just preschoolers. Additionally, we propose to remove the
entire Appendix to Sec. 1308 in the existing rule because we do not
want to provide guidance in tandem with regulations as this often
causes confusion and an unwieldy document.
Section 1302.60 In General
As in other subparts of this NPRM, we propose to include an `In
general' section to outline the requirements contained herein and to
specify that programs must ensure all children with disabilities,
including but not limited to those who are eligible for IDEA services,
and their families receive all applicable program services and are able
to fully participate in all program activities.
Section 1302.61 Additional Services for Children With Disabilities
In paragraph (a) of this section, we require that programs ensure
all children with disabilities have access to and full participation in
the range of activities and services provided, including individualized
accommodations and supports necessary for their full participation. In
paragraph (b), we propose new language to require programs to provide
appropriate individualized services and supports for children, to the
maximum extent possible, during the interim period while the local IDEA
agency determines eligibility. It may take several months after
referral for children to be evaluated and determined to be eligible to
receive services under IDEA Part C or Part B. We believe it is
important that their possible early intervention and special education
and related service needs are met to the fullest possible extent during
this time.
[[Page 35482]]
Once a local IDEA agency determines a child is eligible for IDEA
services, we also propose to require programs to meet the individual
needs of children with IFSPs or IEPs. Specifically, in paragraph
(c)(1), we propose to require programs to work closely with local IDEA
agencies and other service providers, as appropriate, to ensure that
indicated services are planned and delivered as required by the IFSP or
IEP; children are working toward the goals that are identified in their
individual plans; service providers have been identified as necessary
for services that the program cannot meet such as for speech, physical
or occupational therapy or consultant special education teacher
services; and IFSPs and IEPs are revised and updated as required and
needed.
Finally, in paragraph (2), we propose to redesignate existing
requirements, Sec. Sec. 1304.8(g) and 1304.20(f)(2)(iii), which
describe transition services programs must provide for children with
IFSPs or IEPs into this section. This section also retains existing
requirements related to inclusion and transitions, with significantly
streamlined and reduced language through reference to IDEA
requirements. Specifically, we propose to redesignate and revise
existing requirements (Sec. 1304.20(f)(iii)) that programs with
children with an IFSP transitioning out of Early Head Start must
collaborate with parents, and the local IDEA agency to ensure that
there is a timely determination of continued eligibility and service
delivery under IDEA. In addition, in this section we propose to
redesignate and revise existing provisions in Sec. 1308.4(g), which
require programs with children with IEPs transitioning out of Head
Start to kindergarten to collaborate with the children's parents and
local IDEA agencies to identify continued eligibility and appropriate
IDEA service delivery.
Section 1302.62 Additional Services for Parents
Finally, in this section, we propose to redesignate and revise
Sec. Sec. 1308.6(e), 1304.20(f)(ii), and 1308.21 in the existing rule
related to additional services for parents. Specifically, in paragraph
(a), we recommend revisions to these requirements to explicitly
identify the supports programs must provide to assist the parents of
children with disabilities in meeting the needs of their children. We
believe these proposed revisions streamline and more accurately
enumerate the expectations that are implicit in the existing
regulation. These clarified requirements include: Program collaboration
with parents to help parents become advocates for their children; and
understand their child's disability and how to meet their needs and
support their development. While the existing rule requires that
programs inform parents of possible resources such as the Supplemental
Security Income (Sec. 1308.21(a)(7)), the revised rule specifically
requires that programs assist parents in accessing the services and
resources necessary for their family, including securing adaptive
equipment and devices, creating linkages with support groups, and
helping parents establish eligibility for additional supportive
programs, as applicable (Sec. 1302.62(a)). We believe that this more
expansive language clarifies the expectation the programs assist
parents in obtaining the knowledge, equipment, and services they need
to support the maximal development of their child. This is crucial as
parents' ability to advocate for their children with special needs may
play a critical role in acquiring necessary services both as a child is
entering the system as an infant, toddler, or preschooler and as they
eventually move into school.
In paragraph (b), the clarified requirements apply explicitly to
parents of children eligible for IDEA and include programs helping
parents: Understand the referral, evaluation, and service provision
timelines required under IDEA; actively participate in the eligibility
determination and IFSP or IEP development process; understand the
purposes and results of the evaluation process and the services that
are provided through an IEP or IFSP; and finally, ensure their
children's needs are accurately identified and addressed through the
IEP or IFSP. We consider Head Start's role in helping parents navigate
the IDEA process critical to obtaining needed early intervention and
special education and related services.
Section 1302.63 Coordination and Collaboration With the Local Agency
Responsible for Implementing IDEA
Section 645A(b)(8) of the Act requires programs to ensure formal
linkages with agencies implementing IDEA and providers of IDEA
services. In this section, we propose to largely retain existing
provisions (Sec. Sec. 1308.4(l) and 1304.20(f)(ii)) that describe
requirements for programs to work with local agencies responsible for
implementing IDEA to identify children who may be eligible. We note
that section 637(a)(10) of the IDEA and the IDEA Part C regulations in
34 CFR 303.210 and 303.302(c)(1)(ii)(E) also require coordination
between Head Start and Early Head Start programs and IDEA early
intervention service providers to ensure the early identification of,
and provision of services to, young children with disabilities. We
propose revisions to streamline the language to more clearly express
actual program requirements rather than requiring programs to have a
plan to address requirements. We propose to update the language in the
existing rule which refers only to local education agencies (LEAs) such
that it refers to ``the agency responsible for implementing IDEA'' to
reflect that the term ``local IDEA agency'' is applicable to both
children age birth to three and children age three through five and
that the entity that provides IDEA Part C services to children with
disabilities age birth to three are early intervention service (EIS)
providers and that the entity that provides IDEA Part B services to
children with disabilities age three through five are LEAs.
In paragraph (b), we propose to redesignate and slightly revise for
clarity provisions that require programs to develop agreements with
local IDEA agencies to ensure efficient referral, evaluation, service
coordination, and transition services (Sec. Sec. 1308.6(e),
1304.20(f)(ii) and 1308.21 in the existing rule). In paragraph (c), we
propose to revise existing provisions (Sec. Sec. 1308.21 and
1304.20(f)(ii)) that require programs, in collaboration with parents,
to participate in the development and implementation of Individualized
Education Programs (IEP) and Individualized Family Service Plans
(IFSP), including through the provision of screening and other
information and participation in meetings. Finally, in paragraph (d),
we propose to include a new requirement for programs to retain copies
of children's IEPs or IFSPs for the time the child is in the program.
We believe this provision will ensure every program has access to a
child's individualized plan in order to support implementation to the
fullest extent possible.
Transition Services; Subpart G (Currently Sec. Sec. 1304.40, 1304.41,
and 1305.7)
This subpart proposes to organize all provisions related to
transition services from Sec. Sec. 1304.40(h), 1304.41(c) and
1305.7(c) in the existing rule into a single subpart. Starting
kindergarten is a big change for both children and families. Head Start
provides transition services to support children and families
effectively adapt to this change. Supporting children in this major
life event so they feel comfortable with their
[[Page 35483]]
new setting and new teachers can lead to better social and academic
outcomes for children.203 204 Supporting families through
this transition can lead to more family engagement in
kindergarten,\205\ and greater family engagement leads to better social
and academic outcomes for children.206 207 Head Start
transition services include collaborations with families and schools to
help ensure children and families are supported during this change.
Planning and implementing transitions from Early Head Start also
provides important support for children and families and fosters
continuity of services.
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\203\ Curby, T.W., Rimm-Kaufman, S.E., & Ponitz, C.C. (2009).
Teacher-child interactions and children's achievement trajectories
across kindergarten and first grade. Journal of Educational
Psychology, 101(4), 912-925.
\204\ Tran, H., & Winsler, A. (2011). Teacher and center
stability and school readiness among low-income, ethnically diverse
children in subsidized, center-based child care. Children and Youth
Services Review, 33, 2241-2252
\205\ Schulting, A.B., Moore, P.A., & Dodge, K.A. (2005). The
effect of school-based transition policies and practices on child
academic outcomes. Developmental Psychology 41(6), 860-871.
\206\ Barnard, W.M. (2004). Parent involvement in elementary
school and educational attainment. Children and Youth Services
Review, 26, 39-62.
\207\ McWayne, C., Hampton, V., Fantuzzo, J., Cohen, H.L., &
Sekino, Y. (2004). A multivariate examination of parent involvement
and the social and academic competencies in urban kindergarten
children. Psychology in the Schools, 41(3), 363-377.
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We propose to reorganize and update transition services to improve
their quality and effectiveness. In the existing rule, transition
services are organized primarily under parent and community
collaboration in Sec. Sec. 1304.40(h) and 1304.41(c). We propose to
maintain these central linkages to parent and community collaboration
but in a new structure that will support better service delivery, make
it easier to determine what transition services we require from Early
Head Start and Head Start programs, and elevate the importance of these
program services.
Despite the structural reorganization, we propose to maintain most
of the existing provisions regarding transition services from the
existing rule. We propose to streamline and update these provisions to
improve clarity. In addition, we propose to include requirements from
section 642A of the Act and expand services to better reflect lessons
from transitions research, and reflect the changing landscape of
available early learning programs. We believe these requirements will
foster successful transitions to help children feel comfortable and
positive about their new settings. We also believe they will enable
parents to support their children emotionally and academically and
assist them in understanding how to advocate for and engage in their
children's education.
Section 1302.70 Transitions From Early Head Start
This section proposes the requirements for supporting successful
transitions out of Early Head Start and lays the foundation for
sustained parent involvement in their child's education. This includes
general requirements that support transitions from Early Head Start,
specific requirements about transition planning, family collaborations,
and collaboration between Early Head Start and Head Start, in
paragraphs (a) through (d) of this section, respectively. Paragraph (e)
includes a cross-reference to the additional transition services
required for children with an IFSP and described in subpart F.
This section mainly retains the existing requirements regarding
these areas of transition services from Sec. Sec. 1304.40(h),
1304.41(c), and 1305.7(c) because we believe they are important to
supporting successful transitions. In paragraph (d)(2), we propose
slight language changes to the existing rule to improve clarity and
streamline language, and make collaboration requirements subject to
privacy requirements proposed in part 1303. In paragraph (c), we also
revise Sec. 1304.40(h)(2) to no longer require a staff-parent meeting
be held toward the end of the year, but retain the core requirement
that programs must provide information to parents about their child's
progress during the program year as part of transition services. We
believe this will reduce confusion and increase local flexibility
without decreasing quality of service delivery. The existing rule
requires programs to conduct at least two home visits with parents and
at least two teacher-parent conferences. A separate provision under the
current rule requires programs conduct a teacher-parent meeting toward
the end of the year to help support transitions. Though we have not
interpreted this to require three separate teacher-parent meetings,
programs have expressed confusion about whether they are required to
conduct the transition meeting separately from the parent-teacher
conference. We believe elimination of specific mention of an end of
year transition meeting will eliminate the confusion of whether a third
meeting is required and allow local programs the flexibility to
determine when and how (home visit or parent-teacher meeting) to best
provide these transition services.
We propose to strengthen transition services by requiring Early
Head Start and Head Start to implement strategies to improve the
collaboration and coordination for transition services between Early
Head Start and Head Start in Sec. 1302.70(d). Only slightly more than
half of Early Head Start children attend Head Start when they become
age-eligible,208 209 and we believe programs must do more to
maximize enrollment of Early Head Start children into Head Start,
consistent with eligibility requirements. Extending services throughout
the birth-to-five period is a more efficient use of Head Start funds
and will help more children start kindergarten prepared to succeed in
school. With the recent expansion of Early Head Start, this is
increasingly important.
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\208\ Chazan-Cohen, R.& Kisker, E.E. (2012). Links between early
care and education experiences birth to age 5 and prekindergarten
outcomes. Monographs of the Society for Research in Child
Development, 78(1), 110-129.
\209\ Conversation with the Office of Policy Research and
Evaluation, HHS regarding unpublished data. June 2, 2014.
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Section 1302.71 Transitions From Head Start to Kindergarten
In this section, we propose the services programs must implement to
support successful transitions from Head Start to kindergarten. In
paragraphs (a) through (d), respectively, we propose general provisions
for programs to implement transition strategies and practices, family
collaboration transition services, community collaborations transition
services, and learning environment transition activities. Paragraph (e)
includes a cross-reference to the additional transition services
required for children with an IEP and described in subpart F. We
believe these provisions will help Head Start preschoolers make strong
transitions to elementary school and lay the foundation for sustained
parent involvement in their child's education.
Most of the requirements in this section are provisions we retain
from Sec. 1304.40(h) and Sec. 1304.41(c) in the existing rule. We
made minor language changes to improve clarity, eliminate confusion,
and reflect a provision required by the Head Start Act. For example, in
(b)(2)(iii), we propose to revise Sec. 1304.40(h)(3)(i) in the current
rule, which requires programs to prepare parents to exercise their
rights and responsibilities concerning the education of their children,
to reflect requirements in the Section 642A of the Act to help parents
of dual language learners understand the availability and
appropriateness of language instruction educational programs available
at their
[[Page 35484]]
elementary school. In addition, we propose to clarify, in paragraphs
(c)(2)(i) through (ii), that transfer of relevant records and
communication between Head Start and elementary school staff are
consistent with privacy requirements we propose in part 1303.
Furthermore, as with Early Head Start, we revise Sec.
1304.40(h)(2) in the existing rule, which requires programs to hold a
staff-parent meeting at the end of the year to provide information
about the child's progress during the program year. We propose to
retain the core requirement that programs provide this information to
parents as part of activities that support successful transitions but
remove the meeting requirement. As noted above, we believe this will
allow programs more local flexibility to determine when and how to
collaborate with parents on transitions services and eliminate
confusion about whether the existing rule requires a third teacher-
parent meeting.
We propose several small but substantive changes to existing
provisions in this section. First, we propose to redesignate and revise
current Sec. 1304.41(c)(1) to require programs to implement transition
plans and to emphasize that programs must use ongoing transition
strategies and practices. Throughout this NPRM, we have made a
conscious effort to move away from requiring programs to develop plans
and instead emphasize implementation. However, in this instance,
research suggests that having a transition plan in place is important
to support successful transitions. 210 211 212 213 214 We
also propose to expand upon this same existing rule, which requires
programs to ``establish and maintain procedures to support successful
transitions,'' by explicitly proposing in paragraph (d) to require
programs include strategies and activities in the learning environment
that familiarize children with the transition to kindergarten and
foster confidence about the transition. All three of these proposed
changes incorporate lessons from research on effective transitions.
215 216 217 218
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\210\ Pianta, R.C., Cox, M.J., Taylor, L., & Early, D. (1999).
Kindergarten teachers' practices related to the transition to
school: Results of a national survey. Elementary School Journal,
100(1), 71-86.
\211\ Patton, C., & Wang, J. (2012). Ready for Success: Creating
Collaborative and Thoughtful Transitions into Kindergarten. Harvard
Family Research Project.
\212\ Pianta, R.C., & Kraft-Sayre, M. (2003) Successful
Kindergarten Transition: Your Guide to Connecting Children,
Families, & Schools. Baltimore, Md.: National Center for Early
Development and Learning, Paul Brookes Publishing Co.
\213\ National Governors Association. (2005). Building the
foundation for bright futures: final Report of the NGA Task Force on
School Readiness. Retrieved June, 2, 2014.
\214\ Bohan-Baker, M., & Little, P.M. (2002). The transition to
kindergarten: A review of current research and promising practices
to involve families. Cambridge, MA: Harvard Family Research Project.
\215\ Patton, C., & Wang, J. (2012). Ready for Success: Creating
Collaborative and Thoughtful Transitions into Kindergarten. Harvard
Family Research Project.
\216\ McGann, J F., & Clark, P. (2007). Fostering positive
transitions for school success. Young Children, 62(6), 77.
\217\ Pianta, R.C., Rimm-Kaufman, S.E., & Cox, M.J. (1999).
Introduction: An ecological approach to kindergarten transition. In
R.C. Pianta & M.J. Cox (Eds.), The transition to kindergarten (pp.
3-12). Baltimore, MD: Paul H. Brookes Publishing Co.
\218\ LaParo, K.M., Kraft-Sayre, M., & Pianta, R.C. (2003).
Preschool to kindergarten transition activities: Involvement and
satisfaction of families and teachers. Journal of Research in
Childhood Education, 17,147-158.
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Furthermore, we propose additional provisions to strengthen
transition services for children moving from Head Start to
kindergarten. First, we propose to expand family collaboration services
with a new requirement in paragraph (b)(2)(ii) for programs to
implement strategies and activities with families that include helping
parents understand and use parenting practices that effectively provide
academic and social support for their children during transitions. This
reflects best practices and will improve service quality.
In paragraphs (c)(1) and (c)(2), we propose to retain provisions
consistent with sections 642(d)(3)(B) and 642(b)(13) of the Act that
require programs to coordinate with school districts and kindergarten
teachers. Secondly, in paragraph (c)(3), we propose to expand Head
Start collaboration with school districts to include efforts to enroll
Head Start children who will enter kindergarten into available summer
school programming. Research finds that elementary students from low-
income families lose skills and knowledge during the summer break.
219 220 Though this ``summer slide'' has not yet been
examined with children between their pre-kindergarten and kindergarten
years, we are concerned Head Start child in programs that do not
operate during the summer months will experience this situation as
well. This new provision aims to address this potential problem.
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\219\ Cooper, H., Charlton, K., Valentine, J.C., & Muhlenbruck,
L. (2000). Making the most of summer school. A meta-analytic and
narrative review. Monographs of the Society for Research in Child
Development, 65 (1, Serial No. 260), 1-118.
\220\ Cooper, H., Nye, B., Charlton, K., Lindsay, J., &
Greathouse, S. (1996). The effects of summer vacation on achievement
test scores: A narrative and meta-analytic review. Review of
Educational Research, 66, 227-268.
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Section 1302.72 Transitions Between Programs
In this section, we propose three new provisions that will support
transitions for children and families who might not otherwise receive
such services. First, in paragraph (a), we propose to require programs
to undertake efforts to enroll and support transitions for children and
families moving out of the community in which they are currently
served, including homeless families and children involved in the child
welfare system, to other Early Head Start and Head Start programs. It
is common for children from low-income families to experience housing
instability.\221\ We also propose to include children in the child
welfare system in this provision, given their family instability and
the importance of early intervention, like that provided by Head Start,
on their school readiness and long-term outcomes.\222\ Thus, Early Head
Start and Head Start families sometimes move during a program year
because of changing and challenging family circumstances.\223\ We
believe it is important that programs make significant effort to
facilitate the continued enrollment of these children in Early Head
Start and Head Start programs in their new communities. This provision
will improve continuity of services to children and families and
improve the efficiency of Head Start funds.
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\221\ Profiles of Risk: Characterizing Housing Instability.
Research Brief 1. (2011). Institute for Children, Poverty, &
Homelessness. Washington, DC: Author.
\222\ Rankin, V.E., & Gonsoulin, S. (2014). Early learning is
essential: Addressing the needs of young children potentially at
risk for system involvement. Washington, DC: National Evaluation and
Technical Assistance Center for Children and Youth Who Are
Neglected, Delinquent, or At Risk (NDTAC).
\223\ Head Start and Housing (In)stability: Examining the School
Readiness of Children Experiencing Homelessness. (2013). Institute
for Children, Poverty, & Homelessness. Washington, DC: Author.
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Second, in paragraph (b), we propose a new provision to require
Head Start programs to provide transition services to families who
decide to enroll their children in a different public pre-kindergarten
program in the year prior to kindergarten entry. This reflects the
increasing availability of state- or locally-funded pre-kindergarten.
These types of transitions may reflect as large a change for children
and families as the transition from Head Start to kindergarten so it is
important that Head Start programs implement services to support a
successful transition.
[[Page 35485]]
In paragraph (c), we propose to require Migrant and Seasonal Head
Start programs support effective transitions to other Head Start
programs when families move out of the community. Most Migrant and
Seasonal Head Start programs already implement this important practice.
Given the frequent mobility among families served by Migrant and
Seasonal Head Start, supporting these transitions to maximize re-
enrollment in Head Start programs and effective transitions is
particularly important.
Services to Enrolled Pregnant Women; Subpart H (Currently Sec.
1304.40)
In this subpart, we propose to redesignate, revise, and build upon
concepts from Sec. 1304.40(c) of the existing rule, which describes
the services that Early Head Start programs must provide to pregnant
women they choose to enroll. We propose to redesignate these
requirements from the existing family engagement subpart into a new
standalone subpart in order to highlight the importance of prenatal
health care and education and to significantly improve the transparency
of these requirements for programs serving pregnant women. Long
standing research clearly demonstrates the importance of prenatal care
and the effectiveness of prenatal interventions in facilitating healthy
pregnancies 224 225, 226 227 228 and improving child
outcomes that affect later school readiness
229 230 231 232 233 among at-risk women. While most of this
proposed subpart represents a structural revision of existing
requirements, it also expands upon currently required services to
codify best practices.
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\224\ Olds, D.L., Henderson, Jr., C.R., Tatelbaum, R., &
Chamberlin, R. (1986) Improving the Delivery of Prenatal Care and
Outcomes of Pregnancy: A randomized Trial of Nurse Home Visitation.
Pediatrics, 77(1), 16-28.
\225\ Villar, J., Farnot, U., Barros, F., Victora, C., Langer,
A., & Belizan J.M. (1992) A Randomized Trial of Psychosocial Support
during High Risk Pregnancies, The New England Journal of Medicine,
327(18), 1266-1271.
\226\ Olds, D.L., & Kitman, H. (1993). Review of Research on
Home Visiting for Pregnant Women and Parents of Young Children. The
Future of Children, 3(3), 53-92.
\227\ McLiaghlin, F.J., Altemeier, W.A., Christensen, M.J.,
Sherrod, K.B., Dietrich, M.S., & Stern, D.T. (1992). Randomized
Trial of Comprehensive Prenatal Care for Low-Income Women: Effect on
Infant Birth Weight. Pediatrics, 89(1), 128-132.
\228\ Alexander, G.R., & Korenbrot, C.C. (1995). The Role of
Prenatal Care in Preventing Low Birth Weight. The Future of
Children, 5(1), 103-120.
\229\ Larson, C.P. (1980). Efficacy of Prenatal and Postpartum
Home Visits on Child Health and Development. Pediatrics, 66(2), 191-
197.
\230\ Olds, D.L., Henderson, Jr., & C.R., Kitzman, H. (1994).
Does Prenatal and Infancy Nurse Home Visitation have Enduring
Effects on Qualities of Parental Caregiving and Child Health at 25
to 50 Months of Life? Pediatrics, 93(1), 89-98.
\231\ Olds, D.L., & Kitzman, H. (1990). Can Home Visitation
Improve the Health of Women and Children at Environmental Risk?
Pediatrics, 86(1), 108-116.
\232\ Hack, M. Klein, N.K., & Taylor, H.G. (1995). Long-term
Developmental Outcomes of Low Birth Weight Infants. The Future of
Children, 5(1), 176-196.
\233\ Reichman, N.E. (2005). Low birth weight and school
readiness. The Future of Children, 15(1), 91-116.
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Section 1302.80 Enrolled Pregnant Women
In paragraph (a) of this section, we propose to include a
requirement that programs determine whether enrolled pregnant women
have ongoing sources of health care and, as appropriate, health
insurance coverage and in paragraph (b), we propose that if the
enrolled pregnant woman does not have such a source of care and, as
appropriate, health insurance coverage, the program must facilitate
access to each. We understand how important it is for pregnant women
and children to have health insurance coverage. Pregnant women who have
health insurance coverage are more likely to receive prenatal care. The
link between a pregnant woman's health and the health of her child is a
well-established fact. Early Head Start programs help pregnant women
access health insurance coverage and will continue to offer this
support through a combination of systems and services. This language
reflects the proposed revisions to child health status in subpart D of
the proposed rule. While this requirement can been inferred from Sec.
1304.40(c)(1)(ii) of the existing rule, our proposed revisions would
align with services that programs must deliver to children to reduce
confusion and allow programs to use the same process for families of
enrolled children and enrolled pregnant women. The prenatal empirical
literature demonstrates the importance of such care during pregnancy.
Research shows that pregnant mothers who receive consistent, ongoing
prenatal care and engage in prenatal education activities are more
likely to give birth to a healthy, full-term baby.\234\ The research
also clearly demonstrates that children who are healthy at birth are
more likely to experience healthy development throughout the early
childhood years.\235\
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\234\ Ibid.
\235\ Center on the Developing Child at Harvard University.
(2010). The foundations of lifelong health are built in early
childhood. Cambridge, MA: Author.
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Further, in paragraph (c), we propose to redesignate and slightly
revise Sec. 1304.40(c)(1)(i) and (iii) in the existing rule such that
we clearly require programs to facilitate access to comprehensive
services, such as nutrition counseling and mental health services. The
2002 Early Head Start Research and Evaluation Project found that 52
percent of enrolled mothers were depressed, and 18% of fathers showed
signs of depression when their children were 2 years old, leading to
poorer outcomes for both children and their families.\236\ This
research specifically on Early Head Start solidifies the importance of
prenatal and postnatal mental health services for the families we
serve. Additionally, research has clearly established the benefits of
breastfeeding,\237\ signaling the critical importance of prenatal
nutritional counseling for pregnant mothers enrolled in Early Head
Start.
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\236\ Administration for Children and Families, Office of
Planning, Research and Evaluation. (2002). Depression in the lives
of Early Head Start families: Research to practice brief.
Washington, DC: Author.
\237\ National Women's Health Information Center. (n.d.) The
Comprehensive Benefits of Breastfeeding. Washington, DC: Author.
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Section 1302.81 Prenatal and Postpartum Services
In this proposed section, we redesignate, revise, and expand upon
provisions describing the prenatal and postpartum education services
for pregnant women and relevant family members, in Sec. 1304.40(c)(2)
of the existing rule. We propose that education services requirements
in this section now include fetal development, the importance of
nutrition, risks of alcohol, drugs and smoking, labor and delivery,
postpartum recovery, infant care and safe sleep practices, and the
benefits of breastfeeding. Paragraph (b) also proposes to emphasize
existing requirements and expand upon them to require programs provide
supports that promote emotional well-being,\238\ nurturing and
responsive caregiving, 239 240 and father engagement during
pregnancy and early childhood,\241\ each of which have been linked to
later positive child outcomes. We know that many Early Head Start
[[Page 35486]]
programs already provide these supports and services, which are best
practices for prenatal and postnatal care. This proposal simply
codifies best practices that many Early Head Start programs already
have in place.
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\238\ Administration for Children and Families, Office of
Planning, Research and Evaluation. (2002). Depression in the lives
of Early Head Start families: Research to practice brief.
Washington, DC: Author.
\239\ Bornstein, M.H., & Lamb, M.E. (2002). Development in
infancy: An introduction. Psychology Press.
\240\ Sroufe, L.A. (2005). Attachment and development: A
prospective, longitudinal study from birth to adulthood. Attachment
& Human Development, 7(4), 349-367.
\241\ Fagan, J., & Iglesias, A. (1999). Father involvement
program effects on fathers, father figures, and their Head Start
children: A quasi-experimental study. Early Childhood Research
Quarterly, 14(2), 243-269.
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Section 1302.82 Family Partnership Services for Enrolled Pregnant Women
In general, this section of proposed subpart H, simply highlights
that, as with all other families, enrolled pregnant women should be
receiving the family partnership services described in proposed subpart
E. However, it clarifies that these services should be explicitly
directed towards their prenatal and postpartum care needs. We also
propose to redesignate Sec. 1304.4(i)(6) of the existing rule in this
section to make the requirement more transparent to programs. This
provision requires that programs engage in a home visit with the mother
within 2 weeks after her child's birth, consistent with 645A(i)(2)(G)
of the Act. Finally, we also propose to codify best practices, which
excellent programs already follow, with regard to engaging the mother
in discussions about program options and transitioning her child into
program enrollment during and support the mother, where appropriate.
Human Resource Management; Subpart I (Currently Sec. Sec. 1301.31,
1304.21 Through 1304.23, 1304.51, 1304.52, 1306.20 Through 1306.23, and
1306.33)
In this subpart, we propose to redesignate, update, and combine all
current regulations related to human resources management into one
coherent section. We believe this will increase transparency and
clarify human resources management for programs. Topics related to
human resources were included in multiple sections within the existing
rule, including Sec. Sec. 1301, 1304.52, 1306.20(f) and 1306.21. In
addition to this broad restructuring, we propose to universally apply
several concepts to the revisions to this section. Specifically, we
propose to move away from requiring written plans and prescribing how
specific requirements should be achieved in order to give greater
flexibility to programs in determining the best way to meet the
expectations we retain.
These universal themes are reflected in this subpart through the
proposed revisions to the written personnel policy requirements, the
proposed removal of staff qualifications that were not easily
measurable, and the proposed retention of requirements that all staff
adhere to appropriate standards of conduct and all staff and
consultants have sufficient knowledge, training, and experience to
fulfill the roles and responsibilities of their positions to ensure the
delivery of high quality services. We also propose to increase many
staff qualifications as required by the Act and improve the focus of
professional development for education staff, which will further
improve program quality.
Section 1302.90 Personnel Policies
In this section, we propose to redesignate, consolidate, and update
provisions from Sec. Sec. 1301.31, 1304.52(i), and 1304.52(g).
Consistent with the principles described above, we propose to remove
Sec. 1304.52(j) of the existing rule, which prescribed a process for
conducting staff appraisals. While we believe that conducting annual
staff appraisals is good managerial practice, we also acknowledge that
there may be other equally appropriate methods for staff supervision
and feedback, and therefore wish to provide programs with flexibility
on this process. Additionally, we propose to remove much of Sec.
1301.31(a) of the existing rule, which requires multiple written
policies and prescribes what those policies must include, because we
believe prescribing the content of these written policies causes undue
burden on programs and we believe it will be more efficient and
effective to give programs flexibility in meeting their managerial
requirements. Therefore, in this section we propose to retain the
requirement that programs establish written personnel policies and
procedures, but remove the prescription of the topics that those
policies and procedures must cover.
In this section, we also propose to retain and strengthen the
process for performing background checks on staff and standards of
conduct. We propose to largely retain the conceptual process for
recruiting and selecting staff (Sec. 1301.31(b)). Within this process,
however, we propose to highlight child safety as a top priority for the
Office of Head Start by strengthening the criminal background check
requirements to reflect revisions to the Act, align with a new ACF
resource guide called Caring for Our Children Basics (discussed below),
and complement the new background check requirements in the Child Care
and Development Block Grant (CCDBG) Act of 2014. The proposed
requirement would strengthen the background check process for staff in
Head Start programs by requiring both state/local/tribal and federal
criminal background checks, as well as clearance through available
child abuse and neglect and sex offender registries. Making this
requirement complement the new CCDBG requirement will minimize burden
on programs that operate with both Head Start and Child Care
Development Funds. In addition, the existing rule requires a background
check but does not require programs to act on that information. While
we do not propose to include Head Start specific prohibitions based on
the background checks, we do propose to require programs use the
disqualification factors their state licensing entities establish when
making employment decisions.
In paragraph (b)(3), to further protect children's safety, we do
propose to require programs provide justification for any hire where an
arrest, pending criminal charge, or conviction is present. The
strengthening of these proposed provisions aligns with a consistent
message from the federal government about the importance and
characteristics of high quality background checks, which are critical
to ensuring child safety in all early care and education settings. In
addition, because section 648A(e) of the Act now requires all staff to
have background checks completed prior to employment, we propose to
remove all of Sec. 1301.31(b)(2) and Sec. 1301.31(c) of the existing
rule because declarations and exclusions on such declarations are no
longer relevant. In paragraph (b)(4), we propose to further strengthen
background check requirements by requiring programs perform background
checks every five years for current staff.
Additionally, in paragraph (b)(5), with regard to hiring parents,
we propose to revise the language in the existing rule (Sec.
1304.52(b)(2)) and redesignate the provision to this section to reflect
that ``being qualified'' and being the best suited for a job are not
identical concepts and to increase local flexibility. We want to make
sure parents, and their parental status are considered in the hiring
process, but we do not want programs to believe they are required to
hire any parent who applies with appropriate qualifications, without
regard to the program's judgment of how well qualified that parent is
or the qualifications and experience of other applicants.
Under paragraph (c) of this section, we also propose to strengthen
the current standards of conduct (Sec. 1304.52(i)(1)) in this section
to align with the prohibited behaviors listed in a new ACF resource,
Caring for Our Children Basics, which is available on the OHS Web site.
Caring for Our Children Basics is a common set of recommendations,
which is intended to create a common framework to align basic health
and safety efforts across all early childhood settings. Caring for Our
Children Basics is based on Caring for
[[Page 35487]]
Our Children: National Health and Safety Performance Standards;
Guidelines for Early Care and Education Programs, Third Edition, a
document produced with the expertise of researchers, physicians, and
practitioners working with the American Academy of Pediatrics, American
Public Health Association, National Resource Center for Health and
Safety in Child Care and Early Education, and the Maternal and Child
Health Bureau in the Department of Health and Human Services. The
standards of conduct we propose to include strengthen the requirements
that ensure all staff, consultants and volunteers interact with family
and children with respect and that their actions support the best
interests and safety of all children. The standards are strengthened
specifically by the inclusion of an explicit prohibition on seclusion
and restraint and retain the existing protections for child and safety
related to standards of conduct in Sec. 1302.90(c).
Finally, in paragraph (d) of this section, we propose to
redesignate language from Sec. Sec. 1304.52(g) and 1306.20(f) in the
existing rule to reflect the importance of staff being able to
communicate with dual language learners and their families, either
directly or through interpretation or translation. We also clarify,
throughout the proposed rule that children for whom English is not
their first language are dual language learners, whereas their parents
and families (adults) are Limited English Proficient. Given the
proportion of dual language learners that Head Start programs serve, it
is critical that programs devote the necessary resources within their
management of human resources to provide high quality services to these
children and their families, and this includes ensuring the ability of
staff to communicate with them in their primary language.\242\ \243\
\244\
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\242\ Castro, D. C. & Espinosa, L. M. (2014). Developmental
characteristics of young dual language learners: Implications of
policy and practice in infant and toddler care. Zero To Three,
January, 2014.
\243\ Espinosa, L. (2010). Getting it right for young children
from diverse backgrounds: Applying research to improve practice.
Upper Saddle River, NJ: Pearson.
\244\ Hakuta, K. (1986). Mirror of language: The debate on
bilingualism. New York: Basic Books.
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Section 1302.91 Staff Qualification Requirements
In this section, we propose to redesignate Sec. Sec. 1304.52(b)
through (h) and 1306.21 to ensure that all staff qualification
requirements are centrally located within the rule. We propose to
remove Sec. Sec. 1306.21 and 1304.52(b)(1) to eliminate relying on
cross-referencing the Act for qualifications of classroom teachers.
Rather, we propose to incorporate language that reflects the
requirements of the Act, which include a minimum of an Associate's
Degree for all Head Start Teachers and an infant and toddler Child
Development Associate (CDA) for Early Head Start. This decision was
made because there are several intermediary requirements of the Act,
which are no longer in effect at the time of this NPRM, and to provide
clarity for programs on the requirements for all staff. The
requirements incorporated have been in effect since 2011 and 2012
respectively. While we propose to add the provisions dictating the
qualifications of teachers and assistant teachers, the requirements are
technically retained from the existing rule per the cross-reference to
the Act.
We propose additional revisions to increase staff quality. Building
on the section 648A of the Act's requirement of ``demonstrated
competencies'' for teachers, we propose to add key core competencies
for all teaching staff and home visitors to better support the delivery
of high quality education services. Specifically, we propose to require
that teachers demonstrate competencies needed to plan and implement
high quality learning experiences, effectively implement curriculum,
support a warm environment, and promote progress across the standards
in the Head Start Early Learning Outcomes Framework (Birth-5). In
paragraph (f), to create a minimum staff qualification for all home
visitors which we currently lack, we require that all home visitors
have, at a minimum, a home-based CDA credential. We recognize that the
Head Start and Early Head Start home visiting workforce is, in general,
very well qualified. However, 10 percent of our current workforce does
not hold at least a CDA, and given the complex skills necessary to be a
successful home visitor, we are motivated to address this shortfall. We
feel the home-based CDA offers the minimum level of training and
content necessary for home visitors to effectively help children and
families make progress on school readiness goals. We would like to
invite public comment specifically on this proposed change and whether
experts and practitioners would recommend setting an even higher
standard.
In addition, we propose to remove qualifications that were
especially nebulous or hard to determine during an interview process
like ``knowledge of'' and instead propose to rely on training and
experience, and, where possible, degrees, licenses or certificates.
Specifically, we propose to remove qualifications for family service,
health, and disabilities staff (Sec. Sec. 1304.52(b)(1), 1304.52(b)(4)
and (5), and 1304.52(b)(6)) because the requirements in the existing
rule were not meaningful or measureable, and because research does not
support the need for specific degrees. Therefore, we propose to require
programs ensure all staff and consultants have sufficient knowledge,
training, and experience to fulfill the roles and responsibilities of
their positions and deliver high quality services. We propose to revise
the requirements for qualifications of a fiscal officer in response to
feedback that programs of diverse sizes have diverse needs for fiscal
officers. The proposed revision would give programs greater flexibility
to assess their own needs and ensure that their fiscal officer is
qualified to meet those needs.
While we have not proposed in this NPRM to increase the
qualification requirements for teachers beyond what is in the Act, we
are specifically seeking public comment on whether all Head Start
teachers and potentially all Early Head Start teachers should be
required to have a bachelor's degree. The Institute of Medicine and
National Research Council recently issued a report entitled,
``Transforming the Workforce for Children Birth to Age Eight: A
Unifying Foundation.'' The report includes a specific recommendation
that ``comprehensive pathways and multiyear timelines at the
individual, institutional and policy level [be developed and
implemented] for transitioning to a minimum bachelor's degree
requirement, with specialized knowledge and competencies, for all lead
educators working with children birth through age 8.'' We believe the
proposed requirements in this section will ensure all teachers in Head
Start and Early Head Start will have the specialized knowledge and
competencies the recommendation includes. Further, we have clarified
that all training and professional development should be credit bearing
in section 1302.92 of this NPRM but do not require those credits lead
to a bachelor's degree. Currently, 71% of Head Start teachers have a
bachelor's degree, but only 27% of Early Head Start teachers have their
bachelor's. In Early Head Start, such a requirement would potentially
be complicated by the lack of a ``lead'' teacher in these classrooms.
Therefore, it is unclear whether all Early Head Start teachers should
have a bachelor's degree or if one teacher with a
[[Page 35488]]
bachelor's degree could be assigned greater responsibility and be
designated the ``lead'' educator for this purpose. As a result, rather
than increase the qualification requirements for all teachers in this
NPRM, we are asking for specific comments for whether and how more
teachers in both Head Start and Early Head Start should have a
bachelor's degree.
We are also specifically seeking public comments about specific
degree requirements that might be required for family service workers,
disabilities services staff, and health staff.
Section 1302.92 Training and Professional Development
In this section, we propose to revitalize requirements for staff
training and professional development so that resources are targeted to
support effective professional development strategies and the content
of such activities focus on the areas most important to supporting
elements of teacher and program practice that are most directly linked
to improved child outcomes. We instead describe a system of
professional development that must include research-based approaches
for all staff. We also propose to narrow the focus of professional
development for educational staff to a coordinated system of
professional development, the majority of which is delivered through
individualized coaching. In addition, the approach to family child care
providers has been revised to reflect that family child care providers
are educators and therefore need the same professional development
opportunities as center-based education staff. As a result, we removed
the list of requirements that reiterated the need for programs to train
family child care providers (Sec. 1304.52(l)(4) of the existing rule),
and included family child care providers in the overall system of
professional development.
We propose to improve the focus of the professional development and
training system and redesignate and revise language from Sec.
1304.52(l)(1) and (2) in the coordinated system of professional
development described in this section. In addition, we propose to add
more specific language around supporting education staff to develop the
core competencies necessary to better improve child outcomes, including
effective curricula implementation, content knowledge of the Head Start
Early Learning Outcomes Framework (Birth-5), providing effective
teaching and nurturing teacher-child interactions, supporting dual
language learners, addressing challenging behaviors, using child
assessment data to individualize child progress, and preparing children
for new programs. This more targeted training and professional
development reflects research that suggests such an approach has the
greatest impacts on quality.245 246
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\245\ Zaslow, M., Tout, K., Halle, T., Vick, J., & Lavelle, B.
(2010). Towards the identification of features of effective
professional development for early childhood educators: A review of
the literature. Report prepared for the U.S. Department of
Education.
\246\ Tout, K., Halle, T., Zaslow, M., & Starr, R. (2009).
Evaluation of the Early Childhood Educator Professional Development
Program: Final Report: Report prepared for the U.S. Department of
Education.
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Through the coordinated system of professional development we also
propose to add a new emphasis on utilizing intensive coaching as a
method for delivering effective professional development. We aim for
this to largely replace intermittent workshops and conferences, which
are not shown to lead to sustained improved practice. There is a
growing body of research supporting the effectiveness of intensive
professional development for implementing specific research-based
practices in early care and education settings.247 248 249
Recent research documents the emergence of coaching and other on-site,
intensive models of professional development as strategies to support
the application of teaching practices and overall quality improvement
in early care and education settings and find that coaching is
associated with improved teacher practice in the classroom and a
positive increase in classroom quality.250 251 In many
currently operating coaching systems, the coaching occurs on a weekly
or bi-monthly schedule, for less than one program year. Yet, most
programs do not have the staffing patterns to ensure that there is a
dedicated staff person who can conduct regular observations of teacher
practice and provide ongoing feedback and support to help them improve.
For this reason, we propose to require that all grantees employ expert
coaches or mentors who provide regular classroom, family child care, or
home based observations and feedback, but we do not propose to
designate a specific schedule. We also propose to require that such
observations and feedback be directed primarily at the implementation
of research-based practices and effective teacher-child interactions.
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\247\ Buysse, V., & Wesley, P.W. (2005). Consultation in Early
Childhood Settings. Baltimore, MD: Paul H. Brookes Publishing.
\248\ Tout, K., Halle, T., Zaslow, M., & Starr, R. (2009).
Evaluation of the Early Childhood Educator Professional Development
Program: Final Report: Report prepared for the U.S. Department of
Education.
\249\ Zaslow, M., Tout, K., Halle, T., Vick, J., & Lavelle, B.
(2010). Towards the identification of features of effective
professional development for early childhood educators: A review of
the literature. Report prepared for the U.S. Department of
Education.
\250\ Isner, T., Tout, K., Zaslow, M., Soli, M., Quinn, K.,
Rothenberg, L., Burkhauser, M. (2011). Coaching in early care and
education programs and Quality Rating and Improvement Systems
(QRIS): Identifying promising features. Child Trends.
\251\ Lloyd, C.M., & Modlin, E.L. (2012). Coaching as a key
component in teachers' professional development: Improving classroom
practices in Head Start settings. Administration for Children and
Families.
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We recognize that requiring intensive coaching models of
professional development may represent a significant increase in burden
for some programs, but we are convinced that it is an essential
component of raising the quality of educational services in Head Start
and improving child outcomes. Given the realities of limited resources,
the proposed revisions build in program flexibility to direct these
intensive services, at a minimum, to the teachers and education staff,
including teaching teams, who would benefit the most from intensive
professional development to improve the quality of their instruction
and teacher-child relationships. We do propose to require that
education staff who do not receive intensive coaching as an individual
or as part of a teaching team, at a minimum, continue to receive other
research-based professional development opportunities. Proposed
requirements in paragraph (c) are consistent with section 648A(a)(5) of
the Act which requires each Head Start teacher receive no less than 15
clock hours of professional development per year.
Finally, in paragraph (d), we propose requirements that ensure
local flexibility to develop an innovative approach to professional
development to better meet the needs of their staff. Specifically, we
allow programs to waive or significantly adapt the coaching strategy
requirements outlined in paragraphs (b)(4) and (5) of this section.
However, because high quality professional development is important for
child outcomes,\252\ we propose that a program that wished to develop
any variation of the approach outlined in this section work with
experts from a college, university, or research organization to develop
and evaluate the effectiveness of their system. We believe this
proposal provides critical flexibility
[[Page 35489]]
to drive innovation and growth in the field of professional
development, while also ensuring important safeguards for quality and
accountability.
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\252\ Zaslow, M., Tout, K., Halle, T., Vick, J., & Lavelle, B.
(2010). Towards the identification of features of effective
professional development for early childhood educators: A review of
the literature. Report prepared for the U.S. Department of
Education.
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Section 1302.93 Staff Health and Wellness
In this section, we propose to separate requirements for staff and
volunteers and to support consolidation of all human resources
requirements into subpart I. We propose to retain the provision that
requires programs to make mental health and wellness information
available to staff. A recent survey of Head Start staffs in one state
found diagnosed depression was more prevalent among Head Start staff
than national estimates, and suggested that depressive symptoms are
even more prevalent.\253\ Research has also demonstrated a link between
caregiver depression and stress, and poorer quality interactions with
children.254 255 256 257 Given this research, it is
important for programs to continue to provide supports for staff to
understand their own mental health needs and seek support as necessary,
as required by proposed paragraph (b).
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\253\ Whitaker, R.C., Becker, B.D., Herman, A.N., & Gooze, R.A.
(2013). Peer Reviewed: The Physical and Mental Health of Head Start
Staff: The Pennsylvania Head Start Staff Wellness Survey, 2012.
Preventing Chronic Disease, 10.
\254\ Hamre, B.K., & Pianta, R.C. (2004). Self-reported
depression in non-familial caregivers: prevalence and associations
with caregiver behavior in child-care settings. Early Childhood
Research Quarterly, 19(2), 297-318.
\255\ Pianta, R., Howes, C., Burchinal, M., Bryant, D.,
Clifford, R., Early, D., & Barbarin, O. (2005). Features of pre-
kindergarten programs, classrooms, and teachers: Do they predict
observed classroom quality and child-teacher interactions? Applied
Developmental Science, 9(3), 144-159.
\256\ Gilliam, W.S., & Golan, S. (2006). Preschool and child
care expulsion and suspension: Rates and predictors in one state.
Infants and Young Children, 19(3), 228-245.
\257\ Brennan, E.M., Bradley, J.R., Allen, M.D., & Perry, D.F.
(2008). The evidence base for mental health consultation in early
childhood settings: Research synthesis addressing staff and program
outcomes. Early Education and Development, 19(6), 982-1022.
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Section 1302.94 Volunteers
In this section, we propose to redesignate and slightly revise
Sec. 1304.52(k)(2) of the current rule related to the utilization of
volunteers, to support consolidation of all human resources
requirements into subpart I.
Program Management and Continuous Program Improvement; Subpart J
(Currently Sec. Sec. 1304.51, 1304.52, and 1304.60)
This proposed subpart enumerates program requirements for
management, high quality program operation, and continuous improvement.
It establishes the roles and responsibilities of the management system
(Sec. 1304.52(a) of the existing rule) and proposes to expand the
program planning process in Sec. 1304.51(a), (b), and (d) of the
existing rule to clarify how each aspect of quality improvement fits
into a cycle of continuous program improvement. Specifically, we
propose to describe how programs must establish, monitor progress, and
reevaluate and revise their goals for continuous program improvement.
In addition to this broad restructuring, several concepts were applied
universally to the proposed revisions to the program management and
continuous program improvement requirements enumerated in this subpart.
Specifically, we propose to move away from requiring written plans, and
prescribing how specific requirements should be achieved-leaving more
flexibility for programs to determine the best way to achieve their
goals, without reducing expectations about what the programs must
achieve. These universal themes are reflected throughout the proposed
revisions in this subpart.
We propose to revise the provisions to emphasize the role of
management in ensuring child safety and the provision of high quality
effective services that are responsive to child and family needs and
promote school readiness. We propose to replace existing requirements
for individual ``written plans'' with requirements that programs
implement continuous program improvement informed by the ongoing
analysis of data. While many programs may find that developing and
implementing written plans is necessary, these revised requirements
emphasize the outcomes rather than the processes selected by programs
to accomplish those outcomes.
In this section, we also propose to introduce new requirements for
the program's use of data within the cycle of continuous improvement to
establish, monitor, and revise program performance goals. Writ large,
these proposed revisions reflect the integration of the recommendations
offered by our Secretary's Advisory Committee on Head Start Research
and Evaluation.\258\ The Advisory Committee's vision for all Head Start
programs was that they become `learning organizations' which are
`systematically and consistently focused on outcomes' and are able to
use data and research to `develop and continually refine [services] to
ensure they are systematic, intentional, and intensive enough to
achieve their goals for children's school readiness and family well-
being'. The revisions proposed in this section are aimed at achieving
this vision and creating a system that ensures the continuous
improvement of all Head Start services, and thereby the outcomes of the
vulnerable children and families that Head Start programs serve.
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\258\ Advisory Committee on Head Start Research and Evaluation:
Final Report. (2012).
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Section 1302.100 In General
This section succinctly describes the requirements contained
herein, specifically that programs must implement program management
and an ongoing monitoring and self-improvement process that ensures
child safety, enables the provision of high quality services, and
ensures continuous program improvement.
Section 1302.101 Management System
In this section, we propose removing the enumeration of individual
management responsibilities (Sec. 1304.52(a)). Rather, similar to
Sec. 1304.5252(a) in the existing rule, we propose requiring programs
to ensure their management and delineated responsibilities within
management are governed by a system that enables the delivery of the
high quality services described throughout the NPRM. We also propose to
incorporate Sec. 1304.51(a) into our description of the implementation
of the management system by requiring regular and ongoing staff
supervision to support continuous program improvement.
In this section, we also propose to require programs establish
coordinated approaches to ensure professional development, services for
dual language learners, and services for children with disabilities are
fully integrated and supported throughout all aspects of the program.
We propose to require a coordinated approach to professional
development, because the strengthened requirements proposed in Sec.
1302.92 of this NPRM, necessitate adequate program planning to ensure
alignment of program performance goals and the content and strategies
applied to fulfill those requirements. Supporting the school readiness
of dual language learners also necessitates an informed and coordinated
approach.259 260 261 Young children who
[[Page 35490]]
are dual language learners are highly diverse \262\ and as such,
programs serving dual language children must be intentional and
coordinate what research tells us about dual language development with
program policies and practices.263 264 For example,
successful assessment of children requires understanding processes of
dual language development, the selection of valid and reliable
instruments, as well as communicating with families in order to
understand a child's experiences with two languages. Programs must hire
and train staff to work with children and families in ways that support
their school readiness. Given that nearly one-third of all children
served in Head Start in 2013 spoke a language other than English in the
home,\265\ it is critically important that programs plan for and apply
a coordinated approach across all elements of service provision to
ensure high quality services for these children and their families.
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\259\ Hakuta, K. (1986). Mirror of language: The debate on
bilingualism. New York: Basic Books.
\260\ Winsler, A., D[iacute]az, R.M., Espinosa, L., &
Rodr[iacute]guez, J. (1999). When Learning a Second Language Does
Not Mean Losing the First: Bilingual Language Development in Low-
Income, Spanish-Speaking Children Attending Bilingual Preschool.
Child Development, 70(2), 349-262.
\261\ Bialystok, E. (2001). Bilingualism in Development:
Language, Literacy, & Cognition. Cambridge: Cambridge University
Press.
\262\ Genesee, F., Paradis, J., & Crago, M.B. (2004). Dual
language development and disorders: A handbook on bilingualism and
second language learning. Baltimore: Paul H. Brookes.
\263\ Castro, D.C. & Espinosa, L.M. (2014). Developmental
characteristics of young dual language learners: Implications of
policy and practice in infant and toddler care. Zero To Three,
January, 2014.
\264\ Espinosa, L. (2010). Getting it right for young children
from diverse backgrounds: Applying research to improve practice.
Upper Saddle River, NJ: Pearson.
\265\ Head Start 2014 Program Information Report. http://eclkc.ohs.acf.hhs.gov/hslc/data/pir.
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Similarly, we propose to require a coordinated approach to
effectively serving children with disabilities and their families
because doing so effectively requires coordinated forethought,
planning, and intentionality with as well as entities outside of the
program. In addition, ensuring programs have appropriate facilities,
program materials, curriculum, instruction, staffing, supervision, and
partnerships to effectively serve this population can only be
adequately accomplished through a coordinated approach to program
management.
Finally, the Administration for Children and Families believes that
greater integration of Head Start data into broader State longitudinal
data systems is critical to helping states, Head Start grantees, and
school districts make informed policy decisions and improve program
instruction. As a key step to this effort, we propose a coordinated
approach to ensuring effective data systems and data governance.
Specifically, programs would be required to approach data system
management and data governance in a thoughtful and intentional way that
supports the overall management of Head Start data, including the
availability, usability, integrity, and security of data. Data
governance is both an organizational process and a structure. Data
governance should include a data governance body or council with clear
roles and responsibilities assigned to the group and to individual
members with ongoing feedback and communication from the agencies'
overall governing body and policy council; a framework for decision-
making and/or procedures about data management including how data
quality will be monitored; how data will be shared while protecting
privacy and confidentiality; a plan to execute those procedures; and an
accountability structure for meeting these requirements. These
procedures and structure are considered best practice in supporting
communication and collaboration among data systems and protecting
privacy while reducing staff burden and improving data quality. In
developing these procedures, Head Start grantees should work with the
Head Start State Collaboration Office and/or the state's Early
Childhood Advisory Council (HSSCO/ECAC), the State Educational Agency
(SEA), and other state coordinating bodies to allow for better
integration of Head Start data within State early childhood data
systems and sources and K-12 state longitudinal data systems, as
appropriate. Finally, grantees should align their data collection and
definitions with the Common Education Data Standards.
We recognize that in trying to meet statutory or Federal reporting
requirements, Head Start providers may use different data definitions
than the States' K-12 data system or other early education data systems
that could make integration more difficult. We invite public comment
specifically on potential areas where Head Start data may not be
aligned with other systems, and how to better align Head Start data
collection and definitions to facilitate data sharing.
Section 1302.102 Achieving Program Performance Goals
In this section, we propose to reorganize sections in the existing
rule (Sec. 1304.51(a), (b), and (d)) which describe goal setting with
respect to quality improvement to provide clarity and align with the
Designation Renewal System. We believe this reorganization better
conveys the importance of establishing goals for effective health and
safety practices, all elements of high quality service provision, and
continuous quality improvement for all programs, not just those with
identified quality issues or deficiencies. We also propose to require
that programs establish program performance goals for school readiness
that are aligned with the Head Start Early Learning Outcomes Framework,
state or tribal early learning standards as appropriate, and program
performance goals for the provision of education, health, nutrition,
and family and community engagement services.
In addition, we propose to expand the entire program planning
process to clarify how each aspect of quality improvement fits into a
continuous cycle and how programs must use each aspect for planning,
goal setting, and re-evaluating their goals. We believe this is
integral to improving the quality of service delivery. We also propose
to expand upon the current requirement for programs to establish
program performance goals, including school readiness goals and goals
for effective provision of comprehensive services, and monitor their
short- and long-term progress towards achieving these goals. However,
we propose to no longer require written plans as described in Sec.
1304.60 (c) through (f) of the existing rule. While we do propose to
require quality improvement plans in the face of deficiencies, or other
issues as prescribed by section 641(A) of the Act, we also propose to
require all programs establish goals and monitor their progress towards
those goals as well as their compliance with the performance standards.
We also propose to require programs to implement strategies for
achieving their goals and ensuring compliance and revise those
strategies over time to reflect their progress and shifting priorities.
In paragraph (c) of this section, we propose to introduce new
requirements for the program's use of data within the cycle of
continuous improvement to establish, monitor, and revise program
performance goals. Incorporating requirements that reflect the process
already established under part 1307, including that data must be
aggregated and analyzed at least three times per year, in the existing
rule clarifies the need for all programs to collect, aggregate, and
analyze data to achieve program performance goals and consistently work
to improve quality. This new emphasis on the use of data for the
purposes of program management and ongoing improvement is intended to
support improved efficiency and effective operations. Using data in
this way will allow programs to develop individualized
[[Page 35491]]
responses and manage their resources more efficiently.\266\
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\266\ Landry, S. H., Anthony, J. L., Swank, P. R., & Monseque-
Bailey, P. (2009). Effectiveness of comprehensive professional
development for teachers of at-risk preschoolers. Journal of
Educational Psychology, 101(2), 448.
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While the concept of written plans (Sec. 1304.60(c) through (f))
was generally removed to allow programs to focus more on implementing
improvements than plans, paragraph (d) of the proposed rule does retain
reporting requirements and quality improvement plans for programs when
certain deficiencies or other problems arise to ensure needed
accountability. We also propose to redesignate and revise concepts from
Sec. 1304.52(a)(1)(ii) and (iii) of the existing rule in this section
to require that any deficiencies in quality or compliance be reported
and corrected and that procedures be put in place to prevent
recurrence, and we strengthen this provision to include the reporting
and immediate correction of any health and safety incidents.
Additionally, this proposed section clearly delineates the expected
content of both program annual self-assessments and public reports to
include program community needs assessments. Collectively, these
proposed requirements reflect the goal of achieving quality
improvement, but hold programs accountable for improving rather than
simply planning.
Section 1302.103 Implementation of Program Performance Standards
In this section, we propose a requirement that programs develop a
program-wide approach for preparing for and implementing the extensive
changes to the program performance standards proposed throughout this
NPRM. Specifically, we propose to require current grantees implement an
approach that ensures the timely and effective implementation of the
changes. Each program's approach must include at a minimum, the
purchase of and training on any curriculum, assessment, or other
materials, assessment of professional development needs and staffing
patterns, the development of coordinated management approaches, the
development of appropriate protections for the privacy of child
records, and provision of transition services, as needed, for children
leaving Early Head Start or Head Start at the end of the program year
as a result of any slot reductions. The effective date for the majority
of the proposed changes in this NPRM has been set for one full program
year following the publication of this NPRM. Therefore, programs must
ensure that children currently being served are not displaced from the
program during a program year. Finally, programs may petition the
responsible HHS official for a one year extension in meeting the
criteria described in Sec. Sec. 1302.21 through 1302.23 if such an
extension is necessary to ensure no currently enrolled children are
displaced. These proposed requirements will ensure faithful and timely
implementation of the performance standards, without unnecessary
enrollment disruptions, and that every program is poised for successful
quality improvement.
Financial and Administrative Requirements; Part 1303 (Currently
Sec. Sec. 1301, 1303, 1309, and 1310)
This part lays out the financial and administrative requirements
for agencies currently included in Sec. Sec. 1301, 1303, 1309 and
1310.
Sec. 1303.1 Overview
In this section we summarize the subparts that comprise part 1303
and reference the statutory requirements that serve as the basis for
these regulations. Subpart A outlines the financial requirements
consistent with sections 640(b) and 644(b) and (c) of the Act. Subpart
B specifies the administrative requirements consistent with sections
644(a)(1), 644(e), 653, 654, 655, 656, and 657A of the Act. Subpart C
implements the statutory provision at section 641A(b)(4) of the Act
that directs the Secretary to ensure the confidentiality of any
personally identifiable data, information, and records collected or
maintained. Subpart D prescribes regulations for the operation of
delegate agencies consistent with section 641(A)(d) of the Act. Subpart
E implements the statutory requirements in section 644(c), (f), and (g)
of the Act related to facilities. Subpart F prescribes regulations on
transportation consistent with section 640(i) of the Act.
Financial Requirements; Subpart A
In this subpart, we propose to reorganize, revise, and streamline
the financial requirements currently in part 1301, subparts A, B, C,
and D. We also propose to move provisions or sections, such as
personnel policies, that fit more logically in other sections of our
proposed structure. We also remove provisions currently in part 1301;
for example, we propose to eliminate specific Head Start regulations,
such as audit requirements, when there are related government-wide
regulations for all federal grants. The purpose of these changes is to
organize the requirements in a more logical order, conform to recent
changes in regulations that govern all federal grants, and reduce the
administrative burden on agencies.
To summarize the reorganization, we propose to move the existing
requirement in Sec. 1301.32 on development and administrative cost
limitations to the proposed subpart A where we have the requirements on
federal financial assistance and non-federal share match because all of
these provisions pertain to financial requirements on agencies. We
propose to move the requirement in the existing Sec. 1301.11 related
to insurance and bonding to the proposed subpart B, Administrative
Requirements. We move the content of Sec. 1301.31 on personnel
policies to the proposed part 1302 subpart I, where we consolidate
requirements pertaining to Human Resource Management. We also propose
to move grantee appeals addressed in the current Sec. 1301.34 to the
proposed part 1304 on Federal Administrative Procedures.
Lastly, the most significant change to this subpart is that we
propose to remove the existing requirements on the annual audit and the
accounting system certification in Sec. 1301.12 and Sec. 1301.13
respectively for two reasons. First, we propose to remove Sec. 1301.12
to conform to the Uniform Administrative Requirements, Cost Principles
and Audit Requirements for Federal Awards, which requires a Single
Audit for all programs receiving more than $750,000. This new
requirement supersedes the requirement in the existing Sec. 1301.12
that all Head Start grantees have an annual audit. The result of this
change is that a very small number of Head Start programs will not be
required to have an audit. Second, we propose to remove the accounting
system certifications in current Sec. 1301.13 because it is not
something an independent auditor can reasonably do under their
professional standards. In fact, this provision has not been enforced
since 2012 because of this conflict so this change codifies what is
done in practice.
In this subpart, we propose to include the current list of
applicable regulations for all grants made under the Act; the
requirements related to federal financial assistance, the non-federal
share match, and waivers; and the limitations on development and
administrative costs. We discuss key issues with each section according
to the structure we propose.
Section 1303.2 In General
We propose to make minor changes to the existing Sec. 1301.1 for
purposes of updating and streamlining the language.
[[Page 35492]]
Section 1303.3 Other Requirements
In this section, we propose to update the list of relevant
regulations that apply to all grants made under the Act. We propose to
remove 45 CFR part 74 and part 92 from the list since the Uniform
Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards now supersedes it. Since 45 CFR part 74 is
superseded, we have removed current Sec. 1301.10(b)(1) and (2), which
reference this provision.
We propose to add five regulations to the current list of federal
regulations applicable to all grant awards. The five we propose to add
are not new requirements and are already included in the Terms and
Conditions on grantees' Notice of Award, but we add them to update this
list and be transparent.
(1) 2 CFR part 170: FFATA Sub-award and Executive Compensation:
Head Start awards are subject to the Federal Financial Accountability
and Transparency Act sub-award and executive compensation reporting
requirements (FFATA).
(2) 2 CFR 25.110: CCR/DUNS requirement: The Dun and Bradstreet Data
Universal Numbering System (DUNS) number is a required universal
identifier for applicants, recipients and direct sub-recipients of
federal financial assistance. The Central Contractor Registration (CCR)
is the repository for standard information about applicants and
recipients.
(3) 45 CFR part 30: HHS Standards and Procedures for Claims
Collection apply should ACF have to pursue the collection of debt from
an existing or former grantee.
(4) 45 CFR part 87: Equal Treatment for Faith Based Organizations,
which requires that Faith Based Organizations are permitted to receive
funding without discrimination and prohibits them from engaging in
``inherently religious activities'' as part of the program or services
HHS funds.
(5) 45 CFR part 75: Uniform Administrative Requirements, Cost
Principles and Audit Requirements for Federal Awards, effective
December 26, 2013, consolidates a number of other regulations into one
comprehensive guide for administering grants.
Section 1303.4 Federal Financial Assistance, Matching and Waiver
Requirements
In this section, we propose to combine and streamline requirements
currently included in Sec. Sec. 1301.20 and 1301.21. This approach
consolidates the financial assistance, non-federal share match, and
waiver requirements into one section. We are not proposing any policy
changes but rather clarifying, while still conforming to the Act, and
removing outdated requirements. Specifically, we propose to clarify
that the non-federal share match is 20 percent for each budget period
of the five-year project period. We reference the Act for the list of
circumstances the Secretary can consider when approving a waiver of
non-federal share match, rather than using the more narrow approach in
the existing regulation. We remove requirements at Sec. Sec.
1301.20(a)(2) and (3), 1301.20(b), and 1301.20(c) related to federal
financial assistance because they are outdated or unnecessary because
the requirement is specified in the Act.
Section 1303.5 Limitations on Development and Administrative Costs
This section addresses the limitations on development and
administrative costs currently in Sec. 1301.32. As noted, we propose
to move the existing requirement to the proposed subpart A where we
have the requirements on federal financial assistance and non-federal
share match because all of these provisions pertain to financial
requirements on agencies. In accordance with section 644(b) of the Act,
we retain the current requirement that agencies must not exceed the 15
percent administrative cap on development and administration, unless
the responsible HHS official grants a waiver.
Under section 644(b) of the Act, the Secretary shall establish
criteria for determining (1) the costs of developing and administering
a program and (2) the total costs of such a program. Under this
authority, we propose a much more simplified and streamlined approach
that requires grantees to categorize, identify, and allocate costs for
determining whether they meet the 15 percent administrative cap. In
contrast to current Sec. 1301.32(b) through (f), which weaves together
compliance requirements, definitions, and explanations, our proposed
approach lays out a clear and concise process for agencies to analyze
which of their costs relate to development and administration.
Specifically, grantees must: (1) Determine the costs of developing and
administering their programs, (2) categorize costs as development and
administrative versus program costs, (3) identify and allocate the
portion of dual benefit costs that are for development and
administration; (4) identify and allocate the portion of indirect costs
that are for development and administration versus program costs, and
(5) delineate all development and administrative costs in the grant
application and calculate the percentage of total approved costs
allocated to development and administration. We propose definitions of
development and administrative costs, program costs, and dual benefit
costs consolidated in part 1305, to assist grantees in that process.
In paragraph (b), we propose to implement section 644(b) of the Act
and to simplify the requirements in the existing Sec. 1301.32(g)
pertaining to waivers of the 15 percent administrative cap. We propose
to combine the circumstances under which a waiver will be considered
into more broadly-stated conditions. We also add language that the
responsible HHS official may grant a waiver if an agency is unable to
administer the program within the 15 percent administrative cap.
Administrative Requirements; Subpart B
In this subpart, we propose to include the general requirement in
the existing Sec. 1301.30 related to agency conduct; the limitations
and prohibitions to which agencies must adhere; and the requirements
for insurance and bonding.
Section 1303.10 In General
We propose to revise and redesignate the language in the existing
Sec. 1301.30 with minor changes to better conform to Section 644(a)(1)
of the Act.
Section 1303.11 Limitations and Prohibitions
For purposes of clarity and in response to questions from the
field, we propose to reference a number of sections in the Act that
place limitations or prohibitions on agencies. These are not new
prohibitions because they are included in the Act, but we propose a
section that references all of them in one single place. These include
prohibitions on using Head Start funds to assist, promote or deter
union organization (section 644(e) of the Act); compensating employees
in excess of the rate payable for level II of the Executive Schedule
(section 653 of the Act); using Head Start funds to pay the contracted
costs of construction in excess of $2,000 where Davis-Bacon Act
compliance is not required by the terms of the contract (section
644(g)(3) of the Act) discriminating on the basis of race, creed,
color, national origin, sex, political affiliation, beliefs, or
disability (section 654 of the Act); conducting unlawful
demonstrations, riots or civil disturbances (section 655 of the Act);
engaging in political activity or voter registration activities
(section 656 of the Act); and administering nonemergency intrusive
physical examinations of a
[[Page 35493]]
child without parental consent (section 657A of the Act).
Section 1303.12 Insurance and Bonding
We propose to take a different approach to the requirement on
insurance and bonding than the existing requirement at Sec. 1301.11.
We propose to remove specific requirements for student accident
insurance, liability insurance for accidents on agencies' premises, and
liability insurance for transportation--which actually represent an
incomplete list of major risk areas--and instead require grantee to
maintain a documented process to ensure identification of risks and
provide proof of appropriate coverage in their application. Requiring
grantees to assess their own risks and determine appropriate cost-
effective coverage is a less prescriptive approach than the current
regulation.
We also propose requiring agencies, as part of the process of
identifying risks, to consider the risk of losses resulting from
fraudulent acts by individuals authorized to disburse Head Start funds
and to maintain adequate fidelity bond coverage if they have
insufficient coverage to protect the federal government's interest. In
2 CFR 200.304 of the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements, federal awarding agencies can
include a provision on bonding in specific circumstances, and one such
circumstance is when the non-federal entity lacks sufficient insurance
to protect the federal government's interest. We are invoking the
authority provided in 2 CFR 200.304 to require agencies to maintain
adequate fidelity bond coverage in this circumstance.
Protections for the Privacy of Child Records; Subpart C
In this subpart, we propose new performance standards designed to
protect the privacy of children and families Head Start programs serve.
Families entrust Head Start programs with their personal information
and expect programs will use the information to serve their needs
effectively and efficiently. Section 641A(b)(4) of the Act requires the
Secretary to promulgate regulations that provide policies, protections,
and rights equivalent to those in section 444 of the General Education
Provisions Act,\267\ also known as the Family Educational Rights and
Privacy Act or FERPA, in order to, ensure the confidentiality of any
personally identifiable data, information and records collected or
maintained by any program. FERPA applies to an educational agency or
institution that receives funds under a program administered by the
U.S. Department of Education. This includes virtually all public
schools and school districts and most private and public postsecondary
institutions, including medical and other professional schools.\268\
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\267\ See 20 U.S.C. 1232(g).
\268\ See 34 CFR 99.1(d).
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FERPA requires written consent from parents in order to disclose
personally identifiable information (PII) from education records,
unless the disclosure meets an exception to FERPA's general consent
requirements. FERPA recognizes that the benefits of using student data
must always be balanced with the need to protect student privacy.
Educational agencies and institutions must implement FERPA in a way
that protects the privacy of education records while allowing for the
effective use of data.
FERPA gives parents certain rights with respect to their children's
education records. For example, parents have the right to inspect and
review their child's education records. Parents also have the right to
request that a school correct records which they believe to be
inaccurate or misleading. If the school decides not to amend the
record, the parent then has the right to a formal hearing. If, after
the hearing, the school still decides not to amend the record, the
parent has the right to place a statement with the record setting forth
his or her view about the contested information. In addition to giving
parents certain rights, FERPA requires educational institutions and
agencies to notify parents of students currently in attendance, of
their rights annually.
FERPA defines education records as those records that are: (1)
Directly related to a student; and (2) maintained by an educational
agency or institution, or by a party acting for the agency or
institution. Immunization and other health records, as well as records
on services and accommodations provided to a student that are directly
related to a student under 18 and maintained by an elementary or
secondary school, are classified as education records under FERPA.
Schools often have legitimate educational reasons to authorize third-
parties to access these education records, for purposes such as
communicating with parents, improving the effectiveness of education
programs, to identify gaps in student services, and reasons as simple
as providing secure data storage.\269\ In addition to FERPA, Parts C
and B of the IDEA include specific confidentiality provisions
applicable to the personally identifiable information in early
intervention and education records of infants, toddlers, and children
with disabilities.
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\269\ See http://ptac.ed.gov/sites/default/files/LEA%20Transparency%20Best%20Practices%20final.pdf.
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We broadly address privacy and confidentiality in our current
performance standards. In Sec. Sec. 1304.51(g) and 1304.52(1)(i), we
require programs to establish record-keeping systems that keep
information confidential and we require programs to ensure staff follow
confidentiality policies. However, we do not provide programs with
conditions to permit the disclosure of PII in their education records
to balance privacy and effective use of data. In this NPRM, we propose
standards that provide parents with certain rights with respect to
their child's education records and programs with permissions to
disclose personally identifiable information in the absence of written
consent from parents equivalent to those in FERPA that are appropriate
for Head Start programs. However, instead of using the term ``education
records'' as defined by FERPA, we use the term ``child records'' to
reflect the population we serve. Additionally, unlike FERPA, we do not
include a commonly used provision to disclose directory information
without parental consent and programs must provide parental notice and
opportunity to refuse when disclosing PII to officials at a school in
which a child intends to enroll. If a Head Start program is governed by
FERPA and/or IDEA, programs must comply with those provisions in
addition to the Head Start proposed regulations and those provisions
take precedence over the Head Start provisions when they differ.
We note that under the Privacy Rule under the Health Insurance
Portability and Accountability Act and the statutory and regulatory
provisions under FERPA, there are Federal complaint procedures for
consumers and parents to seek to enforce the confidentiality
requirements of those laws. Additionally, under the IDEA, States must
establish State complaint procedures under which parents may enforce
specific provisions including the IDEA confidentiality provisions.
While we considered proposing such procedures, it was unclear whether
they would be necessary or reasonable within the structure of Head
Start. The Office of Head Start currently has in place a monitoring
system that is aligned with a comprehensive five year
[[Page 35494]]
continuous oversight plan that includes a review of complaints, parent
interviews and on-site reviews. The Office of Head Start also has a
system in place for handling parent complaints, which is currently
undergoing improvements to streamline the process of resolving
complaints. Additionally, we provide the parent with other rights in
other sections of the Head Start standards. Although existing
enforcement mechanisms have been sufficient to for existing provisions,
we expressly invite comment on whether additional enforcement
procedures need to be codified in our provisions for the new
requirements regarding maintaining the privacy of children and families
in Early Head Start and Head Start programs under this section.
Section 1303.20 In General
Our approach in this section is different from our approach in the
existing rule. Currently, we require programs to focus on record
keeping and privacy without providing additional provisions to describe
how to balance privacy and disclosure. In this section, we set the
stage for programs to ensure the protection of the confidentiality of
any personally identifiable information in child records consistent
with the expanded section on parental consent, parent rights, and
recordkeeping. Specifically, we propose to require programs to
establish procedures that protect the privacy of child records and that
allow appropriate disclosure of personally identifiable information
from child records for valid educational purposes while ensuring that
there are policies, protections, and rights, equivalent to those
provided to a parent, student, or educational agency or institution
under section 444 of the General Education Provisions Act (20 U.S.C.
1232g).
Section 1303.21 Program Procedures--Applicable Confidentiality
Provisions
In this section, we propose provisions for programs where FERPA
and/or IDEA apply. If FERPA and/or IDEA apply, we propose to require
programs comply with those provisions in addition to the Head Start
requirements described in this section. Further, we propose a
requirement that FERPA and/or IDEA provisions take precedence over the
Head Start proposed regulations for the specific programs or children
to which they apply. In addition to the IDEA, FERPA, and Head Start
regulations, state privacy laws may apply if they afford parents
additional privacy protections.\270\
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\270\ See https://www2.ed.gov/policy/gen/guid/ptac/pdf/idea-ferpa.pdf.
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Section 1303.22 Disclosures With, and Without, Parental Consent
In this section, we propose minimum provisions programs must
include in the protection of the privacy of child records and data
sharing procedures. In paragraph (e), we propose programs notify
parents of their rights under this subpart annually. In paragraph (a),
we also propose programs obtain parents' written consent before they
disclose personally identifiable information from child records,
subject to the exceptions contained in paragraph (b) and (c).
In paragraph (b) and (c), we propose eight exceptions to permit
programs to disclose PII from child records to third parties in the
absence of written consent if conditions are met. Briefly described,
these exceptions are to: (1) Officials in a program, school, or school
district where the child seeks or intends to enroll or where the child
is already enrolled so long as the disclosure is related to purposes
related to the child's enrollment or transfer, if the parent is
notified and given an opportunity to refuse; (2) officials within the
program or acting for the program, if the program determines the
official has legitimate educational interests and informs parents of
the provision at enrollment; (3) authorized representatives of local,
state or federal entities in connection with an audit or evaluation of
a Federally or State-supported education, including early childhood,
program (e.g. the Head Start program, Race to the Top-Early Learning
Challenge program, a state preschool program funded under preschool
development grants), or for enforcement or compliance with the federal
legal requirements of the program so long as the official agrees in
writing to protect PII; (4) organizations that conduct research to
improve child and family outcomes, including improving the quality of
programs, for, or on behalf of the program so long as the organization
agrees in writing to protect PII; (5) appropriate parties in order to
address a disaster or other health or safety emergency, which is
limited to the period of the emergency; (6) comply with a judicial
order or lawfully issued subpoena, provided the program makes a
reasonable effort to notify the parent in advance of the compliance
therewith unless the court has ordered that neither the subpoena nor
its contents be disclosed or if the parent is a party involved in the
court proceeding involving child abuse and neglect or dependency
matters; (7) the Secretary of Agriculture or an authorized
representative from the Food and Nutrition Services to conduct program
monitoring or evaluation for the Child and Adult Care Food program; and
(8) a caseworker or other representative from a state, local, or tribal
child welfare agency, who has the right to access a child's case plan
so long as the representative agrees in writing to protect PII.
Notably, a provision is not included to permit the disclosure of
designated ``directory information.'' Although directory information is
generally considered not harmful or an invasion of privacy under FERPA,
we are concerned that there could be disclosures of directory
information that would be considered harmful or an invasion of privacy
to the sensitive populations we serve. Consistent with section 1303.21,
Head Start programs governed by FERPA would be able to exercise the
right to disclose appropriately designated ``directory information''
without consent. We invite comment on the exclusion of the right to
disclose appropriately designated directory information without
parental consent for Head Start programs not governed by FERPA.
In paragraph (d), we propose procedures for written agreements if a
program establishes a written agreement with a third party identified
in paragraph (c). This requirement only applies if a written agreement
is made with a third party. For example, in the case of an emergency, a
written agreement does not need to exist with the third party.
In paragraph (e), we propose annual notice requirements that notify
parents of their rights described in Sec. 1303.20 through 1303.24, and
applicable definitions in 1305. A description of PII that may be
disclosed without parental consent must be included in the annual
notice. We invite comment on the burden of the annual notice.
Section 1303.23 Parents' Rights
In this section, we focus on parents' rights. We recognize that
parents have a general right to control the disclosure of their
children's records, and in that vein, in paragraph (a), we propose that
programs give parents the right to inspect information contained in
their child's records. This right to confirm information aligns with
FERPA and, in paragraph (b), would allow parents to ask programs to
amend inaccurate information that the parents believe is inaccurate,
misleading, or violates the child's privacy and, if necessary, to
challenge information at a hearing
[[Page 35495]]
which will be scheduled within a reasonable timeframe under paragraph
(c). If parents are still not satisfied with information in their
child's records, we propose to require programs to allow parents to
place a statement in their child's record that explains why they
disagree with the information. We propose to require that programs
maintain these statements with children's records for as long as
programs maintain the child's records. In paragraph (d), a parent has
the right to a copy of an initial record, free of charge, of child
records disclosed with parental consent and, upon request, an initial
copy of child records disclosed to third parties under one of the
exceptions to parental consent. In paragraph (e), a parent has the
right to review any written agreements with third parties as provided
under section 1303.22 (d).
Section 1303.24 Maintaining Records
We propose recordkeeping requirements in this section. We propose
programs maintain, with each child's record, a list of all individuals,
agencies, or organizations that have requested or obtained access to
PII from child records. The list must indicate the expressed interests
that each person, agency, or organization had to obtain this
information. Recordkeeping of disclosures to program officials or
parents are not required since it would be too burdensome for Head
Start programs. We also propose to require programs ensure that only
parents, officials, and appropriate staff have access to records.
Delegation of Program Operations; Subpart D
We propose to establish a new subpart that consolidates current
requirements for the delegation of program operations into one section
and revises or removes existing requirements to conform to the Act.
Section 641A(d) of the Act requires agencies to establish procedures
relating to its delegate agencies and provides further specifics
related to evaluation, corrective actions, and terminations. Our
proposed subpart D aligns with the Act and is organized into four
sections.
Section 1303.30 In General
In this section, we lay out the clear expectation that a grantee is
accountable for the provision of quality services in their delegate
agencies. The grantee retains legal authority and financial
accountability for the program when services are provided by delegate
agencies. It is the responsibility of the grantee to support and
oversee delegate agencies and ensure they provide high quality services
to children and families and meet all applicable regulations. A grantee
may not terminate without showing cause and must establish a process
for delegate agencies to appeal, which is discussed in more detail in
Sec. 1303.33.
Section 1303.31 Determining and Establishing Delegate Agencies
We propose to add a new requirement in paragraph (a) of this
section. We require an agency that enters into an agreement with
another entity to serve children to determine if the agreement meets
the definition of ``delegate agency'' in section 637(3) of the Act. The
rationale for this added requirement is to provide an important
clarification. If an entity meets the definition of delegate in the
Act, it is a delegate, regardless of what a grantee calls the entity to
which it has delegated all or part of the responsibility for operating
the program. In paragraph (b) we propose to streamline and move the
current requirement in Sec. 1301.33. It states that federal financial
assistance is not available for program operations that a grantee
delegates unless there is a written agreement the responsible HHS
official has approved.
Section 1303.32 Evaluation and Corrective Action for Delegate Agencies
In this section, we include the requirements in section 641A(d) of
the Act with respect to the evaluation of delegate agencies and
corrective actions in the event of a deficiency.
Section 1303.33 Termination of Delegate Agencies
We propose to clarify in this section that an agency can terminate
a delegate agency on the basis of cost-effectiveness or showing cause.
An agency cannot terminate a delegate agency without showing cause, and
the decision to terminate cannot be arbitrary or capricious. To align
with section 641A(d)(1)(C) of the Act, we require grantees to establish
procedures for defunding a delegate agency, and for a delegate agency
to appeal a defunding decision and ensure the process is fair and
timely.
We propose to remove the appeal procedures for delegate agencies
currently in part 1303 subpart C for several reasons. First, in both
the Designation Renewal System and this proposed subsection, we make
clear our expectation that the grantee is accountable for the services
their delegate agencies provide to children and families. However, we
believe grantees must have the necessary tools at their disposal to
remove delegate agencies in order to meet that expectation and be held
accountable. We think the current system inappropriately ties the hands
of grantees and has become overly bureaucratic. Second, we think timely
action to resolve issues with delegates is critical, and the
Designation Renewal System and the reality of five-year grants require
a swifter pace to resolution. We do require grantees to inform the
responsible HHS official of the appeal and the decision.
Facilities; Subpart E (Currently Part 1309)
In this subpart, we propose to prescribe what a grantee must do to
show it is eligible to purchase, construct and renovate facilities as
outlined at section 644(c), (f) and (g) of the Act. We arrange the
application process chronologically to make it clear for grantees and
we propose requirements for grantees that protect federal interest in
facilities purchased, constructed or renovated with grant funds.
This subpart differs from part 1309 in three key ways. First, it
clarifies what is required in an application to use Head Start funds
for purchase, construction or major renovation of facilities and
organizes these elements in a logical, sequential and transparent way.
We believe our proposed application process makes it easier for
grantees to use and better aligns with existing grants analysis
procedures. Second, it clearly states and logically organizes all
relevant information and requirements for protecting the federal
interest under a broad variety of circumstances, recognizing that
grantees have evolved to increasingly complex facilities funding and
development activities. Third, it removes requirements that are not
Head Start-specific but rather are overarching requirements for
managing federal grants and aligns all remaining provisions with the
Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards.
We also propose to define federal interest in part 1305. The
purpose of the definition is to clarify the term, describe the funding
agency rights created by a federal interest in accordance with existing
Departmental Appeals Board and judicial decisions, and note that funds
spent on facilities are subject to the non-federal share match. The
federal government has an interest in all real property and equipment
grantees purchase with grant funds. Additionally, part 1309 currently
has explanations and information related to federal interest woven
throughout different sections. Grantees have
[[Page 35496]]
reported difficulty understanding these provisions. We propose a
detailed definition of federal interest to clarify the concept and
consolidate the explanation in one place. We discuss major issues we
propose in each section below.
Section 1303.40 In General
In this proposed section, we clarify that this subpart applies to
major renovations. We explain that these provisions apply only to minor
renovations and repairs when they are included in a purchase and are
part of the purchase costs.
Section 1303.41 Approval of Previously Purchased Facilities
The current regulation does not have language on refinancing. But
as interest rates have fallen, grantees have asked us for permission to
apply for more advantageous loan terms. In this section, we implement
section 644(f) of the Act and we propose to expand on current Sec.
1309.2 and allow grantees that have purchased facilities beginning in
1987 and that continue to pay purchase costs or seek to refinance
indebtedness to apply for funds to meet costs associated with
refinancing. We have also received questions from the field about
whether interest is part of purchase costs. We propose to clarify that
a purchase includes both principle and interest payments in accordance
with section 644(g)(2) of the Act.
Section 1303.42 Eligibility To Purchase, Construct, and Renovate
Facilities.
Current Sec. 1309 has separate sections that prescribe what
grantees must show to be eligible to construct or renovate a facility.
However, part 1309 does not address what a grantee must show to
purchase a facility. In this section, we propose to consolidate these
requirements, including purchases, into a single uniform set of
eligibility criteria we believe would be easier for grantees to
understand and for federal staff to evaluate. We also modify one
eligibility criterion to clarify that grantees applying for funds to
purchase, construct or renovate a facility must establish that the
facility will be available to Indian tribes, rural or other low-income
communities, which is less restrictive than current Sec. 1309 but more
aligned with the Act.
Section 1303.43 Use of Grant Funds To Pay Fees
In this section, we revise and redesignate current Sec. 1309.43
and propose to clarify the type and extent of pre-project costs, such
as project feasibility studies and professional fees, we may approve
before a grantee applies for funding to purchase, construct, and
renovate facilities. We also move these provisions up in the regulation
to better follow the normal flow of how projects are developed and to
bring it to the attention of grantees considering facilities projects.
We believe these changes will help grantees better decide whether they
are eligible to apply for additional funding.
Section 1303.44 Applications To Purchase, Construct, and Renovate
Facilities
In this section, we propose to reorder the process grantees must
use to apply for funds in a more logical sequence based on the normal
flow of how facilities projects are developed, implemented, and
completed. In the current regulation, there are provisions that require
licensed engineers or architects to certify that facilities are
structurally sound and comply with licensing and other requirements in
separate paragraphs. We propose to group these provisions under one
paragraph in this section. We also propose to retain language that
allows the responsible HHS official to request additional information
for unique individual projects in paragraph (a)(13).
Section 1303.45 Cost Comparison To Purchase, Construct, and Renovate
Facilities
We currently require grantees to compare costs to renovate, to
lease an existing facility, or to construct a new facility to determine
which activity would be most cost effective to meet program needs.
Grantees must demonstrate that they have compared costs and weighed
options so we know our investment in a particular facility activity is
cost-effective and service-relevant.
In this section, we propose to allow grantees greater flexibility
to describe projects and to compare costs to other alternatives within
their service areas. We approach this section differently than we
currently do in Sec. 1309.11. Cost comparison requirements in Sec.
1309.11 are unclear. Consequently, grantees often submit substantial,
and sometimes, unnecessary information that does not give us a
comprehensive picture of the relationship between the facility activity
proposed and the quality of services to children and families. What we
propose in this section strengthens the relationship between the cost
justification and the project. We also believe what we propose here
ensures the best use of federal funds and encourages grantees to make
decisions about facilities based on the needs of the communities and
the families they serve.
Section 1303.46 Recording and Posting Notices of Federal Interest
In this section and the following section respectively, we propose
to revise and redesignate current part 1309 subpart C--protection of
federal interest, and to clarify when grantees must file notices of
federal interest and what the notices must contain. We intend to
mitigate any risk of property loss in a facility transaction and to
keep the facilities purchased with federal funds for Head Start
purposes. We explain that grantees must file notices in the official
real property records in their jurisdiction. We also propose to
consolidate facilities activities, including modular units previously
covered in a different section, into one section to make it easier for
grantees.
Section 1303.47 Contents of Notices of Federal Interest
In this section, we propose to revise and redesignate parts of
current Sec. 1309.21 and to logically and comprehensively explain what
notices of federal interest must contain when a grantee owns a
facility, when a grantee leases a facility, and when a grantee occupies
a modular unit. We believe by being clear and thorough about what
notices of federal interest must contain will help protect federal
interest. We also want grantees to understand that if we award
subsequent funds after the grantee files the initial notice of federal
interest, our federal interest is protected under the initial notice of
federal interest. We believe this will protect the ongoing investment
of federal funds.
We propose to add language in paragraph (a)(8) that requires
governing bodies to approve notices of federal interest because
governing bodies have ``legal and fiscal responsibility for
administering and overseeing programs . . . including the safeguarding
of federal funds'' under section 642(c)(1)(E)(i) of the Act. This
requirement will ensure the governing body is aware of the restrictions
associated with how federal funds are used for facilities activities.
Section 1303.48 Grantee Limitations on Federal Interest
This section redesignates and revises Sec. 1309.21, which
identifies grantee limitations associated with properties subject to a
federal interest.
[[Page 35497]]
Section 1303.49 Protection of Federal Interest in Mortgage Agreements
Current funding for facilities often includes both federal funds
and mortgage proceeds. As facilities funding has become more complex,
it is common to find federal funds and mortgages on the same property.
In order to protect federal interest, we require grantees to ensure
that any mortgage agreements they have include specific provisions that
would mitigate our risk of loss and ensure the property remains for
Head Start purposes. For example, we propose to require grantees to
ensure mortgage agreements specify that the responsible HHS official
can intervene when a grantee defaults. We also propose similar clauses
that obligate grantees to pay the federal share if they default on
mortgage agreements and that protect federal interest even if the
responsible HHS official fails to respond to a default notice.
Section 1303.50 Third Party Leases and Occupancy Arrangements
Grantees may use federal funds to renovate leased property, often
at substantial cost. This section requires grantees to have leases in
place for 30 years for construction of a facility and at least 15 years
for a renovation or placement of a modular unit to protect underlying
federal interests in these unusual cases where the government is
putting major costs into facilities on land that they do not own. These
terms are based on the minimum useful life as noted in the Internal
Revenue Code useful lives tables used for depreciation purposes. We
propose to replace language in Sec. 1309.21(d)(1) of the existing rule
that is subjective and only requires leases to be long enough to
recover the value of federally funded improvements.
Section 1303.51 Subordination of Federal Interest
In this section, we propose to revise and redesignate Sec. Sec.
1309.21(a) and 1309.21(f)(1) to emphasize that only the responsible HHS
official can subordinate federal interest to a lender or other third
party. Grantees cannot subordinate federal interest on their own. The
official must agree to subordination in writing. In addition to a
written agreement, the mortgage agreement or security agreement for
which subordination is requested must comply with Sec. 1303.49, and
the amount of federal funds already contributed to the facility must
not exceed the amount provided by the lender seeking subordination. We
believe our emphasis here will ensure lender interests do not prevail
over our interests without properly executed agreements.
Section 1303.52 Insurance, Bonding and Maintenance
This section revises and redesignates current Sec. 1309.23. Our
experience has demonstrated that grantees have not maintained
sufficient insurance for replacement of facilities that are
substantially damaged or destroyed, particularly through floods and
other natural disasters. After Hurricane Sandy, we realized we had to
be more vigilant to protect grantees against loss. We mention flood
insurance at Sec. 1309.23(a) in our existing regulation. However, we
do not clarify when grantees should have flood insurance.
In paragraph (b)(2), we propose to require grantees to obtain flood
insurance if their facilities are located in areas the National Flood
Insurance Program defines as high risk. We also propose to add language
in (b)(1) to clarify for the grantees that physical damage or
destruction insurance must cover full replacement value.
Section 1303.53 Copies of Documents
This section revises and redesignates current Sec. 1309.40. In
this section, we propose to add notices of federal interest to the list
of required documents grantees must provide to the responsible HHS
official. We also propose to explain that grantees must give copies of
notices of federal interest to the responsible HHS official after they
have filed the notices in their jurisdiction's property records. This
is particularly important because notices of federal interest do not
fully protect the federal share until the notices are filed in the
appropriate property records.
Section 1303.54 Record Retention
This section revises and redesignates current Sec. 1309.41. We
propose to clarify what documents grantees must retain as records
covered by the record retention requirement, as well as the fact that
the retention requirement applies to facilities activities funded
wholly or partially with Federal funds. We have not changed the basic
retention period, which is aligned with general requirements in the
Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards.
Section 1303.55 Procurement Procedures
In this section, we propose to revise and redesignate current Sec.
1309.52 and to summarize briefly the general procurement procedures as
context for grantees. We also remove references to grants management
regulations superseded by the Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards. Paragraph (a)
clarifies that grantees still need to comply with procurement
requirements ensuring full and open competition; nothing in the current
part 1309 or proposed subpart diminishes those overarching
requirements. Paragraphs (b) through (d), substantially the same as the
current regulation, identify circumstances under which the grantee must
obtain prior approval for project changes and guarantee HHS rights to
access and inspect of facilities projects.
Section 1303.56 Inspection of Work
In this section, we propose minor changes to current section Sec.
1309.53 to align the elements of the final inspection report with those
required in the engineer or architect's certification that accompanies
the initial facilities project application. We want to know whether the
licensed engineer or architect did the work they said they would do and
did not just certify that the project is complete. We believe the
changes we propose will ensure inspections of work comply with
professional certifications.
Transportation; Subpart F (Current Part 1310)
We propose to retain all major provisions from part 1310 of the
current rule in this NPRM. In several sections, we propose streamlined
version of those provisions. We eliminate redundancy and minor
requirements that are unrelated to improving the safety of
transportation services. We also propose to add a requirement to help
address a dangerous problem some programs have experienced of
inadvertently leaving children unsupervised on vehicles. We propose to
remove provisions related to the graduated effective dates in the
original rule because they are no longer applicable. Consistent with
other parts in this NPRM, we reorganized this subpart to be more useful
for program staffs that are charged with its implementation. We propose
to arrange provisions under this part in 4 sections.
Section 1303.70 In General
This section describes transportation services and waiver options
for programs. Specifically, in paragraph (a) we propose to streamline
Sec. 1310.2(a) in the current rule, to specify how provisions in this
part apply to all programs, including those programs that provide
transportation services, regardless of whether services are
[[Page 35498]]
provided directly on agency-owned or -leased buses or through an
arrangement with another provider. We also propose to remove paragraphs
(b) and (c) at Sec. 1310.2 in the current rule, because they are no
longer applicable.
This section also proposes to revise paragraphs (a) and (b) at
Sec. 1310.10 in the current rule. These paragraphs stipulate that
programs must either provide transportation services directly to some
or all of their children, or make efforts to provide reasonable
assistance to families in accessing needed transportation so that
children can participate in the program. We propose to retain the
provision that requires programs to provide information about
transportation options in recruitment announcements so that families
who have transportation barriers will not necessarily be discouraged
from applying for services. We also propose to include revised
provisions from the current rule at Sec. 1310.23 which require
programs to make efforts to coordinate transportation services with
other human service agencies to maximize cost efficiency, access, and
quality. In addition, we propose to retain Sec. 1310.10(f) in the
current rule that requires programs that provide transportation
services to ensure that accidents are reported in accordance with state
regulations.
Finally, we propose to slightly revise Sec. 1310.10(c) in the
current rule, which describes waiver application options. We propose to
streamline the language to clarify that waivers may be requested as
part of the agency's annual funding application or amendment and that
the responsible HHS official may request additional documentation. We
also propose to retain the stipulation that HHS is not authorized to
waive any requirements of the Federal Motor Vehicle Safety Standards
(FMVSS).
Section 1303.71 Vehicles
This section proposes to revise provisions in the current rule
related to vehicle types, safety equipment, and vehicle maintenance and
inspection. As with much of this section, the provisions we propose are
not substantive policy changes. Rather, we propose a revised structure
to reduce redundancy and to improve clarity. We propose to consolidate
provisions from Sec. 1310.12(a) and (b) in the current rule, which
allow programs to use grant funds to purchase school buses or allowable
alternate vehicles to transport children. We propose to retain the
exemption under Sec. 1310.12(c) in the current rule for the home-based
option.
This section also proposes to describe all of the safety equipment
requirements for vehicles that transport children. Specifically, we
propose to retain the provision under Sec. 1310.12(a) in current rule
that requires vehicles to be equipped for height and weight appropriate
child restraint systems. We propose retain to Sec. 1310.12(b) in the
current rule that requires vehicles to have reverse beepers. We propose
to retain Sec. 1310.10(d)(1) through (4) in the current rule that
requires vehicles be equipped with an emergency communication system
and appropriate emergency safety equipment, including a seat belt
cutter, charged fire extinguisher and first aid kit. We propose to no
longer require programs to strategically locate and mark all safety
equipment, because we expect programs will ensure that such equipment
is readily accessible as needed. We also retain safe seating
requirements, including those related to auxiliary seating in current
Sec. 1310.10(e) and child restraint systems in current Sec.
1310.11(a), with slight revisions to remove effective date language
that is no longer applicable.
Finally, this section also proposes to revise provisions in the
current rule related to the vehicle maintenance and inspection.
Specifically, we propose to revise Sec. 1310.13(a) through (c) in the
current rule, which requires programs to ensure that vehicles are
maintained in safe operating condition at all times, and receive, at a
minimum, an annual safety inspection, systematic preventive
maintenance, and daily pre-trip inspections. We also propose to revise
Sec. 1310.14 in the current rule. That section requires programs to
have bid announcements for school buses and allowable alternate
vehicles that include the correct specifications and a clear statement
of the vehicle's intended use and to ensure that vehicles are inspected
upon delivery to ensure they comply with those specifications.
Section 1303.72 Operation of Vehicles
This section proposes to revise provisions in the current
regulation that relate to vehicle operation, safety procedures, driver
qualifications and applicant reviews, and driver and bus monitor
training. Specifically, this section proposes to revise safety
procedure requirements in Sec. 1310.15(a) and (d) in the current rule
that all children must be seated in height and weight appropriate child
safety restraint systems on vehicles equipped for such use. We propose
to revise Sec. 1310.15(b) in the current rule that requires programs
to ensure baggage and other items are properly stored and secured and
that aisles and emergency exits remain unobstructed as in Sec.
1310.15(b).
This section also proposes to require programs to maintain up to
date rosters of children transported on all buses or vehicles as well
as a list of adults to whom each child is authorized to be released,
including alternates, which is at Sec. 1310.10(g) in the current rule.
We propose to add a new provision to clarify that programs must ensure
that no child is left unattended either at the pick-up location or on a
vehicle at the end of a route. This is essential for ensuring child
safety. In addition, this section proposes to retain Sec. 1310.15(c)
in the current rule that requires all programs, except home based
programs, to have at least one bus monitor be on board at all times
with additional monitors provided as necessary based on the number and
needs of the children.
This section proposes to reorganize and streamline provisions at
Sec. 1310.16(a) in the current rule that describe driver
qualifications. This section also proposes to revise the applicant
review process, described in Sec. 1310.16(b) in the current rule.
Finally, this section proposes to revise Sec. 1310.17 in the current
rule, which describes training requirements for drivers and bus
monitors. These provisions are largely unchanged. However, we propose
to remove obsolete effective date language under Sec. 1310.17(a) in
the current rule.
Section 1303.73 Trip Routing
In this section, we propose to retain all provisions under Sec.
1310.20 in the current rule related to trip routing. We propose to
slightly revise the language from the current rule to streamline and
improve clarity.
Section 1303.74 Safety Procedures
This section proposes to consolidate and reorganize requirements
described in Sec. 1310.21 in the current rule to make them more
comprehensible. We propose to revise and redesignate to Sec. 1302.46
the requirement for programs to provide pedestrian safety training for
parents and children and eliminate the prescriptive requirement that it
occur in the first 30 days of program operation. Additionally, we
propose to retain current provisions that require programs to teach
children who receive transportation services safe riding practices,
procedures for boarding and exiting vehicles, procedures for crossing
the street as necessary, in and around danger zones, and emergency
evacuation drills. We also propose to retain a current provision that
requires programs to train parents on how to escort children to and
from the vehicle stop and on how to reinforce the safety
[[Page 35499]]
training provided to their children. We also propose to retain the
provision in the current rule regarding evacuation drills.
Section 1303.75 Children With Disabilities
This section proposes to revise and to remove obsolete
implementation language in the current rule at Sec. 1310.22. We
propose to retain the provision at Sec. 1310.22(a) and (b) in the
current rule that requires programs, except the home-based option, to
ensure that there are school buses or allowable alternate vehicles
adapted or designed to transport children with disabilities who are
enrolled in the program and that, to the extent possible, such children
are transported in the same vehicles as other enrolled children.
Additionally, we propose to retain the provision at Sec. 1310.22 (c)
in the current rule that requires programs to ensure that any special
transportation requirements identified in a child's IFSP or IEP are
followed, including special pick-up and drop-off and requirements,
seating requirements, special equipment, necessary additional
assistance, or special training.
Federal Administrative Procedures; Part 1304
In this part, we remove, consolidate, amend, update, or redesignate
all of the existing regulations which govern the federal administrative
procedures through which the responsible HHS official takes any adverse
action against a grantee, determines whether grantees need to compete
for renewed funding and decides on the results of competitions for all
grantees. This part also includes specific provisions when replacing
American Indian/Alaska Native grantees, which have almost entirely been
redesignated from current regulations.
Monitoring, Suspension, Termination, Denial of Refunding, Reduction in
Funding and Their Appeals; Subpart A
This proposed subpart includes all of the provisions that outline
Office of Head Start monitoring and the authority to and describe the
procedures for an adverse action against a grantee, any appeal rights
and procedures for a grantee to appeal that action, as well as the one
instance required by the Act that a prospective delegate agency may
appeal to ACF.
The Act made a number of changes to section 646 that require
revisions to the Head Start regulations with regard to suspension at 45
CFR part 1303. We make these changes in Sec. Sec. 1304.2 and 1304.3 in
this proposed rule. Extensive, detailed and various appeal procedures
are described throughout the current part 1303. We propose to eliminate
these various procedural provisions and instead adopt the Departmental
Appeals Board (DAB) procedures in 45 CFR part 16. We believe this
streamlined process will ease administrative burden and reduce
confusion caused by unnecessary Head Start specific provisions.
Specifically we propose to eliminate procedural requirements at
Sec. Sec. 1303.5, 1303.7, 1303.8, 1303.14(e), 1303.15(h), 1303.16(a)
through (d) and probably (e) through (h), and 1303.17.
Section 1304.1 In General
In this section of the proposed rule, we describe the provisions of
the proposed part 1304, which revises, and redesignates parts of parts
1302 and 1303 in the existing rule. We also clarify that this subpart
does not apply to reductions to a grantee's financial assistance based
on chronic under-enrollment procedures in section 641A of the Act or to
any administrative action based on a violation, or alleged violation,
of title VI of the Civil Rights Act of 1964.
Section 1304.2 Monitoring
We propose to redesignate Sec. Sec. 1304.60 and 1304.61 to this
section. We propose to remove current language that is duplicative and
to streamline other provisions in accordance with sections 641A of the
Act. We propose to streamline current standards to clarify our
authority to ensure through monitoring that a grantee complies with
standards proposed in parts 1301, 1302, and 1303 under this title. We
also propose to clarify for grantees that a deficiency can develop from
an uncorrected area of noncompliance and from monitoring findings that
show either a grantee's systemic or substantial material failure to
comply with standards.
Section 1304.3 Suspension With Notice
We propose to revise and redesignate Sec. 1303.11 to this section.
Section 646(a)(2) in the Act requires OHS to adopt procedures to assure
financial assistance is not suspended, except in emergency situations,
unless the grantee has been given reasonable notice and opportunity to
show cause. The Act made significant changes to suspensions and to the
process the responsible HHS official must use to in order to suspend
grantees. Two major changes require us to update these regulations.
Suspensions can no longer last more than 30 days, unless a grantee has
deficiencies that have been ongoing and uncorrected for 180 days and it
is appealing a termination, reduction, or denial of refunding and an
appeal for suspensions lasting 30 days is no longer required under
section 646(a)(5)(B) of the Act. HHS may continue a suspension if the
grantee requests that the suspension continue and the responsible HHS
official agrees. Nothing in this section precludes the HHS official
from imposing a suspension again for an additional 30 days if the cause
of the suspension has not been corrected.
We propose to revise two sections of this provision to reflect the
amended section 646 of the Act. The current Sec. 1303.11(h) and (k)
include statements that read, ``If termination proceedings are
initiated in accordance with Sec. 1303.14, the suspension of financial
assistance will be rescinded.'' These statements do not reflect the
suspension provision in the revised Act at section 646(a)(5)(B) that
allows for suspensions longer than 30 days for grantees that are
appealing a termination, denial of refunding, or reduction of funding
and so they have been removed.
Section 1304.4 Suspension Without Advance Notice
We propose to revise and redesignate Sec. 1303.12 to this section.
Section 1303.12 includes the regulations for summary suspensions.
Although most of the regulations remain in this section without change,
a few are updated and streamlined. A few parts of this section are
revised to implement the changes from the Act that strictly limit the
suspension period. Because of the Act's 30-day limit on suspensions, we
propose to update current Sec. 1303.12(f) to only include the
exception to the 30-day limit for when proceedings for terminations and
denials of refunding are initiated against grantees with deficiencies
that have been ongoing for 180 days and have not been eliminated.
Consequently, suspensions can no longer last more than 30 days, unless
the conditions under section 646(a)(5)(B) of the Act apply, or the
grantee requests the suspension to continue and the responsible HHS
official agrees. We also add proceedings for reductions in financial
assistance to that list to align with the Act's language in section
646(a)(3). Because as discussed below, the Act no longer requires
appeals for suspensions lasting more than 30 days, we removed
provisions in Sec. 1303.12, paragraphs (g) and (h)(2) and (3), that
reference appeals in the existing rule. Those redesignated sections are
also amended to make it clear that suspensions can only last longer
than 30 days in the limited
[[Page 35500]]
circumstances allowed by the Act. We also propose a few small changes,
specifically adding the term ``emergency situation'' to the reasons we
can suspend without notice, to be more closely aligned with the Act and
the elimination of (m) allowing for contributions during the suspended
period to count toward in-kind match.
Section 1304.5 Termination and Denial of Refunding
We propose to combine appeal procedures for terminations and
denials of refunding. There is no substantive reason for why these
provisions are currently in separate sections, Sec. Sec. 1303.14 and
1303.15. This just adds to the part's bulk and complexity and makes it
more difficult for a lay person to understand. We propose to retain all
of the substantive elements of the current rule including the reasons
HHS can terminate, deny refunding or reduce funding. We intend for this
proposed section to replace current Sec. Sec. 1302.20, 1302.21, and
1302.22 which only duplicate the reasons for termination in Sec.
1303.14 and are no longer necessary.
Section 1304.6 Appeal for Prospective Delegate Agencies
Section 646(a)(1) of the Act requires appeal procedures for certain
conflicts between delegates and grantees. The Act requires a timely and
expeditious appeal to the Secretary for an entity who wants to serve as
a delegate and whose application has been rejected or not acted upon.
The current regulation includes an additional step of appealing
application decisions to the grantee first. The extra step of appealing
to the grantee adds nothing to the application appeal process beyond
extending it. Therefore we are proposing streamlined procedures that
eliminate the required appeal to the grantee and require only
submission of the application and briefings from both sides. In order
to have a more efficient process we also propose to eliminate the
reconsideration process described in the current Sec. 1303.23. The
proposed changes to procedures support the importance of timely action
given the new realities of the Designation Renewal System and 5-year
grants that requires a swifter pace in resolving delegate issues. The
proposed changes to this provision, which is still required by the Act,
are consistent with the intent of removing delegate appeals to ACF that
are not required by the Act in proposed part 1303.
Section 1304.7 Legal Fees
In the current regulation, Sec. 1303.3 provides for the right to
an attorney and attorney fees. We are proposing to revise this section
in light of amendments to the Act made in the 2007 Reauthorization to
section 646(a)(4)(C) which requires the Secretary to prescribe
procedures that prohibit a Head Start agency from using program grant
funds to pay attorney fees and costs incurred during an appeal.
Accordingly, we propose removing Sec. 1303.3(a)(1) and (2), (b), and
(c). They are replaced with Sec. 1304(a) which states that ``legal
fees or other costs may not be charged to program grants for appeals of
terminations, reductions of funding, or denials of applications of
refunding.''
However, section 646(a)(6) of the Act gives the Secretary the
ability to potentially reimburse Head Start grantees in certain
actions. Sections 646(a)(4)(C) and 646(a)(6) read together to allow for
reimbursement, though not expenditure of award funds, for legal fees in
DAB appeals for termination, reduction, or denial of refunding when the
Head Start agency prevails. Section 1304(b) outlines the situation when
an agency may apply for reimbursement of fees and the procedures for
doing so.
Designation Renewal; Subpart B
In this section, we propose only technical changes to reorder the
existing provision in part 1307 into the logical order of this NPRM.
ACF is currently conducting an independent evaluation of the
Designation Renewal System that was proposed in response to the
Congressional Mandate to establish such a system. Results from that
evaluation are still pending. Once the evaluation is completed, ACF
will consider the results to determine whether any changes to current
regulations should be proposed.
The Administrative Procedure Act does not require an agency to
adhere to public procedure and invite comment, when the agency, for
good cause, finds notice and public procedure are unnecessary.\271\ In
this NPRM, we do not invite comment on the Designation Renewal System
(DRS), which is under part 1307 in the current rule. We, for good
cause, find that to do so is unnecessary. First, we adhered to public
procedure when we published the DRS NPRM in 2010.\272\ We received
approximately 16,000 comments from Head Start grantees, parents,
teachers, state and national organizations, academic institutions, and
legal entities. We considered each of those comments and responded to
them in the DRS final rule.\273\ Second, we do not propose any
substantive changes to DRS in this NPRM. We will redesignate Sec. Sec.
1307.1 and Sec. Sec. 1307.3 through 1307.7 to proposed part 1304 and
Sec. 1307.2 to proposed part 1305. We will also make technical
amendments to correct cross references. Our efforts in this NPRM
neither change nor alter the substance of what we published in the DRS
final rule. The text of this language is included for transparency.
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\271\ See section 533(b)(3)(B) of the Administrative Procedure
Act.
\272\ See https://www.federalregister.gov/articles/2010/09/22/2010-23583/head-start-program.
\273\ See https://www.federalregister.gov/articles/2011/11/09/2011-28880/head-start-program#h-10.
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Selection of Grantees Through Competition; Subpart C
Section 641(d)(2) of the Act outlines the specific criteria the
Secretary must use to select grantees and allow consideration of
``other factors'' and we refer to this citation in our proposed
regulatory text. This subpart revises current regulations at Sec. Sec.
1302.10 and 1302.11 to reflect the more transparent and streamlined
process for Head Start grant competitions and outline the other factors
to be considered. To do this, we remove vague criteria from Sec.
1302.10 to ground competitions in the criteria announced in the now
standardized Funding Opportunity Announcement process. We revise
requirements for part 1311 to make it clear that replacement programs
only need to consider the employment of effective and qualified
personnel.
Replacement of American Indian/Alaska Native Grantees; Subpart D
This subpart re-designates and minimally revises current
regulations at Sec. Sec. 1302.30, 1302.31, and 1302.32 to ensure that
the current requirements for replacing American Indian/Alaska Native
Head Start programs apply in all circumstances. We add designation for
competition as one of the reasons for using these procedures to address
the question of whether this would be the practice which we have
received from American Indian/Alaska Native programs. This subpart,
Sec. 1304.30 implements section 646(e) of the Act; Sec. 1304.31
implements section 641(d) of the Act; and Sec. 1304.32 implements
section 646(e)(2) of the Act.
Head Start Fellows Program; Subpart E
This subpart redesignates and minimally revises current regulations
at Sec. Sec. 1311.1 through 1311.5 to maintain the current
requirements for administration of the Head Start Fellows Program.
[[Page 35501]]
Definitions; Part 1305
In this part, we propose to redesignate definitions from all
sections, except for DRS (part 1307), in the existing rule for ease of
grantee and prospective grantee understanding and transparency. We do
not include definitions from DRS because we do not propose any changes
to that section in this NPRM. In the existing rule, definitions are
attached to each section. We propose to create one definitions part for
the entire NPRM. In order to do this, we propose to consolidate all
definitions that were repeated in multiple sections. In addition, we
propose to remove many definitions that are either not meaningful or do
not add to the widely understood meaning. We also propose to remove
definitions that are clearer and more meaningful when they are
incorporated into the provisions themselves rather than enumerated as
definitions. Finally, we propose to add some new definitions to this
section in order to support other proposed revisions throughout this
NPRM, and reference the definitions in other relevant pieces of
legislation where appropriate. We describe what we propose for each
definition only in the first section in which it appears in the current
rule. In addition to these changes, we propose to add a definition of
personally identifiable information (PII) to this section, to clarify
proposed language for the new set of provisions related to data sharing
and privacy.
Definitions From Part 1301
Specifically, from part 1301 in the existing rule, we propose to
redesignate and revise the definition of Act, and redesignate the
definitions of budget period, development and administrative costs,
dual benefit costs, program costs, and total approved costs. We propose
to remove definitions for independent auditor and major disaster
because we propose to remove the relevant provisions in this NPRM. We
propose to remove the definitions of community, Head Start agency, and
indirect costs because they do not add to the widely understood
meaning. We also propose to incorporate the meaning of Head Start
program into the proposed requirements of the NPRM by explicitly noting
any time `program' only refers to Head Start, and not Early Head Start,
and therefore we remove it from the definitions section, for improved
clarity and transparency. Additionally, we propose to reference the Act
for the definition of delegate agency. We also propose to add a
definition for directory information as it relates to confidentiality
and privacy.
Definitions From Part 1302
From part 1302 in the existing rule, we propose to revise and
redesignate the definitions of financial viability and grantee for
improved clarity, and redesignated the definition of legal status. We
propose to remove the definitions of approvable application, community
action agency, community action program and Head Start grantee because
their definitions do not add to the widely understood meaning.
Additionally, we propose to reference the Act for the definition of
Indian tribe.
Definitions From Part 1303
From part 1303 in the existing rule, we propose to redesignate and
revise definitions for responsible HHS official and agreement for
clarity, and redesignate the definition of termination of a grant or
delegate agency. In this section we also propose to remove definitions
currently enumerated in part 1303, including ACYF, agreement, day,
denial of refunding, funding agency, interim grantee, prospective
delegate agency, submittal, substantial rejection, suspension of a
grant and work day because they are either no longer relevant or do not
add to the widely understood meaning.
Definitions From Part 1304
From part 1304 in the existing rule, we propose to revise and
redesignate the definition of family from part 1304 of the existing
rule to reflect a more inclusive definition, specifically with regard
to foster parents. We also propose to revise and redesignate the
definitions of policy group and staff for clarity. We propose to remove
many of the definitions currently enumerated in part 1304, including
collaboration and collaborative relationships, contagious,
developmentally appropriate, guardian, health, minimum requirements,
program attendance, referral, teacher and volunteer because they are
either no longer relevant, or did not add to the widely understood
meaning. We also propose to incorporate the meaning of assessment, and
curriculum, at part 1302 subpart C, home visitor at part 1302 subpart
I, and Early Head Start program by explicitly noting any time `program'
only refers to Early Head Start, and not Head Start. Therefore, we
propose to remove them from this definitions section, for improved
clarity and transparency. We propose to reference the Individuals with
Disabilities Education Act for the definition of Individual Family
Service Plan. We propose to reference the Head Start Act for the
definitions of a child with a disability and deficiency. Finally, we
propose to add a definition of continuity of care to reflect a renewed
focus on this critical concept within the proposed program options and
program management provisions in this NPRM.
Definitions From Part 1305
In this part, we propose to remove definitions currently included
part 1305 of the existing rule. Specifically, we propose to remove the
definitions of enrollment, enrollment opportunities, family for
pregnant women, low income family, selection, and vacancy because they
do not add to the widely understood meaning or are unnecessarily
confusing. We also propose to incorporate the meaning of Head Start
eligible, income guidelines and recruitment into the proposed
requirements of this NPRM at part 1302, subpart A, and therefore remove
them from this definitions section, for improved clarity and
transparency. We propose to redesignate definitions of enrollment year,
funded enrollment, income, migrant family, participant, recruitment
area, service area and verify into this section. We also propose to add
several definitions related to the provisions that are revised and
redesignated from part 1305 of the existing rule. Specifically, we add
new definitions of accepted, enrolled, foster care, Migrant or Seasonal
Head Start program, and relevant time period to address grantee
confusion and to reflect the evolving demographics of the families that
Head Start programs serve.
Definitions From Part 1306
In this part, we also propose to incorporate the meaning of
definitions currently enumerated in part 1306 into the proposed
requirements of this NPRM. Therefore we remove them from this
definitions section. Specifically, we propose to incorporate the
meaning of center-based program option, double session variation,
family childcare, family childcare program option, and home-based
program option into part 1302, subpart B. We propose to incorporate the
meaning of group socialization activities, home visits, and parent-
teacher conference into part 1302, subpart C. Finally, we propose to
incorporate the meaning of family childcare provider into part 1302,
subpart I. We propose to remove the definitions of combination program
option, Head Start class, Head Start and Early Head Start services, and
full-day variation because they do not add to the widely understood
meanings. We also redesignate and revise the definition of Head Start
parent to be more inclusive of foster parents. Finally, we revise and
redesignate the definitions of days of
[[Page 35502]]
operation and hours of operation for improved clarity.
Definitions From Part 1307
We propose to redesignate all of the definitions from part 1307 of
the existing rule into this part, but have not been revised them in any
way because we will not accept comments on the provisions in part 1307
(part 1304, subpart B in this NPRM) as part of this NPRM. These
definitions include Act, ACF, agency, aggregate child-level assessment
data, child-level assessment data, Early Head Start agency, going
concern, Head Start agency, school readiness goals, and transition
period.
Definitions From Part 1308
With regard to the definitions currently enumerated in part 1308,
we propose to remove commissioner, day, disabilities coordinator,
eligibility criteria, performance standards, related services,
assistive technology, assistive technology service and special
education because they do not add to the widely understood meaning or
are no longer relevant to the proposed provisions. We also propose to
incorporate the definition of least restrictive environment into the
text of this NPRM at part 1302, subpart F, and therefore remove it from
this definitions section. In addition, we propose to add a definition
of local agency responsible for implementing IDEA to clarify intent.
Finally, we propose to reference the Individuals with Disabilities
Education Act for the definition of Individualized Education Program.
Definitions From Part 1309
In this part, we also propose to remove several definitions
currently enumerated in part 1309, including acquire, grant funds, Head
Start center or a direct support facility, incidental alterations and
renovations, and suitable facility because they do not add to the
widely understood meaning. We propose to redesignate and revise major
renovations, modular unit, real property, facility, and purchase for
improved transparency and clarity, and redesignate the definition of
construction. We also propose to add definitions of repair and minor
renovations to resolve confusion amongst grantees.
Definitions From Part 1310
In this part, we propose to remove several definitions which are
currently enumerated in part 1310 of the existing rule. Specifically,
we propose to remove national standards for school buses and school bus
operations, reverse beeper and seat belt cutter because they do not add
to the widely understood meanings or are no longer relevant to the
proposed provisions. We propose to incorporate the definitions of
agency providing transportation services, bus monitor and trip routing
into the text of this NPRM at part 1303, subpart F, and therefore
remove it from this definitions section. We also propose to reference
the Act for the definition of State. Lastly, we propose to redesignate
the remaining definitions from part 1310 into this section, including
allowable alternative vehicle, child restraint system, commercial
driver's license, Federal Motor Vehicle Safety Standards, fixed route,
National Driver Register, school bus and transportation services for
clarity and transparency.
Definitions From Part 1311
Finally, in this section, we propose to remove the definition of
Head Start Fellows which is currently defined in part 1311 of the
existing rule, because the meaning is conveyed in the proposed
provisions at part 1304, subpart E.
Effective Dates
Current Head Start program performance standards remain in effect
until this NPRM becomes final. We propose for this NPRM to become
effective 60 days after it is published as a final rule in the Federal
Register. However, programs may require more time to implement
Sec. Sec. 1302.21(b)(2); 1302.21(c)(1) and (3); 1302.22(c)(1) and (2);
and 1302.23(c); 1302.32(a)(1)(iii) and (a)(3); 1302.32(b);
1302.90(b),(2) and (4); 1302.91(f)(1); 1302.92(b)(4) and (5).
Therefore, we propose for these provisions to become effective 12
months after the final rule becomes effective. We solicit comments on
these effective dates.
V. Regulatory Process Matters
Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA),\274\ as amended by the Small
Business Regulatory Enforcement Fairness Act, requires federal agencies
to determine, to the extent feasible, a rule's economic impact on small
entities, explore regulatory options for reducing any significant
economic impact on a substantial number of such entities, and explain
their regulatory approach.
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\274\ 5 U.S.C. 605(b).
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This NPRM will not result in a significant economic impact on a
substantial number of small entities. It is intended to ensure
accountability for federal funds consistent with the purposes of the
Head Start Act and is not duplicative of other requirements.
Regulatory Planning and Review Executive Order 12866
Executive Order 12866 requires federal agencies to submit
significant regulatory actions to the Office of Management and Budget
(OMB) for approval. The Order defines ``significant regulatory
actions,'' generally as any regulatory action that is likely to result
in a rule that may (1) have an annual effect on the economy of $100
million or more or adversely affect in a material way the economy, a
sector of the economy, productivity, competition, jobs, the
environment, public health or safety, or State, local, or tribal
governments or communities; (2) create a serious inconsistency or
otherwise interfere with an action taken or planned by another agency;
(3) materially alter the budgetary impact of entitlements, grants, user
fees, or loan programs or the rights and obligations of recipients
thereof; or (4) raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles set forth in
this Executive Order.\275\
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\275\ Executive Order 12866, sec. 3(f)(1).
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The provisions proposed in this NPRM, are different from many
proposed rules in the federal government in that they will require Head
Start programs to allocate funding in different ways, but will not
affect the amount of Head Start's appropriation and therefore will not
affect the amount of funding that will be provided to Head Start
programs overall. Nonetheless, given the costs of these changes and the
expected loss of slots for eligible children and teacher employment as
a result of these costs, we have determined that this NPRM will have an
annual effect on the economy of more than $100 million. Therefore, the
proposed changes in this NPRM represent a significant regulatory action
as defined by Executive Order 12866. Given both the directives of the
Order and the importance of understanding the benefits, costs, and
savings associated with these proposed changes, we describe the costs
and benefits associated with the proposed changes and available
regulatory alternatives below.
1. Need for Regulatory Action
The purpose of Head Start, as prescribed by the Act, is to
``promote the school readiness of low-income children by enhancing
their cognitive, social, and emotional
[[Page 35503]]
development.'' \276\ This purpose, and the Head Start program itself is
based upon decades of scientific research that documents the strong and
lasting impact of children's experiences in their first five years of
life on brain development, learning, and health,277 278 279
and the significant economic impact of such benefits on children
individually and on society as a whole. However, provision of
consistently high quality early learning experiences is central to
reaping these benefits from all Head Start programs. The
congressionally mandated, randomized control trial study of Head
Start's impact did not show lasting effects on the outcomes measured.
Specifically, while the Impact Study found some initial effects, by
third grade the control and treatment groups showed no significant
differences.\280\ In order for Head Start to achieve its mission to be
an effective tool in supporting children's success in Kindergarten and
beyond, all programs must be high quality. Decades of best practice,
cutting edge research in early education including the Head Start
Impact Study, expert advice, and The Secretary's Advisory Committee's
recommendations all culminate in a call to action for policy changes
that ensure all Head Start programs provide a consistently high quality
early learning experience that prepares children for Kindergarten and
has long-term effects on their academic success and overall health. We
believe the proposed changes in this NPRM will empower all programs to
achieve this goal.
---------------------------------------------------------------------------
\276\ 42 U.S.C. 9831.
\277\ National Scientific Council on the Developing Child
(2007). The Timing and Quality of Early Experiences Combine to Shape
Brain Architecture: Working Paper No. 5. Cambridge, MA: Author.
\278\ Anda R.F., Felitti V.J., Bremner J.D., Walker J.D.,
Whitfield C., Perry, B.D., Dube, S.R., & Giles, W.H. (2006). The
enduring effects of abuse and related adverse experiences in
childhood. A convergence of evidence from neurobiology and
epidemiology. European Archives of Psychiatry and Clinical
Neuroscience, 256(3), 174-186.
\279\ National Scientific Council on the Developing Child
(2010). Early Experiences Can Alter Gene Expression and Affect Long-
Term Development: Working Paper No. 10. Cambridge, MA: Author.
\280\ Puma, M., Bell, S., Cook, R., Heid, C., Broene, P.,
Jenkins, F., & Downer, J. (2012). Third grade follow-up to the Head
Start impact study final report. US Department of Health and Human
Services Office of Planning, Research and Evaluation.
---------------------------------------------------------------------------
2. Cost and Savings Analysis
In the following sections, we describe the costs associated with
the proposed changes to the current regulation included in this NPRM.
First, we detail both the programmatic costs and savings associated
with individual provisions and then determine the projected loss of
Head Start slots and teacher jobs associated with those costs without
additional funding, given that Head Start program would need to absorb
these additional costs into their current program operations. Then, we
detail how the net programmatic costs differ from the net cost to
society of the provisions based upon the calculation of opportunity
costs and transfers. Further, we describe the effect on society by
exploring the benefits lost for children who would not have access to
Head Start in the future, based upon two scenarios. In the first
scenario additional funds are appropriated that cover the cost of the
NPRM per the President's FY2016 budget request to support the extension
of the program day and year. In the second scenario, additional funds
are not available and children who would have had access to Head Start
are cared for in other environments with varying levels of quality and
associated benefits for those children.
Programmatic Costs and Savings
This NPRM includes a number of provisions, associated with costs,
intended to increase program quality and, as a result, increase the
impact Head Start services will have on the children and families
programs serve. This NPRM also includes several provisions, which
improve upon important managerial and administrative responsibilities,
and streamline processes to reduce unnecessary administrative burden,
which are associated with savings. These provisions apply specifically
to the approximately 2,815 grantees and delegates currently providing
Head Start and/or Early Head Start services.
We estimate the total programmatic costs associated with the
provisions in their entirety proposed in this NPRM at $1,155,974,916.
We estimate the total programmatic savings associated with the
provisions proposed in this NPRM at $104,635,321. Therefore, we
estimate net programmatic monetary cost of this NPRM at $1,051,339,595.
As noted above, the President's FY2016 Budget requests $1.5 billion in
additional Head Start resources to support these quality improvements
and continue the new Early Head Start-Child Care Partnerships. If the
additional resources are provided by Congress, these costs would be
covered. In this situation, there would be no slot or teacher job loss
associated with the changes proposed in this NPRM. However, we estimate
below the total slots and teacher jobs that would be lost if the
additional funding requested in the President's Budget is not provided.
In order to estimate slot and teacher job loss as programs adjust
their budgets in the absence of additional funding, we first determined
the proportion of current funded enrollment that are Head Start slots
(85%) and Early Head Start slots (15%), respectively. We then applied
this proportion to the total monetary cost associated with the NPRM, in
FY2014 dollars, and divided the cost that will be borne in Head Start
slots ($893,638,656) by the average cost per slot for Head Start in
2014 or $7,886, and divided the cost that will be borne in Early Head
Start ($157,700,939) by the average cost per slot for Early Head Start
in 2014 or $12,013. This calculation provided the total estimated slot
loss as well as slot loss estimates for regulatory alternatives.
Without additional funding, this net cost would be associated with a
reduction in slots (or number of children served) of 126,448.
----------------------------------------------------------------------------------------------------------------
Proportion of Proportion of Number of
slots net cost Cost per slot slots lost
----------------------------------------------------------------------------------------------------------------
EHS......................................... 15% $157,700,939 $12,013 13,128
HS.......................................... 85% 893,638,656 7,886 113,320
-------------------------------------------------------------------
Total................................... ............... ............... ............... 126,448
----------------------------------------------------------------------------------------------------------------
In order to estimate the total number of teacher jobs which would
be lost in association with the slot reduction that would occur if
additional funding requested by the President's Budget is not provided,
we first reduced the net monetary cost of the NPRM by the cost of
eliminating the option for double sessions ($368,720,660). Double
session
[[Page 35504]]
programs typically operate a morning and afternoon session of 3.5
hours, which serve different children but utilize the same teachers. As
a result, double session teachers should not lose their jobs, even as
fewer children are served in those programs. To translate the remaining
cost ($682,618,935) into slot loss, we again applied the proportion of
Head Start slots (85%) and Early Head Start slots (15%) to the total
monetary cost associated with the NPRM, less the cost of eliminating
double sessions, and divided the cost that will be borne in Head Start
slots ($580,226,095) by the average cost per slot for Head Start, or
$7,886, and the cost that will be borne in Early Head Start
($102,392,840) by the average cost per slot for Early Head Start, or
$12,013. We then applied current percentages from the Program
Information Report (PIR) on the percent of 3- versus 4-year olds in
Head Start and the percent in home-based versus center-based in Early
Head Start to the estimated slot loss. Then we applied a 1:4 teacher:
child ratio to the center-based Early Head Start slots lost (given two
teachers for a maximum class size of 8) and 1:12 for home-based Early
Head Start slots lost (given the maximum caseload of 12) to determine
the total number of Early Head Start teacher jobs that would be lost.
And, for Head Start, we applied a 1:8.5 ratio for the number of 3 year
old slots lost (given two teachers for a maximum class size of 17) and
a 1:10 ratio for 4 year old slots lost (given two teachers for a
maximum class size of 20). The sum of these estimates gave us our
cumulative estimate of teacher jobs lost. Without additional funding,
this net cost would be associated with a reduction of 9,432 teachers'
jobs.
----------------------------------------------------------------------------------------------------------------
Number of slots
lost (less double Ratio applied Number of teacher
session costs) jobs lost
----------------------------------------------------------------------------------------------------------------
EHS........................... Center-based..... 4,858 1:4 1,215
Home-based....... 3,665 1:12 305
HS............................ 3 year olds...... 31,403 1:8.5 3,694
4 year olds...... 42,174 1:10 4,218
--------------------------------------------------------------
Total..................... ................. ................... ................... 9,432
----------------------------------------------------------------------------------------------------------------
Societal Cost and Savings
Throughout this Cost and Savings Analysis, we also identify costs
and savings to society associated with the proposed changes that are
not related to program operation and therefore are not included in
estimations of slot and teacher job loss. Specifically, there are two
provisions, home visits for frequently absent children and criminal
background checks for prospective staff, where there is an opportunity
cost associated with prospective staff or parents' time spent complying
with new requirements, and we have monetized these opportunity costs at
$943,530 and $726,824, respectively, based on foregone earnings.
Further, there is one provision that will be associated with
opportunity cost savings by reducing parents' time spent on parent
committees as a result of the new requirements. We have monetized this
opportunity cost savings at $2,689,098 based on retained earnings.
Finally, although we have quantified programmatic savings related to
the removal of provisions that allow Head Start Programs to develop
their own IEPs for children, we recognize that from a societal
perspective, these savings in the amount of $41,125,086 should be
categorized as a transfer, because the IEPs will still be developed for
such children by another entity. Therefore, we have calculated the net
total cost to society of the NPRM to be the total programmatic cost
$1,051,339,595 plus the total additional opportunity costs $40,106,342.
Based on these calculations, we estimate the net total cost to society
of this NPRM to be $1,091,445,937.
----------------------------------------------------------------------------------------------------------------
Opportunity cost/savings/
transfer Estimate Net total cost to society
----------------------------------------------------------------------------------------------------------------
Additional Home Visits for $943,530 $1,051,339,595 + $40,106,342 = $1,091,445,937
Frequently Absent Children
(Cost).
Criminal Background Checks for 726,824 ...............................................................
Prospective Staff (Cost).
Removal of Parent Committees (2,689,098) ...............................................................
(Savings).
Removal of IEP Process 41,125,086 ...............................................................
(Transfer).
Total Additional Opportunity 40,106,342 ...............................................................
Costs.
----------------------------------------------------------------------------------------------------------------
However, the total societal costs and savings of this NPRM is
dependent on the future appropriation for Head Start. It is also
dependent on the realization of the potential transfer of benefits from
children who might have participated in Head Start but lack access to
the program if the additional funding requested by the President's
Budget is not provided to those who will receive a greater duration of
services and higher quality care in Head Start, as well as the
potential transfer of costs of serving these children from Head Start
to other Early Childhood Education (ECE) programs. The President's
FY2016 Budget included a request for $1,078,000,000 in additional Head
Start funding to support the extension of the Head Start program day
and year, which are the two provisions associated with the largest
costs in this NPRM.
If Head Start appropriations increase by this or a similar amount,
the programmatic costs currently estimated in this section would be
borne essentially in full by the federal government but there would be
no lost benefit to society of a reduction in Head Start slots. In this
case, the net cost to society (borne by the federal government) would
be the $1,091,445,937 calculated above, and there would be no transfer
of benefits. Rather, the full additional potential benefits of higher
quality services would be realized for all children receiving Head
Start.
However, if Head Start receives no additional funding and the
children, who otherwise would have attended Head Start but lack access
due to a funding shortfall that results in fewer slots, do not have
access to any other early childhood education program, the benefits
that these children would have received from attending Head Start would
be transferred to children who continue to have access to Head Start
and experience an increase in the
[[Page 35505]]
duration and quality of services. Transfers may, in spite of holding
the same dollar value universally, have different worth for entities on
opposite sides of the transfer. In this case, the additional Head Start
expenditures accruing to the children receiving more hours (and
otherwise higher quality) Head Start services may yield benefits that
are equal to, greater than, or less than the benefits lost by the
children who lack access to Head Start due to this funding
shortfall.\281\
---------------------------------------------------------------------------
\281\ If the resources needed to convert all slots to full
school day and full school year are not available, then it is
important to consider whether the benefits to those children who
have access to Head Start and participate in a longer, higher
quality day and program year offsets any potential loss from
children who might have otherwise participated in Head Start under
the current program minimum requirements that allow for part-day and
part-year services. As noted above, the relative sizes of those
benefits and costs depend in part on the degree to which those
children who might have otherwise participated in Head Start have
access to other early education programs and the quality of those
programs. If the impact of Head Start deepens significantly if the
dosage (hours per day and days per year) is above a threshold level
greater than the current program minimum requirements, then the
benefit from increasing program dosage above this threshold will be
large relative to the proportional increase in dosage. On the other
hand, if there are diminishing returns to increasing the dosage,
then the gains to increasing the dosage will be smaller than the
proportional increase in the program hours, and would be less likely
to offset the losses to children who might have otherwise had access
to Head Start, though this depends as noted above on the early
learning opportunities available to those children. Robin et al.
(2006) provide preliminary evidence in support of the latter
possibility, in that they find a tripling of hours in Head Start
yielding approximately a doubling of children's skill gains. (See
Robin, K.B., Frede, E.C., Barnett, W.S. (2006). Is More Better? The
Effects of Full-Day vs. Half-Day Preschool on Early School
Achievement. NIEER Working Paper.) We invite comment on this issue
and all aspects of the rule's potential impact on children's skills
and life outcomes.
---------------------------------------------------------------------------
We know that some children who would have otherwise participated in
Head Start will be served by other early childhood programs, although
they may be of lower quality. In the Head Start Impact Study, many
children who did not have access to Head Start received services from
other early childhood education programs of varying quality.\282\ In
this case, determining how the absence of Head Start services for
children impacts society depends on how costs and benefits differ
between Head Start and the alternative programs. If children have
access to pre-kindergarten programs of roughly equivalent quality to
Head Start, they will likely have equivalent costs and benefits. Other
children, however, will likely enroll in programs that may have both
lower costs and lower benefits to society than Head Start. Finally,
given there is significant unmet need and the supply of both affordable
and quality early learning opportunities for poor families is limited,
some children, as discussed above, will not access any other ECE
program. In this case, the cost of the NPRM as currently estimated,
though explained in terms of Head Start's programmatic costs, would be
borne by whomever pays for the alternative early childhood education
programs, e.g. state governments, parents, etc. Meanwhile, among
children who lack access to Head Start services, those that enroll in
alternative programs of similar quality would experience no additional
or lost benefit and would not affect the NPRM's cost to society, while
children who enroll in programs of lower quality or no program at all
would increase the associated costs to society of the NPRM by the
amount that the benefit they would receive from Head Start is reduced
in their alternative program.
---------------------------------------------------------------------------
\282\ Puma, M., Bell, S., Cook, R., Heid, C., & Lopez, M.
(2005). Head Start Impact Study: First Year Findings. Administration
for Children & Families.
---------------------------------------------------------------------------
Although we are unable to quantify the associated costs, benefits,
and potential transfers that would arise from these implementation
scenarios, it is important to keep these factors in mind as we consider
both the societal costs and savings and the cost-benefit analysis of
this NPRM.
Itemized Programmatic and Societal Costs and Savings
In the following sections, we itemize each of the regulatory
changes for which we expect there to be associated costs or savings in
the areas of structural program option provisions, educator quality
provisions, curriculum and assessment provisions, and administrative/
managerial provisions.
Structural Program Option Provisions
This NPRM includes several provisions that increase the duration of
the Head Start experience for children. It also includes provisions
intended to improve child attendance. We analyzed costs associated with
the following specific requirements: Minimum of 180 days of operation
for all Head Start center-based programs and family child care homes at
Sec. 1302.21(c)(1) and Sec. 1302.23(c); minimum of 36 home visits and
18 group socializations for all Head Start home-based programs at Sec.
1302.22(c)(1); minimum of 230 days for all Early Head Start center-
based programs and family child care homes at Sec. 1302.21(c)(1) and
Sec. 1302.23(c); minimum of 46 home visits and 22 group socializations
for all Head Start home-based programs at Sec. 1302.22(c)(1); minimum
of 6 hours per day at Sec. 1302.21 and additional home visits for
chronically absent children at Sec. 1302.16. In all cases, costs are
estimated based on data about whether programs are currently meeting
these new minimum requirements.
Extension of the Program Year
This NPRM proposes to extend the minimum Head Start year by 20 days
(or one month) for programs operating 160 days (the current average)
and by 52 days for programs operating 128 days, at Sec. Sec.
1302.21(c)(1) and 1302.22(c)(1) and to codify current interpretation of
a ``full-year'' of Early Head Start at 230 days at Sec. Sec.
1302.21(c)(1) and 1302.22(c)(1). These proposed changes will increase
the amount of exposure to Head Start and Early Head Start experiences,
or dosage, which research suggests will, in turn, result in larger
impacts on child outcomes.283 284 Specifically, research on
summer learning loss and attendance demonstrates the importance of
extending the minimum days of operation in Head
Start.285 286 287 288 289 290 291 292 293 294
[[Page 35506]]
Current Head Start minimums essentially permit 4 months of summer
break, making the likelihood and magnitude of skill loss between
program years even higher than what we see in elementary and secondary
education. The majority of Head Start programs operate with a 4 month
break between program years, which we believe undermines the progress
Head Start children make during the year and lessens the overall impact
of the program. Our new proposed minimums will reduce the allowable
summer break to 3 months and should, therefore, decrease summer
learning loss of Head Start children.
---------------------------------------------------------------------------
\283\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\284\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
\285\ Sloan McCombs, J. et al. (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\286\ Alexander, K.L., Entwisle D.R., & Olson L.S. (2007).
Lasting consequences of the summer learning gap. American
Sociological Review, 72, 167-180.
\287\ Alexander, K.L., Entwisle D.R., & Olson L.S. (2007).
Summer learning and its implications: Insights from the Beginning
School Study. New Directions for Youth Development, 114, 11-32.
\288\ Sloan McCombs, J. et al., (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\289\ Allington, R.L. & McGill-Franzen, A. (2003). The Impact of
Summer Setback on the Reading Achievement Gap. The Phi Delta Kappan,
85(1), 68-75.
\290\ Fairchild, R. & Noam, G. (Eds.) (2007). Summertime:
Confronting Risks, Exploring Solutions. San Francisco: Jossey-Bass/
Wiley.
\291\ Downey, D.B., von Hippel, P.T. & Broh, B.A. (2004). Are
Schools the Great Equalizer? Cognitive Inequality During the Summer
Months and the School Year. American Sociological Review, 69(5),
613-635.
\292\ Alexander, K.L., Entwisle D.R., & Olson L.S. (2007).
Lasting consequences of the summer learning gap. American
Sociological Review, 72, 167-180.
\293\ Logan, J.A.R., Piasta, S.B., Justice, L.M.,
Schatschneider, C. & Petrill, S. (2011). Children's Attendance Rates
and Quality of Teacher-Child Interactions in At-Risk Preschool
Classrooms: Contribution to Children's Expressive Language Growth.
Child & Youth Forum 40(6), 457-477.
\294\ Hubbs-Tait, L., McDonald Culp, A., Huey E., Culp, R.,
Starost, H., & Hare, C. (2002). Relation of Head Start attendance to
children's cognitive and social outcomes: moderation by family risk.
Early Childhood Research Quarterly, 17, 539-558.
---------------------------------------------------------------------------
In order to estimate the costs associated with these provisions, we
used Grant Application Budget Instrument (GABI) data and Program
Information Report (PIR) data. Specifically, for each of four
categories of programs (Head Start center-based, Head Start home-based,
Early Head Start center-based, and Early Head Start home-based) we
calculated the cost of operating the entire program for an additional
day by calculating the average number of days each type of program
currently operates and dividing the average cost per child by the days
that programs operate. It is important to note that the cost per child
includes teacher salary and fringe, facilities, materials and all other
costs associated with administering the program. Head Start grantees
are allowed to spend 15 percent of their total funds on administrative
costs, which are also included in the cost per child. Therefore, we
reduce the cost per child in this estimate by 15 percent because
administrative costs such as insurance, staff salaries for management
personnel, including the Executive Director, who are employed year-
round, and costs associated with occupying and maintaining space, are
not associated with the length of the program year. We also removed all
programs currently meeting the requirement from the calculation and
determined the average number of days programs not meeting the
requirement would need to add in order to get to 180 days (36 weeks for
home-based) or 230 days (46 weeks for home-based), for Head Start (HS)
and Early Head Start (EHS), respectively. These calculations reflected
that Head Start center-based programs would need to add 33 days, Head
Start home-based programs would need to add 3.8 weeks (19 days), Early
Head Start center-based programs would need to add 35 days, and Early
Head Start home-based programs would need to add 2 weeks (10 days).
We then multiplied the cost per child per day by these estimates
and the funded enrollment (FE) of programs currently not meeting the
requirement to produce a cost estimate. Funded enrollment is the total
number of slots programs are funded to provide. We did these
estimations separately for Head Start and Early Head Start because the
total cost per child in 2014 for Head Start slots was $7,886 and the
total cost per child in 2014 for Early Head Start slots was $12,013. We
also calculated estimates for center-based (CB) and home-based (HB)
programs separately because home-based programs report weeks of
operation, which we translated into days and center-based programs
report days of operation. Finally, we reduced each cost estimate in
dollars by 20 percent assuming that a small percentage of programs
currently operating fewer days than the new requirement will apply for
and receive a waiver under Sec. 1302.24. Using this method, we
estimated the total cost of these new minimums to be $560,596,307.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less 15% Avg. days Avg. Funded
Program type Avg. cost/ admin (weeks) of Avg. cost/ additional enrollment Estimated cost Less 20%
child costs operation day/child days (FE) waiver
--------------------------------------------------------------------------------------------------------------------------------------------------------
HS CB.................................. $7,886 $6,703 169 39.66 33 493,041 $645,336,114 $516,268,891
HS HB.................................. 7,886 6,703 170.4 (34.1) 39.34 19 12,420 9,282,849 7,426,280
EHS CB................................. 12,000 10,211 215 47.49 35 23,436 38,954,147 31,163,318
EHS HB................................. 12,000 10,211 227.5 (45.5) 44.88 10 15,981 7,127,273 5,737,818
----------------------------------------------------------------------------------------------------------------
Total.............................. ......... ......... .............. ......... .............. .............. .............. 560,596,307
--------------------------------------------------------------------------------------------------------------------------------------------------------
Extension of the Program Day
This NPRM proposes a new minimum number of hours per day for all
center-based Head Start and Early Head Start programs at Sec. Sec.
1302.21(c)(3) and 1302.22(c). These proposed changes will increase the
amount of exposure to Head Start and Early Head Start experiences, or
dosage, which research suggests is necessary to support larger impacts
on child and family outcomes.295 296 Specifically,
researchers have demonstrated that pre-kindergarten programs that focus
on intentional teaching and both small group and one-to-one
interactions have larger impacts on child outcomes.\297\ It is
extremely difficult for a half-day program to provide sufficient time
for teachers to conduct learning activities and intentional instruction
in small group and one-on-one interactions. More content-focused
curriculum includes at least three hours of cognitive instruction per
day, something that cannot be accomplished in programs operating under
our current minimums. Our new proposed minimums will ensure that
teachers have adequate time to support each child's learning and will,
when combined with our proposed higher education standards, improve
outcomes.
---------------------------------------------------------------------------
\295\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\296\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
\297\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W.S. (2010).
Meta-analysis of the effects of early education interventions on
cognitive and social development. Teachers College Record, 112(3),
579-620.
---------------------------------------------------------------------------
In order to estimate the costs associated with these provisions,
which would extend the Head Start and Early Head Start day to a minimum
of 6 hours, we also used GABI data and PIR data. Specifically, we
calculated estimates for both Head Start center-based and Early Head
Start center-based, and double session and non-double session programs
separately. For double session programs, which include two sessions of
3.5 hours, we assumed the entire cost per child would need to be added
for half of all funded enrollment slots. To calculate this cost, we
divided the current funded enrollment for EHS (418) and HS
[[Page 35507]]
(136,883) double session programs separately by 2 to get a total number
of slots for EHS (209) and HS (68,442). We then multiplied the
resulting number of slots by the average cost per child for each
program. It is important to note that the cost per child includes
teacher salary and fringe, facilities, materials and all other costs
associated with administering the program. Head Start grantees are
allowed to spend 15 percent of their total funds on administrative
costs, which are also included in the cost per child. Therefore, we
reduce the cost per child in this estimate by 15 percent because
administrative costs such as insurance, staff salaries for management
personnel, including the Executive Director, who are employed year-
round, and costs associated with occupying and maintaining space, are
not associated with the length of the program day.
For non-double session programs we calculate the cost by dividing
the cost for an additional hour of the teaching team, based on the
average hourly rate for teachers and assistant teachers, by the maximum
class size to produce a cost estimate for the cost per child per
additional hour. We calculated these costs separately for 4-5 year olds
and 3 year olds, given the differing class size maximums of 20 and 17,
respectively. For infants and toddlers we used the class size maximum
of 8. We then multiplied the average cost per child per hour by the
average number of hours that programs not currently meeting the minimum
would need to add in order to do so over the program year (360 hours
for Head Start programs and 552 hours for Early Head Start programs).
This estimate per child was then multiplied by the appropriate funded
enrollment (FE) to produce the estimated cost. Finally, we reduced
those cost estimates by 20 percent, assuming that a small percentage of
programs currently operating fewer hours than the new requirement, or
operating double session programs will apply for and receive a waiver
under Sec. 1302.24. Using this method, we estimated the total cost of
these new minimums to be $445,226,855. We would like to invite public
comment specifically on whether any costs in addition to teacher salary
will be affected by this provision and should therefore be included in
our estimate.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Avg.
Program type Teaching Maximum Cost/child additional FE Estimated cost Less 20% waiver
team/hr class size hours/year
--------------------------------------------------------------------------------------------------------------------------------------------------------
HS CB (4-5)...................................... $29.69 20 $1.48 360 92,887 $49,640,568 $39,712,454
HS CB (3)........................................ 29.69 17 1.75 360 66,906 42,065,891 33,652,713
EHS CB........................................... 24.04 8 3.01 552 2,367 3,926,285 3,141,028
--------------------------------------------------------------------------------------------------------------------------------------------------------
Program type Avg. cost/ Less 15% FE Number of Less 20% waiver
child admin slots with new
costs Estimated cost
--------------------------------------------------------------------------------------------------------------------------------------------------------
HS DS............................................ 7,886 6,703 136,883 68,442 458,766,726 367,013,381
EHS DS........................................... 12,013 10,211 418 209 2,134,099 1,707,279
------------------------------------------------------------------------------------------------------
Grand Total.................................. ........... ........... ........... .............. ........... .............. 445,226,855
--------------------------------------------------------------------------------------------------------------------------------------------------------
Removal of Home-Based Preschool Standard Option
This NPRM proposes to remove the home-based option for preschoolers
as a standard option. We propose this removal because the home-based
option does not provide the intensity of services required to improve
children's early learning outcomes. In order to estimate the cost of
removing this option, we first determined from PIR data that there are
17,232 home-based preschool slots currently funded. We then calculated
the current cost associated with home visitor's salaries for these
children by dividing the slot number by the home-visiting caseload (12)
and then multiplying by the current average home visitor salary for an
estimate of $41,888,120. We then calculated the cost that would be
associated to serving all of these children in center-based program
instead of home-based. To estimate that cost, we divided the slot
number by number of children per teacher for Head Start (10) and then
multiplied that number the current average teacher and assistance
teacher salary to get an estimate of $41,521,366. We then inflated this
cost by the administrative cap (15%) to account for additional
administrative burden of center-based programs to estimate the new cost
at $47,749,570. We then found the difference between the home-visitor
salary cost and the inflated teacher salary cost, which is $5,861,450.
Finally we estimated the total cost of equipping the newly needed
center-based classrooms by dividing the current home-based slot number
by 20 to find the number of new classrooms needed (862) by $20,000
which represents a cost associated with space, equipment, and supplies,
to be $17,232,000. Therefore, we estimate the cost of this provision to
be the $5,861,450 combined with the $17,232,000 which is $23,093,450.
However, this provision is also covered by the local variation waiver
so we reduced this total by the percentage of programs we expect would
receive this waiver (33%). We assume that this waiver will be awarded
at a higher rate than other local variation waivers given the unique
circumstances that likely drive current programs to use this option to
meet community needs. Therefore, we estimate the total net cost of this
provision to be $15,380,238.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Current number Total cost of Number of
Number of HB preschool slots of home- home-visitors teachers Total cost of Total cost of equipping Total cost of
visitors salaries needed teacher salary classrooms provision
--------------------------------------------------------------------------------------------------------------------------------------------------------
17,232.................................... 1,436 $41,888,120 1,723 $41,521,366 $17,232,000................. $23,093,450
-------------------------------------------------------------------------------------------------------------
Inflated by 15%....................... .............. .............. .............. 47,749,570
-------------------------------------------------------------------------------------------------------------
Difference in Costs................... .............. .............. .............. 5,861,450 Waiver Reduction (33%) Grand 15,380,238
Total.
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 35508]]
Waiver Authority for Early Head Start 2 Year Old Classroom Ratios
This NPRM proposes to apply the proposed locally-designed variation
authority, discussed above, at Sec. 1302.24 to all programs. As a
result, for the first time, programs may request a waiver of ratios for
children under the age of 3. We believe that programs in states that
allow higher ratios for two year olds classrooms or mixed age
classrooms may request waivers to allow them to serve more children and
support continuity as children approach pre-school. We anticipate
awarding waivers to programs who propose to serve 2-year old children
at a ratio of 1:6 rather than 1:4, provided they have sufficient space
to meet square footage requirements. We estimate the savings associated
with receipt of this waiver here. First we estimated the savings
associated with all 2-year old classrooms operating with a 1:6 ratio.
We used the total number of 2-year olds currently being served (65,852)
from PIR data to find the number of teachers that would no longer be
needed by dividing the number of 2-year olds by the current ratio of
1:4 (which yields 16,463 teachers) and then by the 1:6 ratio that would
now be allowed (which yields 10,975 teachers), and taking the
difference (5,488). We then multiply this number of teachers that would
no longer be needed (5,488) by the average Early Head Start teacher
salary of $25,495 to get a total potential savings of $139,916,560.
However, we assumed that only approximately one-third of programs
currently serving 2-year olds have adequate space to accommodate the
larger group size associated with a 1:6 ratio. Therefore, we estimate
that the actual total savings for this provision would be $46,638,853.
----------------------------------------------------------------------------------------------------------------
Current number Number of
Total number of 2 year olds of teachers New number of teachers no Average EHS Total savings
(1:4) teachers (1:6) longer needed teacher salary
----------------------------------------------------------------------------------------------------------------
65,852.......................... 16,462 10,975 5,488 $25,495 $139,916,560
-------------------------------------------------------------------------------
Grand Total (Reduced by \2/ .............. .............. .............. .............. 46,638,853
3\ for programs without
adequate space)............
----------------------------------------------------------------------------------------------------------------
Waiver Applications for Locally-Designed Program Options
As discussed above, this NPRM includes a provision at Sec. 1302.24
that would require any program wishing to operate a locally-designed
program option to submit a waiver application explaining why the local
design better meets community needs and demonstrating that children are
making sufficient progress. As discussed in further detail in the
discussion of the proposed rule at Sec. 1302.24, this proposed change
will strengthen program accountability while maintaining local
flexibility.
In order to estimate the cost associated with this provision we
used Grant Application Budget Instrument (GABI) data to determine the
total number of program schedules that do not meet the new proposed
minimums. It is important to note that most grantees operate more than
one program schedule. It is possible that a single grantee operates
program schedules that both meet our minimums and do not and may
operate multiple program schedules that would require waiver
applications. For example, one grantee may operate three centers with
three different program schedules, one of which meets the minimums and
two of which do not. In order to ensure our cost estimate captures
every grantee that may choose to submit a waiver application, we likely
overestimate the total number of programs by using program schedules as
the unit of analysis. Among all Head Start and Early Head Start
programs, 4,207 program schedules do not meet our proposed minimums.
Further, we also used PIR data to find the number of programs currently
offering the home-based option for preschoolers, which would also
require a locally-designed variation waiver. Currently, 300 programs
offer the home-based option for preschoolers. Finally, we assumed that
all Early Head Start and Migrant programs serving 2-year olds (965)
would apply for the associated ratio waiver. These numbers were summed
to find a total number of programs that might apply for a waiver
(5,472).
To estimate the cost associated with waiver applications, we assume
that 50 percent of all programs that could be eligible for a waiver
will apply (2,736). We also assume that submission of a waiver
application will require 8 hours of a center director's time at $45.19
per hour (PIR salary data of $33.98 per hour inflated by 33% for fringe
benefits). Therefore, we calculate the cost associated with the
applications by multiplying the number of programs schedules by 8 hours
of a center director's hourly wage ($361.52). Using this method, we
calculate the total cost associated with this provision at $989,119.
----------------------------------------------------------------------------------------------------------------
8 hours of
Number of center
Number of program schedules waiver directors Estimated cost
applications hourly wage
----------------------------------------------------------------------------------------------------------------
5,472........................................................ 2,736 $361.52 $989,119
----------------------------------------------------------------------------------------------------------------
[[Page 35509]]
Home Visits for Frequently Absent Children
This NPRM includes a new provision that requires programs to
attempt to conduct an extra home visit with families of children who
are frequently absent (for non-illness or IFSP/IEP related reasons) at
Sec. 1302.16. As described in further detail in the discussion of the
proposed rule for Sec. 1302.16, this proposed change will improve
consistent attendance, which is important because research demonstrates
that attendance is predictive of school success. 298 299 300
---------------------------------------------------------------------------
\298\ Ehrlich, S. B., Gwynne, J. A., Pareja, A. S., &
Allensworth, E. M. (2013). Preschool Attendance in Chicago Public
Schools. Research Summary. University of Chicago Consortium on
Chicago School Research.
\299\ Community Action Project Tulsa County. (2012) Attendance
Works Peer Learning Network Webinar.
\300\ Connolly, F., & Olson, L. S. (2012). Early Elementary
Performance and Attendance in Baltimore City Schools' Pre-
Kindergarten and Kindergarten. Baltimore Education Research
Consortium.
---------------------------------------------------------------------------
We considered both monetary costs as well as opportunity costs in
estimating the total cost of these new provisions in Sec. 1302.16. In
order to estimate the associated monetary costs, we used data from the
Family and Child Experience Survey (FACES) and babyFACES national
surveys. Using these databases, we were able to estimate the proportion
of children in both Head Start and Early Head Start who are absent for
more than 20 days in a given school year. For Head Start, we used this
proportion (5.6%) as a proxy for the proportion of children who are
frequently absent, and would trigger the requirement in the NPRM for an
additional home visit. For Early Head Start, we assumed approximately
half of this proportion would be children for whom absences were
explained the frequency of illness among very young children and thus
would not trigger this requirement. Therefore, we used half of the
estimated proportion from babyFACES (34%) as a proxy for children in
Early Head Start who are chronically absent and would thus trigger the
extra home visit. Then, we estimated the number of extra home visits
this requirement will trigger by multiplying cumulative enrollment for
center-based programs in HS and EHS, respectively, by these proxy
proportions. Finally, we estimated the monetary cost of this provision
by multiplying the number of extra home visits by the average wage of a
teacher and an assistant teacher for two hours, because we expect some
home visits will be conducted by teachers or home visitors and others
may be conducted by the family service worker (usually paid on par with
assistant teachers). Using this method, we estimate the total monetary
cost of this proposed requirement to be $1,854,026.
To calculate the opportunity cost, we estimated foregone wages for
parents meeting this requirement of one additional home visit. This
represents the value of their time when they participate in an
additional home visit rather than working. We used the number from our
estimate of children experiencing chronic absenteeism (65,071) and
assumed one parent per child. We then used the average hourly wage from
the Bureau of Labor Statistics and assumed two hours of time for each
parent to meet this additional requirement. This results in a monetized
opportunity cost of $943,530.
Monetary Costs
----------------------------------------------------------------------------------------------------------------
Estimated
National number of Avg. wage/2 Estimated
Program type survey proxy FE additional hours cost
% HVs
----------------------------------------------------------------------------------------------------------------
HS.............................. 5.6 915,672 51,278 $29.69 $1,522,433
EHS............................. 17 81,138 13,793 $24.04 $331,593
-------------------------------------------------------------------------------
Total....................... .............. .............. .............. .............. $1,854,026
----------------------------------------------------------------------------------------------------------------
Opportunity Costs
----------------------------------------------------------------------------------------------------------------
Hourly wage Number of
Total number of parents forgone hours Estimated cost
----------------------------------------------------------------------------------------------------------------
65,071.......................................................... $7.25 2 $943,530
-----------------------------------------------
Total....................................................... .............. .............. $943,530
----------------------------------------------------------------------------------------------------------------
Educator Quality Provisions
This NPRM also includes several provisions to improve the quality
of education staff in Head Start and Early Head Start programs.
Specifically, we analyzed costs associated with the following
requirements: minimum of associate's degree for all Head Start teachers
at Sec. 1302.91(c); minimum of CDA or equivalent credential for all
home visitors at Sec. 1302.91(f); and mentor coaching at Sec.
1302.92(b)(4).
Associate's Degree for Head Start Teachers
The Act detailed new degree requirements for all Head Start
teachers. Specifically, one of those provisions codified a minimum
requirement that all Head Start teachers have at least an associate's
degree. While progress towards meeting this requirement has been
substantial, a small percentage of Head Start teachers in 2012 did not
have such a degree. In this NPRM, we propose adding this requirement
into the staff qualifications section of the performance standards at
Sec. 1302.91(c). Given that some teachers do not have the minimum
degree, we estimated the cost associated with this requirement by
finding the difference in average salaries for teachers with no
credential and teachers with a Child Development Associate (CDA),
compared to teachers with associate's degrees, respectively. We then
multiplied the additional salary needed for each group of teachers by
the number of teachers who currently have no credential or the number
of teachers who currently have only a CDA. Using this method, we
estimate the total cost for Head Start programs to
[[Page 35510]]
fully fulfill this requirement to be $4,167,135.
----------------------------------------------------------------------------------------------------------------
Cost of
Salary additional
Current credential differential Number of salary for
(w/AA) teachers credentialed
teachers
----------------------------------------------------------------------------------------------------------------
CDA............................................................. $1,983 1,595 $3,162,885
None............................................................ 1,339 750 1,004,250
-----------------------------------------------
Total....................................................... .............. .............. $4,167,135
----------------------------------------------------------------------------------------------------------------
CDA for Home Visitors
In this NPRM, we also propose to require that all home visitors
have, at a minimum, a home-based CDA credential or equivalent at Sec.
1302.91(f). As described in further detail in the discussion of the
proposed rule for Sec. Sec. 1302.91, this proposed change will ensure
that all home visitors are equipped with the critical content knowledge
offered through a home-based CDA which we believe is linked to being a
successful home visitor. In order to estimate the costs associated with
this new minimum requirement, we estimated the proportional salary
differential of teachers with associate degrees compared to teachers
with CDAs and applied that proportion to the current average home
visitor salary to estimate the additional costs to hire more qualified
home visitors. We took this approach because our current PIR data does
not differentiate between credential types for home visitor salaries,
but does differentiate by credential for teacher salaries. We then
applied this cost for more highly qualified home visitors to the number
of home visitors who currently have no credential. This gives us an
estimate of the total cost of requiring higher credentials for home
visitors. Using this method, we estimate the total cost of meeting this
new requirement to be $1,607,540. We would like to invite public
comment specifically on whether the salary assumptions in our estimate
are appropriate for home visitors.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Proportion of Cost of
salary additional
Current credential differential Avg. HV salary Additional Number of HVs salary for
(Teachers: CDA salary w/o credential credentialed
to AA) HVs
--------------------------------------------------------------------------------------------------------------------------------------------------------
None............................................................... 6.69% $29,170 $1,951 824 $1,607,540
--------------------------------------------------------------------------------------------------------------------------------------------------------
Mentor Coaching
In this NPRM, we propose requirements that programs have a system
of professional development in place that includes an intensive
coaching strategy for teachers. As described in further detail in the
discussion of the proposed rule for Sec. 1302.92, this proposed change
will ensure teaching staff receive effective professional development,
based on a growing body of research demonstrating the effectiveness of
intensive professional development for improving teacher practices in
early care and education settings 301 302 303 and research
demonstrating that such strategies support are associated with improved
teacher practice in the classroom and a positive increase in classroom
quality.304 305 The proposed provision also gives programs
some flexibility to identify the education staff that would benefit
most from this form of intensive professional development and direct
their efforts accordingly.
---------------------------------------------------------------------------
\301\ Buysse, V., & Wesley, P. W. (2005). Consultation in Early
Childhood Settings. Baltimore, MD: Paul H. Brookes Publishing.
\302\ Tout, K., Halle, T., Zaslow, M., & Starr, R. (2009).
Evaluation of the Early Childhood Educator Professional Development
Program: Final Report: Report prepared for the U.S. Department of
Education.
\303\ Zaslow, M., Tout, K., Halle, T., Vick, J., & Lavelle, B.
(2010). Towards the identification of features of effective
professional development for early childhood educators: A review of
the literature. Report prepared for the U.S. Department of
Education.
\304\ Isner, T., Tout, K., Zaslow, M., Soli, M., Quinn, K.,
Rothenberg, L., & Burkhauser, M. (2011). Coaching in early care and
education programs and Quality Rating and Improvement Systems
(QRIS): Identifying promising features. Child Trends.
\305\ Lloyd, C. M., & Modlin, E. L. (2012). Coaching as a key
component in teachers' professional development: Improving classroom
practices in Head Start settings. Administration for Children and
Families.
---------------------------------------------------------------------------
In order to estimate the costs associated with this requirement, we
assumed that in most cases, programs would assign one coach per 15
teachers or teaching teams. We also assumed the coach would receive a
salary comparable to that of an education manager ($47,945 from PIR),
inflated for overhead and fringe benefits, which would be estimated at
$75,000 for each mentor coach. We then calculated the total number of
mentor coaches needed to support all education staff by using 64,000
teachers (the number of lead Head Start and Early Head Start teachers)
as a proxy for the total number of teachers and teaching teams that
could receive mentor coaching. We estimated the cost of providing 4,267
coaches for 64,000 teachers or teaching teams at $320,025,000. We then
assume that programs will utilize their flexibility to identify
education staff or teaching teams who would most benefit from this type
of professional development. We believe this will result in
approximately one-third of teachers/teaching teams receiving intensive
coaching. Therefore, our final estimate for the cost of the requirement
is $106,675,000. Given poor quality data regarding the quality and
scope of coaching strategies programs may currently be using, we do not
give any credit for programs that may already utilize mentor coaches in
this estimate.
[[Page 35511]]
----------------------------------------------------------------------------------------------------------------
Number of Number of Estimate for all Estimate for \1/
Mentor coach salary and benefits teachers coaches teachers 3\ of teachers
----------------------------------------------------------------------------------------------------------------
$75,000............................. 64,000 4,267 $320,025,000 $106,675,000
----------------------------------------------------------------------------------------------------------------
Curriculum and Assessment Provisions
This NPRM includes several provisions to improve curriculum and
assessment and eliminate redundancy in the screening process. We
analyzed costs associated with the following specific requirements:
Improving curriculum at Sec. 1302.32(a)(1); monitoring the fidelity of
curriculum implementation at Sec. 1302.32(a)(3); and language
assessment in home language and English for all dual language learners
at Sec. 1302.33(c)(2)(ii). We analyzed savings associated with the
elimination of screening requirements for children who already have an
IEP or IFSP at Sec. 1302.33(a)(3) and the removal of Head Start
designed IEPs.
Improving Curriculum
In this NPRM, we include several provisions intended to improve the
quality of curricula that programs select at Sec. 1302.32(a)(1).
Specifically, these new provisions would require programs to critically
analyze the curricula they use to determine whether they are
appropriately aligned with and content-rich enough to support growth of
all children in the domains outlined in the Head Start Early Learning
Outcomes Framework (Birth-5). As described in further detail in the
discussion of the proposed rule for Sec. 1302.32, this proposed change
will ensure all programs select and implement curricula with the key
qualities that research suggests are critical to promoting child
outcomes.306 307 308 309 310 311 312 313 314 For some
programs, these new provisions may require purchasing new curricula, or
purchasing curricular add-ons or enhancements.
---------------------------------------------------------------------------
\306\ Clements, D. H., & Sarama, J. (2008). Experimental
Evaluation of the Effects of a Research-Based Preschool Mathematics
Curriculum. American Educational Research Journal, 45(2), 443-494.
\307\ Starkey, P., Klein, A., & Wakeley, A. (2004). Enhancing
young children's mathematical knowledge through a pre-kindergarten
mathematics intervention. Special issue on Early Learning in Math
and Science, 19(1), 99-120.
\308\ Bierman, K. L., Domitrovich, C. E., Nix, R. L., Gest, S.
D., Welsh, J. A., Greenberg, M. T., . . . Gill, S. (2008). Promoting
Academic and Social-Emotional School Readiness: The Head Start REDI
Program. Child Development, 79(6), 1802-1817.
\309\ Clements, D. H. (2007). Curriculum research: Toward a
framework for ``Research-based Curricula''. Journal for Research in
Mathematics Education, 38(1), 35-70.
\310\ Fantuzzo, J. W., Gadsden, V. L., & McDermott, P. A.
(2011). An integrated curriculum to improve mathematics, language,
and literacy for Head Start children. American Educational Research
Journal, 48, 763-793
\311\ Lonigan, C. J., Farver, J. M., Phillips, B. M., & Clancy-
Menchetti, J. (2011). Promoting the development of preschool
children's emergent literacy skills: A randomized evaluation of a
literacy-focused curriculum and two professional development models.
Reading and Writing, 24, 305-337.
\312\ Preschool Curriculum Evaluation Research Consortium
(2008). Effects of preschool curriculum programs on school readiness
(NCER 2008-2009). Washington, DC: National Center for Education
Research, Institute of Education Sciences, U.S. Department of
Education. Washington, DC: U.S. Government Printing Office.
\313\ Wasik, B. A., Bond, M. A., & Hindman, A. H. (2006). The
effects of a language and literacy intervention on Head Start
children and teachers. Journal of Educational Psychology, 98, 63-74.
\314\ Riggs, N. R., Greenberg, M. T., Kusch[eacute], C. A., &
Pentz, M. A. (2006). The mediational role of neurocognition in the
behavioral outcomes of a social-emotional prevention program in
elementary school students: Effects of the PATHS curriculum.
Prevention Science, 7, 91-102.
---------------------------------------------------------------------------
In order to estimate the cost associated with these provisions, we
assumed that education managers would need to allocate an additional 20
hours of analysis and planning time. We estimated the average hourly
rate from the average annual salary of education managers and
determined the total cost per manager for twenty hours. We then
multiplied the cost by the total number of all programs. In addition,
we estimated the average cost of a curricular enhancement for the most
frequently used curriculum in Head Start programs at $135 from online
purchase forms. We know that most programs routinely upgrade their
curriculum or purchase a new curriculum. For this cost estimate, we
assumed an average of two-thirds of programs would identify the need to
purchase additional curricular enhancements each year, and multiplied
that number of programs by the average cost of an enhancement to
estimate its total cost. Finally, we summed the two estimates, and
found the total estimated cost of meeting this new requirement to be
$1,551,065.
----------------------------------------------------------------------------------------------------------------
Avg. Ed manager
salary Cost of 20 hours Number of programs Estimated cost
----------------------------------------------------------------------------------------------------------------
Additional Staff Time........... $47,945........... $461.............. 2,815............. $1,297,715
----------------------------------------------------------------------------------------------------------------
Avg. cost of Number of programs 66% of programs
enhancement
----------------------------------------------------------------------------------------------------------------
Curricular Enhancement.......... $135.............. 2,815............. 1,877............. $253,350
----------------------------------------------------------------------------------------------------------------
Total....................... .................. .................. .................. $1,551,065
----------------------------------------------------------------------------------------------------------------
Monitoring Fidelity of Curriculum Implementation
In addition to the curriculum quality requirements described in the
previous section, this NPRM also includes a provision that will require
programs to monitor the fidelity of curriculum implementation at Sec.
1302.32(a)(3). As described in further detail in the discussion of the
proposed rule for Sec. 1302.32, this proposed change will ensure all
programs provide adequate supervision and regular monitoring of
curriculum use to ensure effective curriculum implementation, which is
critical to reaping the benefits of using high quality curricula
described above.315 316
---------------------------------------------------------------------------
\315\ Lieber, J., Butera, G., Hanson, M., Palmer, S., Horn, E.,
Czaja, C., . . . & Odom, S. (2009). Factors that influence the
implementation of a new preschool curriculum: Implications for
professional development. Early Education and Development, 20(3),
456-481.
\316\ Landry, S. H., Anthony, J. L., Swank, P. R., & Monseque-
Bailey, P. (2009). Effectiveness of comprehensive professional
development for teachers of at-risk preschoolers. Journal of
Educational Psychology, 101(2), 448.
---------------------------------------------------------------------------
[[Page 35512]]
In order to estimate the cost associated with this provision, we
researched the cost of curriculum fidelity kits. At present, few
curricula offer such a kit. However, based on those that are available,
we assessed the average cost of an implementation tool kit at $50. We
then multiplied that estimate by the number of programs to find the
total cost of this provision. We did not estimate additional staff
time, because monitoring and staff supervision is required in the
current rule and individualization of this information is included in
our mentor coaching estimate. Using this method, we estimate the total
cost of meeting this new requirement to be $140,750. We would like to
invite public comment specifically on whether the costs associated with
an implementation tool-kit represents the full costs associated with
this provision or what other costs may need to be included.
------------------------------------------------------------------------
Number of Total
Avg. cost of implementation tool kit programs estimated cost
------------------------------------------------------------------------
$50................................... 2,815 $140,750
------------------------------------------------------------------------
Assessments for Dual Language Learners
In this NPRM, we also propose a new requirement to codify best
practice in assessing dual language learners (DLL) at Sec.
1302.33(c)(2)(ii) that in some cases requires programs to administer
language assessments to dual language learners in both English and
their home language, either directly or through interpreters. As
described in further detail in the discussion of the proposed rule for
Sec. 1302.33, this proposed change will ensure that screening and
assessment data is collected in both languages to ensure a more
complete understanding of these children's knowledge, skills and
abilities.\317\ In order to estimate the costs associated with this
proposal, we first determined the number of DLLs across Head Start and
Early Head Start by assuming all children who speak a language other
than English in the home are DLLs. We then determined the proportion of
DLL children who speak Spanish in the home and the number of children
who speak other languages. For the purposes of this estimate, we assume
that all DLLs who speak Spanish in the home will receive a direct
assessment in Spanish, and for all DLLs who speak any language other
than Spanish in the home will be assessed through an interpreter. For
Spanish-speaking DLLs (280,752 children), we assumed the average cost
of a Spanish-language assessment tool-kit (using the most frequently
reported assessment as our proxy) is $200 and the average cost per pack
of 25 assessment forms is $50. We determined the total number of tool-
kits needed by finding the number of programs serving at least one
Spanish speaking child. We determined the number of packs of assessment
forms needed by dividing the total number of Spanish-speaking children
by 25. We then multiplied the cost of the tool-kit by the number of
programs and the cost of the assessment forms by the number of children
and summed them to find the total cost of this provision for children
who can be directly assessed. For DLLs speaking languages other than
Spanish (51,899 children), we found the average hourly rate for an
interpreter from the Bureau of Labor Statistics and assumed two hours
for each assessment. We then multiplied that cost by the number of non-
Spanish speaking DLLs to find the cost of this provision for children
who need to be assessed through an interpreter. Finally, we summed
these two estimates to produce a total cost estimate for the provision:
$3,295,456.
---------------------------------------------------------------------------
\317\ Barrueco, S., Lopez, M., Ong, C., & Lozano, P. (2012).
Assessing Spanish-English bilingual preschoolers: A guide to best
approaches and measures. Baltimore, MD: Brookes.
----------------------------------------------------------------------------------------------------------------
Avg. cost of
Type of DLL spanish Avg. cost of Number of Number of form Estimated cost
assessment 25 Forms programs packs
----------------------------------------------------------------------------------------------------------------
Spanish-speaking................ $200 $50 2,283 8,947 $903,950
----------------------------------------------------------------------------------------------------------------
Avg. hourly Cost/ Number of ..............
wage for assessment children
interpreter
----------------------------------------------------------------------------------------------------------------
Other........................... $23.04 $46.08 .............. 51,899 $2,391,506
----------------------------------------------------------------------------------------------------------------
Total....................... .............. .............. .............. .............. $3,295,456
----------------------------------------------------------------------------------------------------------------
Screenings for Children With IEPs and IFSPs
In this NPRM, we propose a new provision that explicitly eliminates
the requirement to perform initial developmental screenings on children
who enter the program with a current IEP or IFSP at Sec.
1302.33(a)(3). This proposed change will eliminate unnecessary testing
for children, reduce unnecessary redundancy, and eliminate an extra
burden on programs. In order to estimate the total savings associated
with this new provision, we first determined that in 2012, 72,774 of
the 136,259 children with disabilities in Head Start and Early Head
Start, entered the program with an IEP or IFSP already in place. We
then estimated the cost of the developmental screening by multiplying
the average hourly wage for Disabilities Coordinators by an assumed two
hours of time per screening. We then multiplied this cost by the number
of children who already have an IEP or IFSP in place at the beginning
of the program year and summed the estimates to find the total savings
associated with this provision to be $2,950,258.
[[Page 35513]]
------------------------------------------------------------------------
Total
Avg. wage for 2 hours of disability Number of estimated
coordinator time children savings
------------------------------------------------------------------------
$40.54........................................ 72,774 $2,950,258
------------------------------------------------------------------------
Removal of Head Start-specific IEPs
The reauthorization of the Head Start Act in 2007 removed
previously held authority for Head Start programs to create their own
IEPs for children with disabilities. As a result, no programs currently
create their own IEPs for children, prior to 2007, Head Start programs
frequently created such IEPs at great cost to programs. In accordance
with OMB Circular A-4, we estimate the cost/savings associated with all
new provisions in the NPRM, including the removal of this authority and
the extensive regulatory requirements that accompany it in Sec. 1308
of the existing rule.
In order to estimate the savings associated with the removal of
these provisions, we first estimated the number of children in the
2004-2005 program year who's IEP was created by Head Start, which was
the last year in which the PIR collected this data. PIR data from that
year indicate 14,758 children had IEPs but were not eligible for
services under IDEA. We assumed, at a minimum, that the IEPs for all of
these children were created through the Head Start process. In order to
estimate the cost of an IEP, we first assumed 2 hours of staff time for
both the Education Manager and the Disabilities Coordinator. We also
assumed 4 hours of Special Education Specialist consultant work, at $50
per hour on average. We then multiplied this staff time by the number
of IEPs. We also researched the cost of a multi-disciplinary evaluation
and estimated, based on a sample of state estimates, the cost to be
$2,500 on average. We multiplied this cost by the number of IEPs and
then added it to the estimated cost of staff time to determine our
total savings estimate for this policy change at $41,125,086. We would
like to invite public comment specifically on whether the estimated
$2,500 for a multi-disciplinary evaluation is appropriate.
----------------------------------------------------------------------------------------------------------------
Cost/hour for Cost of
Cost staff consultation Number of IEPs Estimated cost
----------------------------------------------------------------------------------------------------------------
Staff/Consultant Time........................... $86.63 $200 14,758 $4,230,086
----------------------------------------------------------------------------------------------------------------
Cost of Evaluation Number of IEPs ..............
----------------------------------------------------------------------------------------------------------------
Multi-disciplinary Evaluation................... .............. $2,500 14,758 $36,895,000
Total....................................... .............. .............. .............. $41,125,086
----------------------------------------------------------------------------------------------------------------
Administrative/Managerial Provisions
This NPRM includes several provisions to improve important
managerial and administrative responsibilities, and to reduce
unnecessary administrative burden. We analyzed costs associated with
the following specific requirements: Memoranda of Understanding at
Sec. 1302.32; and background checks at Sec. 1302.93(c)(2)(ii). We
analyzed savings associated with the following specific requirements:
removal of annual audits; removal of parent committees; removal of
delegate appeal process at the federal level; clarification of the
facilities application process at Sec. 1303.40; revision of community
needs assessment at Sec. 1302.11(b)(1); and revision of managerial
planning at Sec. 1302.101(b).
Memoranda of Understanding (MOU)
This NPRM includes a new provision requiring programs to establish
formal agreements with the local entity responsible for publicly funded
preschool at Sec. 1302.32. This proposed change will reflect a
provision of the Act that requires MOUs and has been in effect since
2008. Nonetheless, per the OMB Circular Requirements for Regulatory
Impact Analysis, we must estimate the costs associated with the
provision, as though no programs have implemented the statutory change.
In order to estimate the costs associated with meeting this new
requirement, we first estimated that establishing an MOU with such
entities will require approximately 2 hours of management time, based
on grantee experience implementing similar MOUs. To estimate the cost
of that time, we multiplied the average hourly salary of all management
positions by 2. We then multiplied that cost by the total number of
programs. Using this method, we estimated the total cost associated
with this requirement to be $129,631. This may be an over-estimate of
cost given that one purpose of the MOU is to better coordinate and
share local resources which may lead to savings associated with
implementation of the MOU. However, we have insufficient data to
estimate these savings. As such, we would like to invite public comment
specifically on the cost savings associated with implementation of
MOUs.
------------------------------------------------------------------------
Total
Avg. wage for 2 hours of management time Number of estimated
programs cost
------------------------------------------------------------------------
$46.05........................................ 2,815 $129,631
------------------------------------------------------------------------
Criminal Background Checks
This NPRM includes two new provisions that strengthen the
requirements programs currently must meet with regard to criminal
background checks for staff at Sec. 1302.93(c)(2)(ii). As described in
further detail in the discussion of the proposed rule at Sec. 1302.93,
these changes will provide alignment across federal programs about the
importance and key characteristics of comprehensive background checks,
which are critical to ensuring child safety in all early care and
education settings. Specifically, the first provision would require
programs perform both a state and FBI criminal background check on all
prospective employees, whereas the current rule only requires programs
perform one of the two checks. The second provision requires programs
to renew criminal background checks for all employees once every five
years. The FBI estimates the average cost of a criminal background
check is $21. The cost of state background checks vary significantly,
with some states charging significantly more than $21. However, some
states cover costs of the checks for early care providers and other
states reduce costs for a combined FBI and state check. Therefore, we
assume $55 to be the average cost of both the FBI and state background
check, together, based on information from the Office of Child Care's
CCDF State Plans, in producing our cost estimate.
We considered both monetary costs and opportunity costs when
estimating
[[Page 35514]]
the cost of the first provision. To estimate the monetary cost
requiring both FBI and state background checks for new hires, we used
the turnover rate of teachers from the PIR data (10%) and applied it to
all staff to estimate the average number of new hires due to turnover
per year. We then multiplied the number of new hires by the average
cost of the FBI background check ($21) to estimate the cost associated
with this provision. In addition to these monetary costs, we also
estimated the opportunity cost for prospective employees to meet this
requirement. This represents the value of time (measured as forgone
earnings) of a prospective employee during the time they spend to
complete a background check. To calculate the opportunity cost, we
averaged the hourly wage for a teacher and an assistant teacher
(inflated by 33% for fringe benefits), multiplied it by 1.5 hours for
the estimated time it would take, and multiplied that by the average
number of new hires due to turnover per year.
To estimate the cost of the second provision, we multiplied the
cost of a full background check ($55) by the total number of staff for
all grantees, divided by five the annual number in need of a five-year
renewal. In addition, we estimated the cost associated with staff time
to process each additional background check. To calculate this, we
assumed the hourly wage of an administrative assistant at the same rate
as teacher assistants ($11.55). We then added the applicable number of
staff that would need additional background checks per year (73,591)
and divided that number by 6 assuming each application will take
approximately 10 minutes to process. This provided an estimate for the
number of hours administrative staff would spend processing the
background checks (12,265). Finally, we multiplied the number of hours
by the hourly wage to estimate the total cost of processing at
$141,661. Using this method, we estimate the total costs, including
monetary costs and opportunity costs, associated with these provisions
to be $4,081,479. We would like to invite public comment specifically
on whether our assumption of 10 minutes to process each background
check is appropriate.
Monetary Costs
----------------------------------------------------------------------------------------------------------------
Avg. cost of Total number Applicable
Provision check of staff staff Estimated cost
----------------------------------------------------------------------------------------------------------------
FBI and State Check............................. $21 245,303 24,530 $515,130
5-year Renewal.................................. 55 245,303 49,061 2,698,355
----------------------------------------------------------------------------------------------------------------
Hourly wage Applicable Number of Estimated Cost
Staff Hours
----------------------------------------------------------------------------------------------------------------
Staff time to process checks.................... 11.55 73,591 12,265 141,661
Total....................................... .............. .............. .............. 3,355,146
----------------------------------------------------------------------------------------------------------------
Opportunity Costs
----------------------------------------------------------------------------------------------------------------
Avg. hourly Estimated time Total wage Applicable
Provision wage in hours cost staff Estimated cost
----------------------------------------------------------------------------------------------------------------
FBI and State Check............. $19.75 1.5 $29.63 24,530 $726,824
Total....................... .............. .............. .............. .............. $726,824
----------------------------------------------------------------------------------------------------------------
Removal of Annual Audits
This NPRM eliminates the separate audit requirement for Head Start
programs at Sec. 1301.12 in favor of aligning with the Uniform
Administrative Requirements, Cost Principles and Audit Requirements for
Federal Awards (Omni Circular). As described in further detail in the
discussion of the proposed rule at Sec. 1301.12, this proposed change
will eliminate unnecessary burden on small grantees and the Office of
Head Start. The Omni Circular requires a Single Audit of entities if
their total federal expenditures exceed $750,000. As a result of this
$750,000 threshold, there are 13 grantees and 24 sub-recipients that
will no longer be required to have an audit. Using an estimate of
$17,000 per audit per the suggestion of regional grants management
staff who oversee audit procedures, we estimate a savings of $629,000.
We would like to invite public comment specifically on whether our
assumption of $17,000 per annual audit is accurate.
----------------------------------------------------------------------------------------------------------------
Number of Estimated
Provision Cost programs savings
----------------------------------------------------------------------------------------------------------------
Removal of audit for grants less than $750,000............... $17,000 37 $629,000
----------------------------------------------------------------------------------------------------------------
Removal of Parent Committees
This NPRM does not require agencies to establish parent committees
at the program option level, as is currently required at Sec.
1304.50(a)(1)(iii), as well as other provisions at Sec.
1304.50(d)(2)(i) through (iii) and Sec. 1304.50(e)(1) through (3). We
estimate both monetary and opportunity-cost savings associated with the
removal of this provision. Specifically, although this is primarily a
parent-driven activity, we assume some staff involvement in
coordinating meetings. For purposes of estimating the monetary cost
associated with removing this requirement, we used the assistant
teacher salary as a proxy for the level of staff involved in supporting
the parent committee and we assume one hour per week or four hours per
month for eight months. This is based on the assumption that there is
one 2-hour meeting each month and 2 hours of planning time in
preparation. Therefore we estimate the potential savings from the
removal of this requirement to total $6,431,826. However, we assume
that a
[[Page 35515]]
large proportion of programs will choose to retain their parent
committees regardless of the fact that it is no longer a requirement.
Therefore, we estimate the total actual savings to programs to be 25%
of the $6,431,826 or $1,607,957.
To calculate the opportunity cost, we estimated an opportunity-cost
savings associated with parent time no longer spent on parent
committees. We use estimated parent wages to approximate the value of
parents' time that will no longer be taken for this activity. We
estimated 10% of all slots occupied by children (FY2014 Funded
Enrollment 927,275) have a parent who serves on a parent committee, for
a total parent number of 92,728. We then used the average hourly wage
from the Bureau of Labor Statistics and assumed two hours per month
(eight on average) or 16 of time for each parent to serve on a parent
committee. This results in a monetized opportunity-cost savings of
$10,756,390. However, we assume 75% of programs will maintain their
parent committees regardless of the fact that they are no longer
required. Therefore we find the estimated actual opportunity cost
savings of this provision is 25% of $10,756,390, or $2,689,098.
Monetary Savings
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hourly wage for Estimated
Provision assistant Number of hours Number of potential Estimated
teacher for 8 months programs savings actual savings
--------------------------------------------------------------------------------------------------------------------------------------------------------
Removal of parent committees....................................... $11.49 32 17,493 $6,431,826 $1,607,957
--------------------------------------------------------------------------------------------------------------------------------------------------------
Opportunity Cost Savings
----------------------------------------------------------------------------------------------------------------
Estimated
Total number of parents Hourly wage Number of hours potential Estimated
forgone savings actual savings
----------------------------------------------------------------------------------------------------------------
92,728...................................... $7.25 16 $10,756,390 $2,689,098
----------------------------------------------------------------------------------------------------------------
Delegate Appeals
This NPRM proposes to align with section 641A(d) of the Act, by
requiring grantees to establish procedures for a delegate agency to
appeal a defunding decision. As a result, we propose to eliminate the
process by which current delegates can appeal grantee decisions to HHS,
as outlined in Sec. 1303.21. As described in further detail in the
discussion of the proposed rule, this proposed change will eliminate
unnecessary burden on grantees and the Office of Head Start. To
estimate the savings associated with the removal of this process, we
determined the number of delegate appeals that have occurred across
ACF's 12 regions over two years (25) and then divided that number by
two to find the number of appeals annually (12.5). We obtained an
estimate from a grantee on the costs of their individual appeal
($66,691) and multiplied it by two to factor in both the cost to the
grantee and the delegate agency of the appeal process. We then divided
that total by two based on the assumption that half of the costs are
spent on the HHS phase of the appeal, which we propose to remove. We
then multiplied the average cost by the average number of appeals per
year (12.5) to arrive at the annual savings. We estimate savings of
$69,359 as a result of this change.
----------------------------------------------------------------------------------------------------------------
Savings from Number of
Avg. grantee cost of delegate appeal Avg. cost of removal of HHS delegate Estimated
delegate appeal phase of appeal appeals/year savings
----------------------------------------------------------------------------------------------------------------
$66,691..................................... $133,382 $66,691 12.5 $833,638
----------------------------------------------------------------------------------------------------------------
Clarification of the Facilities Application Process
This NPRM proposes to reorder the application requirements for
funds to purchase, construct or renovate facilities to align with
typical project development at Sec. 1303.40. In doing so, we
anticipate savings associated with grantees who are likely to identify
unfeasible projects more quickly prior to soliciting costly
professional advice or unnecessary testing (e.g. environmental),
referred to as soft costs. To estimate the savings associated with
these revisions, we assumed a per project cost for facilities projects
of $500,000, based on our experience with facilities costs.
Since the savings would come from the soft costs that grantees
incur at the beginning of a project--which under our reordered
application process could be avoided for projects that grantees realize
more quickly are not fundable--we assume that approximately 30 percent
of the average per project costs, or $150,000 are for soft costs. Our
data systems do not capture the number of applications for facility
projects each year so as a proxy, we are using the total number of
facilities with federal interest for the past 10 years, which is the
timeframe for which we have data, with that total divided by 10 for the
number of facilities with federal interest per year (3,896). Based on
our experience, and specifically the knowledge of our in-house
facilities expert, we then estimate that 8 percent of the 3,896
facilities with federal interest (31.17 facilities projects) submit un-
fundable applications annually. As a result, we then multiplied the
$150,000 in estimated soft costs by 31.17 grantees to determine the
savings that would result if those grantees realized the unfeasibility
of their projects earlier and never spent those funds. We estimate the
total savings associated with these revisions to total $4,675,500.
[[Page 35516]]
----------------------------------------------------------------------------------------------------------------
Unfundable
Avg. ``soft'' Facilities facility Estimated
Avg. cost of facility project costs with federal applications/ savings
interest/year year
----------------------------------------------------------------------------------------------------------------
$500,000.................................... $150,000 3,896 31.17 $4,675,500
----------------------------------------------------------------------------------------------------------------
Community Assessment
This NPRM also includes provisions that change the existing
requirement for programs to conduct full community assessments from
every three years to every five years at Sec. 1302.11(b)(1). As
described in further detail in the discussion of the proposed rule at
Sec. 1302.11, this proposed change will streamline the community
assessment process and eliminate unnecessary burden on grantees and the
Office of Head Start. We estimated the current cost of the community
assessment and assumed a reduction in costs of 40 percent, based on the
change from three to five years. To determine the average cost of a
community assessment, we incorporated grantee feedback about both the
frequency with which they choose to perform the assessment internally
versus hiring consultants, and the average cost, in staff time and
consultant fees, respectively of those assessments. From this feedback,
we assumed 75 percent of programs perform their community assessments
using Head Start staff, while the remaining 25 percent hire
consultants. We estimated the costs associated with Head Start staff
time for 75 percent of programs by calculating the average hourly wage
of the entire management team (for the director, education manager,
health services manager, and disabilities coordinator combined), and
assumed 40 hours of the entire management team's time to complete the
assessment ($3,910). We then multiplied the cost of these 40 hours by
the number of programs using Head Start staff to complete their
assessments. We estimated the costs associated with consultants for 25
percent of programs by the average cost for a consultant to perform the
community assessment at $6,000 and assumed an additional 10 hours of
the management team's support time to complete the assessment
($977.14). We then multiplied these costs by the number of programs who
choose to hire consultants for their community assessment. Finally, we
summed these costs and divided the total by three to find the current
annual cost. We then divided that total by five to find the new annual
cost, and calculated the difference, which represents the annualized
savings for this policy change. We estimated the savings for this
policy change to be $1,755,480. We would like to invite public comment
specifically on whether the staff time associated with both options for
completing a community assessment accurately reflects staff time
required, and whether the savings assumptions accurately reflect the
new requirement that programs update their assessment annually for
significant changes in the availability of full-day public pre-
kindergarten, rates of homelessness, and other demographic shifts.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cost of Difference
Option support staff Cost of Number of Estimated cost Current annual New annual between costs/
time consultation programs cost cost savings
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hire Consultants........................ $977.14 $6,000 704 $4,912,090 $1,637,365 $982,418 $654,945
--------------------------------------------------------------------------------------------------------------------------------------------------------
Cost of Staff Time .............. .............. .............. .............. ..............
--------------------------------------------------------------------------------------------------------------------------------------------------------
Internal................................ .............. $3,910 2,111 $8,254,010 $2,751,337 $1,650,802 $1,100,535
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total Annualized Savings............ .............. .............. .............. .............. .............. .............. $1,755,480
--------------------------------------------------------------------------------------------------------------------------------------------------------
Managerial Planning
This NPRM includes two new provisions that lessen the
administrative planning burden on programs by reducing the number and
prescriptiveness of planning processes that are required at Sec.
1302.101(b). Specifically, the first provision reduces current planning
topics from four in the existing rule (Education, Health, Family &
Community Partnerships, and Program Design and Management) to two in
the NPRM. The second provision significantly reduces the
prescriptiveness of the disabilities services plan and as a result
significantly reduces the costs associated with the requirement for
that planning. In order to estimate the costs associated with the first
provision, we assumed the four plans required in the existing rule took
approximately two weeks of the education manager's time to develop. Our
proposed provision would reduce the number of required plans by half.
As a result, we assume one week of the education manager's salary as
savings for each program. Then we multiplied this salary by the number
of programs to estimate the savings associated with this provision. For
the second provision, we assumed the disabilities service plan as
outlined in the existing rule took an average of one week of the
disabilities coordinator's time. We also assume that the changes to
this provision will result in an 80 percent decrease in burden, and as
such, estimate the savings per program to be 80 percent of the
disabilities coordinator's average weekly wage. We then find estimated
savings associated with this provision by multiplying this amount by
the total number of programs. Finally, we sum these two savings to find
the total estimated savings for this policy change to be $4,419,550.
----------------------------------------------------------------------------------------------------------------
Cost of staff Savings per Number of Estimated
Cost time/week program programs savings
----------------------------------------------------------------------------------------------------------------
Reduction of Plans.............................. $922 .............. 2,815 $2,595,430
[[Page 35517]]
Revision of Disabilities Plan................... 811 $648 2,815 1,824,120
---------------------------------------------------------------
Total....................................... .............. .............. .............. $4,419,550
----------------------------------------------------------------------------------------------------------------
Implementation of Changes in the Program Performance Standards
This NPRM includes numerous changes to Head Start's Program
Performance Standards. As a result, we have included provisions at
Sec. 1302.103 that require programs to develop a program-wide approach
to prepare for and implement these changes, in order to ensure their
effectiveness. In order to estimate the cost associated with these
provisions, we estimated the costs associated with Head Start staff
time by calculating the average hourly wage of the entire management
team (for the director, education manager, health services manager, and
disabilities coordinator combined), and assumed 40 hours of the entire
management team's time to develop the approach ($3,910). Using this
method we estimate the total cost of this provision at $11,006,650.
----------------------------------------------------------------------------------------------------------------
40 Hours of
Provision Hourly rate of management team Number of Estimated cost
management team time programs
----------------------------------------------------------------------------------------------------------------
Implementation Planning..................... $97.74 $3,910 2,815 $11,006,650
----------------------------------------------------------------------------------------------------------------
1. Regulatory Impact Analysis
As part of our full regulatory analysis, we considered long-
standing economic analysis of the return on investment through benefits
to society of high quality early education, how they are linked to the
changes we propose, and the expectation for increased return on
investment that our proposed changes create. We also considered the
potential for distributional effects, in which the proposed changes
will benefit one distinct population, while potentially harming
another. Finally, we considered the costs, savings, and potential
benefits associated with several regulatory alternatives.
Cost-benefit analysis
There is no question that high quality early learning programs
yield significant benefits to children and society.\318\ Early learning
programs provide a unique opportunity to intervene and support
children's development during a period in which learning and growth is
at its most rapid.319 320 321 Early learning programs have
short and long term effects on children's math, reading and behavior
skills, and can reduce grade retention, teen pregnancy, and the need
for special education services and in the long-term can increase
lifetime earnings and reduce
crime.322 323 324 325 326 327 328 329 330 331 332 333 334
Numerous evaluations of both small-scale and large-scale early
education programs demonstrate that the benefits to children and our
society outweigh the financial costs of funding these programs. Studies
examining the return on investment for early learning programs find a
range of levels for positive returns. For example, the Perry Preschool
project, a two-year early learning intervention for children from low-
income families, netted approximately 7-10 dollars back for every
dollar spent on the program, with a baseline estimate of
$8.60.335 336 Most of these financial benefits came from
later reductions in crime. Evaluations of the Chicago Child-Parent
Center program (CPC) also show benefits from medium and long-term
positive effects. When CPC participants reach age 21, analyses
demonstrates that one and a half years of CPC preschool participation
yielded a return for society
[[Page 35518]]
of $7.10. In comparison to preschool children who did not participate
in CPC, the preschool participants had lower rates of special education
placement and grade retention and a higher rate of high school
completion. They also had lower rates of juvenile arrests and lower
arrest rates for a violent offense.\337\ A recent analysis by some of
the country's premier child development and early intervention experts
conclude universal pre-kindergarten returns $3-5 in benefits for every
dollar spent.\338\ Nobel Prize winning economist James Heckman
concludes that educational interventions in the first five years of
life show much greater benefits than later interventions.\339\
---------------------------------------------------------------------------
\318\ Heckman, J. J., Moon, S. H., Pinto, R., Savelyev, P. A., &
Yavitz, A. (2010). The rate of return to the HighScope Perry
Preschool Program. Journal of Public Economics, 94, 114-128.
\319\ National Scientific Council on the Developing Child
(2007). The Timing and Quality of Early Experiences Combine to Shape
Brain Architecture: Working Paper No. 5. Retrieved from
www.developingchild.harvard.edu.
\320\ Anda R.F., Felitti V.J., Bremner J.D., Walker J.D.,
Whitfield C., Perry, B.D., Dube, S.R., & Giles, W.H. (2006). The
enduring effects of abuse and related adverse experiences in
childhood. A convergence of evidence from neurobiology and
epidemiology. European Archives of Psychiatry and Clinical
Neuroscience, 256(3), 174-186.
\321\ National Scientific Council on the Developing Child
(2010). Early Experiences Can Alter Gene Expression and Affect Long-
Term Development: Working Paper No. 10. Cambridge, MA: Author.
\322\ Aikens, N., Kopack Klein, A., Tarullo, L., & West, J.
(2013). Getting Ready for Kindergarten: Children's Progress During
Head Start. FACES 2009 Report. OPRE Report 2013-21a. Washington, DC:
Office of Planning, Research and Evaluation, Administration for
Children and Families, U.S. Department of Health and Human Services.
\323\ Schweinhart, L. J., Montie, J., Xiang, Z., Barnett, W. S.,
Belfield, C. R., & Nores, M. (2005). Lifetime effects: The HighScope
Perry Preschool study through age 40. Ypsilanti, MI: HighScope
Press.
\324\ Barnett, W. S., & Hustedt, J. T. (2005). Head start's
lasting benefits. Infants & Young Children, 18(1), 16-24.
\325\ Yoshikawa, H., Weiland, C., Brooks-Gunn, J., Burchinal,
M., . . . Zaslow, M. (2013). Investing in our future: The evidence
base on preschool education. Foundation for Child Development. New
York, NY.
\326\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W. S.
(2010). Meta-analysis of the effects of early education
interventions on cognitive and social development. The Teachers
College Record, 112, 579-620.
\327\ Wong, V. C., Cook, T. D., Barnett, W. S., & Jung, K.
(2008). An effectiveness-based evaluation of five state
prekindergarten programs. Journal of Policy Analysis and Management,
27, 122-154.
\328\ Reynolds, A.J. (2000). Success in early intervention: The
Chicago Child-Parent Centers. Lincoln, Nebraska: University of
Nebraska Press.
\329\ Schweinhart, L. J., Montie, J., Xiang, Z., Barnett, W. S.,
Belfield, C. R., & Nores, M. (2005). Lifetime effects: The HighScope
Perry Preschool study through age 40. Ypsilanti, MI: HighScope
Press.
\330\ Gormley, W., Gayer, T., Phillips, D.A., & Dawson, B.
(2005). The effects of universal Pre-K on cognitive development.
Developmental Psychology, 41, 872-884.
Campbell, F. A., Ramey, C. T., Pungello, E., Sparling, J., &
Miller-Johnson, S. (2002). Early childhood education: Young adult
outcomes from the Abecedarian project. Applied Developmental
Science, 6, 42-57.
\331\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\332\ Peisner-Feinberg, E. S., Schaaf, J. M., LaForett, D. R.,
Hildebrandt, L.M., & Sideris, J. (2014). Effects of Georgia's
Pre[hyphen]K Program on children's school readiness skills: Findings
from the 2012-2013 evaluation study. Chapel Hill: The University of
North Carolina, FPG Child Development Institute.
\333\ Campbell, F. A., Ramey, C. T., Pungello, E., Sparling, J.,
& Miller-Johnson, S. (2002). Early childhood education: Young adult
outcomes from the Abecedarian project. Applied Developmental
Science, 6, 42-57.
\334\ The Council of Economic Advisers. (December, 2014). The
Economics of Early Childhood Investments. Washington, DC: Authors.
\335\ Heckman, J.J., Moon, S.H., Pinto, R., Savalyev, P.A. &
Yavitz, A. (2010). The Rate of Return to the High/Scope Perry
Preschool Program. Journal of Public Economics, 94(1-2), 114-128.
\336\ The Council of Economic Advisers. (December, 2014). The
Economics of Early Childhood Investments. Washington, DC: Authors.
\337\ Reynolds, A.J., Temple, J.A., Robertson, D.L., Mann, E.A.
(2002). Age 21 Cost-Benefit Analysis of the Title I Chicago Child-
Parent Centers. Educational Evaluation and Policy Analysis. 24(4),
267-303.
\338\ Yoshikawa, H., Weiland, C., Brooks-Gunn, J., Burchinal,
M., . . . Zaslow, M. (2013). Investing in our future: The evidence
base on preschool education. Foundation for Child Development.
\339\ Heckman, J. J., Moon, S. H., Pinto, R., Savelyev, P. A., &
Yavitz, A. (2010). The rate of return to the HighScope Perry
Preschool Program. Journal of Public Economics, 94, 114-128.
---------------------------------------------------------------------------
However, early learning programs must be sufficiently high quality
to reap these benefits. While there are some direct estimates of Head
Start's return on investment,340 341 these estimates rely
largely on outdated data (when children who did not receive Head Start
received no other early education experiences) and generally provide
imprecise estimates that vary widely. These studies and other data give
us confidence that Head Start programs presently yield some return on
the federal investment. However, based on monitoring data, including
CLASS, and findings from FACES and the Head Start Impact Study, we also
know that there is significant variance in quality among Head Start
programs and more must be done to ensure every Head Start program is
providing high quality services that will promote strong and lasting
child outcomes.342 343 344
---------------------------------------------------------------------------
\340\ Ludwig, J., & Phillips, D. A. (2007). The benefits and
costs of Head Start (No. w12973). National Bureau of Economic
Research.
\341\ Deming, D. (2009). Early childhood intervention and life-
cycle skill development: Evidence from Head Start. American Economic
Journal: Applied Economics, 111-134.
\342\ Office of Head Start (2014). A National Overview of
Grantee CLASS(TM) Scores in 2013. Washington, DC: Office of Head
Start, Administration for Children and Families, U.S. Department of
Health and Human Services.
\343\ Aikens, N., Kopack Klein, A., Tarullo, L., & J. West.
(2013). Getting Ready for Kindergarten: Children's Progress During
Head Start. FACES 2009 Report. OPRE Report 2013-21a. Washington, DC:
Office of Planning, Research and Evaluation, Administration for
Children and Families, U.S. Department of Health and Human Services.
\344\ Puma, M., Bell, S., Cook, R., Heid, C., Broene, P.,
Jenkins, F., & Downer, J. (2012). Third grade follow-up to the Head
Start impact study final report. U.S. Department of Health and Human
Services Office of Planning, Research and Evaluation.
---------------------------------------------------------------------------
The proposals in this NPRM are designed to strengthen Head Start
quality, improve child outcomes, and increase the return on taxpayer
dollars. Proposed changes to improve teaching practices, including
implementation of content-rich curriculum and effective use of
assessment data, and proposed changes to professional development are
central to our effort to ensure every child in Head Start receives high
quality early learning experiences that will build the skills they need
to succeed in school and beyond. In order to maximize the effectiveness
of Head Start and yield a high rate of return on investment, we believe
it is essential to pair these improvements to the early learning
experiences provided by Head Start with increases in program dosage.
The Secretary's Advisory Committee recommended Head Start look to
``optimize dosage,'' and our new proposed minimums are more aligned
with state pre-kindergarten programs that have shown strong
effects.345 346 For example, North Carolina pre-
kindergarten, which is offered to lower income families and operates
6.5 hours per day and 180 days per year, demonstrates strong effects.
Children who attend the program make gains in language, literacy, math,
general knowledge and social skills. At the end of 3rd grade, children
from low income families who had attended state pre-kindergarten scored
higher on math assessments than children from low income families who
did not attend. Moreover, children who are dual language learners make
gains at even faster rates than other children.\347\ New Jersey's state
pre-kindergarten, which operates between 6-10 hours per day and 180-245
days per year shows significant impacts for child learning. Children
who attend New Jersey pre-kindergarten show improvements in language,
print awareness, and math at kindergarten entry, 1st grade, and 2nd
grade. Gains still exist in language arts, literacy, math, and science
at 4th and 5th grade. They also show a 40 percent decrease in grade
retention and a 31 percent decrease in special education
placement.\348\
---------------------------------------------------------------------------
\345\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\346\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
\347\ Peisner-Feinberg, E. S., Schaaf, J. M., LaForett, D. R.,
Hildebrandt, L.M., & Sideris, J. (2014). Effects of Georgia's Pre-K
Program on children's school readiness skills: Findings from the
2012-2013 evaluation study. Chapel Hill: The University of North
Carolina, FPG Child Development Institute.
\348\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
---------------------------------------------------------------------------
Other states with dosage consistent with our proposed minimums find
strong results for children. For example, Georgia pre-kindergarten,
which operates 6.5 hours per day and typically runs 180 days per year,
finds medium to large effects on children's language, literacy, and
math skills at kindergarten entry.\349\ Tulsa pre-kindergarten also
shows strong effects for children in language and math skills. This
program operates 180 days per year and is mainly a full-day program for
low-income children. There is some evidence that full-day attendance in
Tulsa supports better outcomes for low income and minority
children.\350\ Boston pre-kindergarten, which also operates for a full
school day and school year, demonstrates large effects on children's
language and math skills.\351\
---------------------------------------------------------------------------
\349\ Peisner-Feinberg, E. S., Schaaf, J. M., LaForett, D. R.,
Hildebrandt, L.M., & Sideris, J. (2014). Effects of Georgia's Pre-K
Program on children's school readiness skills: Findings from the
2012-2013 evaluation study. Chapel Hill: The University of North
Carolina, FPG Child Development Institute.
\350\ Gormley, G.T., Gayer, T., Phillips, D., & Dawson, B.
(2005). The effects of universal pre-k on cognitive development.
Developmental Psychology, 4(6), 872-884.
\351\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
---------------------------------------------------------------------------
Only a small amount of research with young children has been able
to isolate the impact of dosage on child learning, but what does exist
links increasing the length of the program day and program year to
improved children's outcomes. For example, a randomized control study
in which one group of children attended pre-kindergarten for 8 hours
per day for 45 weeks and another group of children attended the same
program for 2.5-3 hours per day for 41 weeks found that by the spring
of kindergarten, the children who had attended full-day pre-
kindergarten had improved almost twice as much on vocabulary and math
skills compared to the children who attended half day.\352\ Research
with children in child care settings found 30 hours of participation
each week to be necessary for low and middle income
[[Page 35519]]
children to see stronger learning outcomes.\353\
---------------------------------------------------------------------------
\352\ Robin, K.B., Frede, E.C., Barnett, W.S. (2006). Is More
Better? The Effects of Full-Day vs. Half-Day Preschool on Early
School Achievement. NIEER Working Paper.
\353\ Loeb, S., Bridges, M., Bassok, D., Fuller, B., Rumberger,
R., (2005). How much is too much? The influence of preschool centers
on children's social and cognitive development. Working paper.
National Bureau Of Economic Research.
---------------------------------------------------------------------------
Moreover, research on effective teaching practices for children at
risk of school difficulties also support the need for full-day
operation. A six hour program day will better support delivery of high
quality learning experiences that are developmentally appropriate and
targeted to improve individualization and skill growth. A meta-analysis
of pre-kindergarten programs found that those that focused on
intentional teaching and small group and one-to-one interactions had
larger impacts on child outcomes.\354\ It is very difficult for a half-
day program to provide sufficient time for teachers to conduct learning
activities and intentional instruction in small group and one-on-one
interactions in the areas of skill development experts believe are
important to later school success.
---------------------------------------------------------------------------
\354\ Camilli, G., Vargas, S., Ryan, S., & Barnett, W.S. (2010).
Meta-analysis of the effects of early education interventions on
cognitive and social development. Teachers College Record, 112(3),
579-620.
---------------------------------------------------------------------------
Researchers believe meaningful skill development in language,
literacy, and math requires intentional, frequent, and specific methods
of instruction and teacher-child interactions. These types of
interactions are often complex, require a variety of types of
interactions and intensities, and for many children in Head Start, need
to be conducted in small groups to allow sufficient individualized
scaffolding and skill development.\355\ Experts believe math curriculum
and instruction must support development of broad and deep mathematical
thinking and knowledge, including development of abstract thought and
reasoning.\356\ Targeted instruction and small group activities are
teaching practices that are particularly important to include for
supporting the learning of children who are behind.357 358
Language and literacy experts believe teachers must take an active role
in supporting language and literacy development for children at risk of
reading difficulties. That requires systematic and explicit instruction
to foster vocabulary breadth and depth. Research with toddlers and
preschool age children also finds that greater exposure to rich
vocabulary enrichment allows for better scaffolding that can lead to
improved language and literacy.359 360 As such, experts
recommend in addition to integration into group learning and free play,
language and literacy instruction should be explicitly structured and
sequenced in 15-20 minutes small group session at least three times per
week.\361\ Math experts have similar time estimates for supporting
adequate high quality learning experiences.362 363
---------------------------------------------------------------------------
\355\ Justice, L.M., Mcginty, A., Cabell, S.Q., Kilday, C.R.,
Knighton, K., & Huffman, G. (2010). Language and literacy curriculum
supplement for preschoolers who are academically at risk: A
feasibility study. Language, Speech, and Hearing Services in
Schools, 41, 161-178.
\356\ Ginsburg, H.P., Ertle, B., & Presser, A.L. (2014). Math
curriculum and instruction for young children. Chapter 16 in
Handbook of Response to Intervention in Early Childhood, Buysee, V.,
& Peisner-Feinberg, E. (Eds.). Baltimore: Paul H. Brookes
Publishing.
\357\ Buysse, V., Peisner-Feinber, E.S., Saikakou, E., &
LaForett, D.R. (2014). Recognition & response: A model of response
to Intervention to promote academic learning in early education.
Chapter 5 in Handbook of Response to Intervention in Early
Childhood, Buysee, V., & Peisner-Feinberg, E. (Eds.). Baltimore:
Paul H. Brookes Publishing.
\358\ Justice, L.M., McGinty, A., Cabell, S.Q., Kilday, C.R.,
Knighton, K., & Huffman, G. (2010). Language and literacy curriculum
supplement for preschoolers who are academically at risk: A
feasibility study. Language, Speech, and Hearing Services in
Schools, 41, 161-178.
\359\ Harris, Golinkoff, & Hirsh-Pasell (2011). Lessons for the
Crib for the Classroom: How Children Really Learn Vocabulary. In
Handbook of Early Literacy Research, Vol 3. Ed by D. Dickinson and
S. Neuman (NY: Guilford). 49-65.
\360\ Dickinson, D.K., Flushman, T.R., & Freiberg, J.B. (2009).
Learning, reading, and classroom supports: Where we are and where we
need to be going. In B. Richards, M.H. Daller, D.D. Malvern, P.
Meara, J. Milton, & Trefers-Daller (Eds.). Vocabulary Studies in
First and Second Language Acquisition: The Interface Between Theory
and Application. (pp. 23-38). Hampshire, England: Palgrave-McMillan.
\361\ Curenton, S.M., Justice, L.M., Zucker, T.A., & McGinty,
A.S. (2014). Language and literacy curriculum and instruction.
Chapter 15 in Handbook of Response to Intervention in Early
Childhood, Buysee, V., & Peisner-Feinberg, E. (Eds.). Baltimore:
Paul H. Brookes Publishing.
\362\ Clements, D.H., Sarama, J., Wolfe, C.B., & Spitler, M.E.
(2012). Longitudinal evaluation of a scale-up model for teaching
mathematics with trajectories and technologies: persistence of
effects in the third. American Educational Research Journal.
\363\ Clements, D.H., & Sarama, J., (2008). Experimental
evaluation of the effects of a research-based preschool mathematics
curriculum. American Educational Research Journal, 45(2), 443-494.
---------------------------------------------------------------------------
This targeted instruction in key school readiness areas requires
more time than what is provided in a half-day program. Thus, it is not
surprising to note that a recent analysis of the Head Start Impact data
found the more effective programs were full-day.\364\ Therefore, we
believe for Head Start to better reach its potential for closing the
achievement gap and helping children arrive at school ready to succeed,
a full-day program is central to providing a supportive and warm
learning environment that promotes positive social and emotional skill
development and supports Head Start children learning key academic
skills.
---------------------------------------------------------------------------
\364\ Walters, C. (2014). Inputs in the production of early
childhood human capital: Evidence from Head Start. Working paper.
Berkley, CA.
---------------------------------------------------------------------------
Research with slightly older children also finds longer program
days are important for children's skill development and academic
success. Numerous studies on kindergarten find children learn more in
full-day kindergarten than half-day
kindergarten.365 366 367 368 369 This is not surprising
since more instruction is delivered in full-day classrooms.\370\ A
recent meta-analysis of studies examining the effects of full-day
kindergarten finds that full-day kindergarten led to better skills in
1st grade than half-day kindergarten.\371\ Analysis of the large
national Early Childhood Longitudinal Study (ECLS) data also found
children in full-day kindergarten improved more in math and reading
than children in half-day kindergarten.\372\ Another study found full-
day kindergarten helped narrow the achievement gap for dual language
learners in particular.\373\ This finding is important since a large
and increasing portion of Head Start children are dual language
learners.
---------------------------------------------------------------------------
\365\ DeCicca, P. (2007). Does full-day kindergarten matter?
Evidence from the first two years of schooling. Economics of
Education Review, 26(1), 67-82.
\366\ Cryan, J. R., Sheehan, R., Wiechel, J., & Bandy-Hedden, I.
G. (1992). Success outcomes of full-day kindergarten: More positive
behavior and increased achievement in the years after. Early
Childhood Research Quarterly, 7(2), 187-203.
\367\ Lee, V. E., Burkam, D. T., Ready, D. D., Honigman, J., &
Meisels, S. J. (2006). Full-Day versus Half-Day Kindergarten: In
Which Program Do Children Learn More? American Journal of Education,
112(2), 163-208.
\368\ http://www.thecommunityguide.org/healthequity/education/he-AJPM-evrec-fdk.pdf.
\369\ Schroeder, J. (2007). Full-day kindergarten offsets
negative effects of poverty on state tests. European Early Childhood
Education Research Journal. 15(3), 427-439.
\370\ Walston, J.T., and West, J. (2004). Full-day and Half-day
Kindergarten in the United States: Findings from the Early Childhood
Longitudinal Study, Kindergarten Class of 1998-99 (NCES 2004-078).
U.S. Department of Education, National Center for Education
Statistics. Washington, DC: U.S. Government Printing Office.
\371\ Hahn, R.A., Rammohan, V. et al. (2014). Effects of Full-
Day Kindergarten on the Long-Term Health Prospects of Children in
Low-Income and Racial/Ethnic-Minority Populations. American Journal
of Preventive Medicine, 46(3), 312-323.
\372\ Walston, J.T., & West, J. (2004). Full-day and Half-day
Kindergarten in the United States: Findings from the Early Childhood
Longitudinal Study, Kindergarten Class of 1998-99 (NCES 2004-078).
U.S. Department of Education, National Center for Education
Statistics. Washington, DC: U.S. Government Printing Office.
\373\ Chang, M. (2012). Academic performance of language-
minority students and all-day kindergarten: a longitudinal study.
School Effectiveness and School Improvement: An International
Journal of Research, Policy and Practice 23(1), 21-48.
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[[Page 35520]]
Research on summer learning loss demonstrates the importance of
extending the minimum days of operation in Head Start. Research on
reading skills found high-income students gained skills over summer
break, middle income students maintained their skill level, and
children from lower income families lost skills.\374\ Experts conclude
the average student loses one month worth of skills and development
over the summer break.\375\ The amount of learning loss is even greater
for children from low income families who may not have as much access
to educational resources and experiences during the summer and who are
already behind their more advantaged peers and need extra time to learn
skills and strengthen development.376 377 378 379 380 381
This pattern is also true for the youngest children in elementary
school. Analysis of the ECLS finds that children from families with
higher incomes learn more over the summer between kindergarten and 1st
grade than do children from families with lower incomes.\382\ In fact,
researchers believe the effects of summer learning loss for children
from low-income families is cumulative and that the disparity in summer
gains and losses over the first four summers of elementary school is
greater than the differential between children from high and low income
families at school entry.\383\ Experts also conclude summer learning
loss in elementary school predicts poor academic achievement in high
school.\384\
---------------------------------------------------------------------------
\374\ Benson, J., & Borman, G.D. (2010). Family, Neighborhood,
and School Settings Across Seasons: When Do Socioeconomic Context
and Racial Composition Matter for the Reading Achievement Growth of
Young Children? Teacher's College Record, 112(5), 1338-1390.
\375\ Sloan McCombs, J. et al., (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\376\ Alexander, K. L., Entwisle D. R., & Olson L. S. (2007).
Lasting consequences of the summer learning gap. American
Sociological Review, 72, 167-180.
\377\ Ibid.
\378\ Sloan McCombs, J. et al., (2011). Making Summer Count. How
Summer Programs Can Boost Children's Learning. Santa Monica, Calif.:
RAND Corporation.
\379\ Allington, R.L. & McGill-Franzen, A. (2003). The Impact of
Summer Setback on the Reading Achievement Gap. The Phi Delta Kappan,
85(1), 68-75.
\380\ Fairchild, R. & Noam, G. (Eds.) (2007). Summertime:
Confronting Risks, Exploring Solutions. San Francisco: Jossey-Bass/
Wiley.
\381\ Downey, D.B., von Hippel, P.T. & Broh, B.A. (2004). Are
Schools the Great Equalizer? Cognitive Inequality During the Summer
Months and the School Year. American Sociological Review, 69(5),
613-635.
\382\ Burkam, D.T., Ready, D.D., Lee, V.E. & LoGerfo, L.F.
(2004). Social-Class Differences in Summer Learning Between
Kindergarten and First Grade: Model Specification and Estimation.
Sociology of Education, 77, 1-3.
\383\ Alexander, K. L., Entwisle D. R., & Olson L. S. (2007).
Lasting consequences of the summer learning gap. American
Sociological Review, 72, 167-180.
\384\ Ibid.
---------------------------------------------------------------------------
Research on attendance also finds exposure to additional learning
time is important for skill development.385 386 Research
with elementary school children has shown an increase in school
attendance predicted improved reading scores.\387\ A recent study of
preschool attendance in Chicago found that even when accounting for
children's skill level at the beginning of preschool, attendance
predicted better academic outcomes at the end of preschool and beyond
and that attendance was most beneficial for children starting preschool
with the lowest skills. Children who missed more preschool had lower
math, letter recognition, and social-emotional skills and were also
rated as lower on work habits by their teachers.\388\
---------------------------------------------------------------------------
\385\ Logan, J.A.R., Piasta, S.B., Justice, L.M.,
Schatschneider, C., & Petrill, S. (2011). Children's Attendance
Rates and Quality of Teacher-Child Interactions in At-Risk Preschool
Classrooms: Contribution to Children's Expressive Language Growth.
Child & Youth Forum 40(6), 457-477.
\386\ Hubbs-Tait, L., McDonald Culp, A., Huey E., Culp, R.,
Starost, H., & Hare, C. (2002). Relation of Head Start attendance to
children's cognitive and social outcomes: moderation by family risk.
Early Childhood Research Quarterly, 17, 539-558.
\387\ Lamdin, D.J. (1996). Evidence of student attendance as an
independent variable in education production functions. Journal of
Educational Research, 89(3), 155-162.
\388\ Ehrlich, S.B., Gwynne, J.A. . . . Sorice, E. (2014).
Preschool Attendance in Chicago Public Schools: Relationships with
Learning Outcomes and Reasons for Absences. University of Chicago
Consortium on Chicago School Research. Research Report.
---------------------------------------------------------------------------
Current Head Start minimums permit 4 months of summer break, making
the likelihood of skill loss between program years even higher than
what we see in elementary and secondary education. The majority of Head
Start programs operate with a 4 month break between program years,
which we believe undermines the progress Head Start children make
during the year and lessens the overall impact of the program.
In sum, providing high quality early education is not a simple
task. Standards must be high to create learning environments that allow
teachers to facilitate effective early learning experiences and support
must be provided that continuously build teachers' skills and
knowledge. Taken together, the full-day, instructional time, summer
loss, and attendance research clearly indicate current Head Start
minimums for program operations are inadequate to achieve the results
researchers and economist have shown are possible. This rule aims to
ensure every Head Start program implements the standards and supports
necessary to foster effective teaching practices and strong child
outcomes, and meet the mandates of the Act, leading to larger returns
on the federal investment.
It is our goal that this rule will be implemented with sufficient
funds to avoid slot loss resulting from costs associated with this
rule. The President's FY2016 Budget includes a request for $1.5 billion
in additional Head Start funding, with more than $1 billion of that to
support the extension of the Head Start program day and year, which are
the two provisions associated with the largest costs in this NPRM. If
Head Start appropriations increase by this or a similar amount, the
programmatic costs currently estimated in this section would be borne
in full by the federal government, and there would be no lost benefit
to society as a result of a reduction in Head Start slots. Instead, the
changes we propose would result in a significant increase in the
quality of Head Start for children and the associated benefits of Head
Start participation for all children.
In the absence of additional funding, this proposed rule will
result in approximately 13 percent decrease in available slots. This
slot loss has costs to society since fewer children will have access to
Head Start in the future. This cost to society may be mitigated by the
availability of other early learning programs, given findings from the
Head Start Impact Study that indicate a wide range of ECE utilization
among children who do not have access to Head Start.\389\ In this case,
determining how the loss of slots impacts society depends on how
benefits differ between Head Start and the alternative ECE programs.
Among children whose future Head Start slots are eliminated, those that
enroll in alternative ECE programs of similar quality would not
experience a loss of benefits, while children who enroll in programs of
lower quality or no program at all would experience lost benefits. To
be sure, quality and affordable early learning programs for poor
families are limited and there is significant unmet need. A reduction
in Head Start slots
[[Page 35521]]
may not be fully absorbed by other programs.
---------------------------------------------------------------------------
\389\ Puma, M., Bell, S., Cook, R., Heid, C., Broene, P.,
Jenkins, F., & Downer, J. (2012). Third grade follow-up to the Head
Start impact study final report. US Department of Health and Human
Services Office of Planning, Research and Evaluation.
---------------------------------------------------------------------------
Continuing to operate under widely varying minimums for program
dosage, in the face of the mounting evidence provided here, limits Head
Start's overall effectiveness and undermines Head Start's mission. Our
proposal, and specifically the most costly changes proposed in this
NPRM, are designed to ensure every child in Head Start receives the
highest quality program and thus are inextricably linked to reaping the
full range of benefits that researchers and economists have
demonstrated are possible.
Accounting Statement--Table of Quantified and Non-Quantified Benefits,
Costs, and Transfers
As required by OMB Circular A-4, we have prepared an accounting
statement table showing the classification of the impacts associated
with implementation of this proposed rule. We decided to use a 10-year
window for this regulatory impact analysis and distinguish between
average annual costs in year 1, year 2, and average annual ongoing
costs in subsequent years 3-10. As required by the Office of Management
and Budget (OMB), we discount costs at 3 percent and 7 percent and have
included total present value as well as annualized value of these
estimates in our analyses below.
We chose to distinguish between the first two years of costs and
the ongoing costs because we have delayed the majority of the
regulatory changes for the first year to allow time for programs to
plan, and because some of the costs we estimate will only occur in the
first year of implementation (second year of costs estimated here),
while most of the costs will recur annually. We also include here
several costs and savings to society, separate from those identified
for programs, which are described in detail above.
----------------------------------------------------------------------------------------------------------------
Years 3-10
Year 1 Year 2 (Annually)
----------------------------------------------------------------------------------------------------------------
Programmatic Savings................................... ($57,996,468) ($104,635,321) ($104,635,321)
Programmatic Costs..................................... $14,491,427 $1,142,984,610 $1,141,433,545
Societal Opportunity Costs and Savings................. $726,824 $40,106,342 $40,106,342
Net Costs*............................................. ($42,778,217) $1,078,455,630 $1,076,904,565
----------------------------------------------------------------------------------------------------------------
* Note these costs do not include the potential lost benefits of children who no longer have access to Head
Start or the impact on children who attend other ECE programs.
These costs were then discounted and annualized using the 10 year
window and the OMB discounting rates. In total, the 10-year present
value of the costs associated with the proposed changes in this NPRM
are estimated to be $8,343,623,913, discounted at 3 percent, and
$6,974,954,727, discounted at 7 percent. The annualized costs of the
proposed changes in this NPRM are estimated to be $949,638,115
discounted at 3 percent, and $928,109,005, discounted at 7 percent.
----------------------------------------------------------------------------------------------------------------
Average annualized (years 1-10) 10 Year Total
-------------------------------------------------------------------------------
Discounted 3% Discounted 7% Discounted 3% Discounted 7%
----------------------------------------------------------------------------------------------------------------
Net Costs....................... $949,638,115 $928,109,005 $8,343,623,913 $6,974,954,727
----------------------------------------------------------------------------------------------------------------
Distributional Effects
As part of our regulatory analysis, we considered whether the
changes we propose would disproportionately benefit or harm a
particular subpopulation. If the funding proposed in the President's
Budget is not provided, the proposal will result in a loss in the
number of children being served by Head Start and an improvement in
quality for the much larger group of low-income children who continue
to participate. We do not expect the children who may lose access to
Head Start if the funding is not provided to be systematically
different in terms of meaningful subpopulations from the children who
will be receiving greater benefits from higher quality services. We
also acknowledge that, if the funding in the President's Budget is not
provided, 9,432 teachers, assistant teachers, and home visitors will no
longer be employed as a result of this proposal. Again, while these
teachers will be economically harmed as a result of this proposal, the
remaining 105,621 teachers, assistant teachers, and home visitors whose
employment is not terminated, should receive pay increases as a result
of working longer hours and longer program years. We do not expect the
teachers who are no longer employed to be systematically different in
terms of meaningful subpopulations from the teachers who will see
increased pay as a result of this proposal.
We also considered whether there would be a differential impact of
the proposed changes, specifically the extended day and year
provisions, on both children and teachers based upon geographic
location or tribal affiliation. While we found significant variation at
the state level with regard to the percentage of slots that meet the
new proposed minimums, there were no systematic differences based on
the region of the country (e.g., North vs. South; Midwest vs. West,
etc.). We also found no systematic differences between tribal programs
and non-tribal programs with regard to meeting the new proposed
minimums.
Regulatory Alternatives
As part of our full regulatory analysis, we have considered several
regulatory alternatives, which we outline below. Specifically, we have
considered alternatives to the policy changes we have determined to be
our largest cost-drivers: Extension of the program year, extension of
the program day, and mentor coaching. We consider alternatives to these
policy changes by analyzing the effect of the net cost in dollars,
slots, and teacher jobs of making no change to the existing rule, as
well as more costly policy changes. We also consider how these
regulatory alternatives might be impacted by the availability of
additional funds consistent with the President's FY2016 Budget request
to support the extension of the program day and year. Our justification
for choosing to make a policy change is provided in depth in the
relevant sections of this NPRM.
[[Page 35522]]
However, we do provide additional rationale for not opting to propose
the more costly regulatory alternatives in this section.
Extension of the Program Year
This NPRM proposes to extend the minimum Head Start year to 180
days, and to codify current interpretation of a ``full-year'' of Early
Head Start at 230 days. As described in great detail above, these
proposed changes will increase the amount of instructional time in Head
Start programs, which research suggests is critical to reaping the full
benefits of the other quality improvement provisions we have
proposed.390 391 In our cost analysis, we estimated the
total cost of these new minimums to be $560,596,307.
---------------------------------------------------------------------------
\390\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\391\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
---------------------------------------------------------------------------
As part of our full regulatory analysis, we considered two
alternatives to this policy change. Specifically, we considered the
alternative of making no change to our current minimums, thus
eliminating the associated cost of $560,596,307. Using the calculation
enumerated above, making no change to this policy would be associated
with 67,424 fewer slots lost and 7,746 fewer teachers no longer
employed. However, not making this change would also prevent the
significant predicted increase in impacts on child outcomes we have
described below. If Head Start receives the appropriations requested in
the President's FY2016 Budget, the cost associated with this provision
would be borne by the federal government and there would be no
associated slot or teacher job loss for our proposal, but the benefits
described below would be maintained.
We also considered the alternative of extending the program year
for Head Start to a true ``full-year'' as is often implemented in child
care programs. This alternative would involve increasing the minimum
program year for all programs to 230 days, as is interpreted for Early
Head Start. Using the same method employed in our original cost
analysis, the total associated costs of this alternative would be
$1,534,726,851, which would result in a total of 184,585 slots lost and
21,206 teachers no longer employed for this provision alone. For this
regulatory alternative, we also calculated the cost and associated slot
and teacher job loss if Head Start receives the appropriations
requested in the President's FY2016 Budget. In this case, the
additional associated costs of this alternative, assuming the proposed
regulatory change as a base, would be $974,130,544 more than our
proposed change (and more than the budget request supports), which
would result in 117,161 additional slots lost and 13,460 additional
teachers no longer employed.
While it is possible that increasing the program year for all
programs to 230 days would result in greater impacts on child outcomes,
our proposed regulatory action of increasing to 180 days is modeled
after high quality pre-kindergarten programs that have, in fact,
demonstrated significant impacts on child outcomes. We also believe
that extending the program year for all programs to 230 days would be
an inappropriate regulatory mandate. Head Start is not a one-size fits
all program, especially considering the range of ages and needs of the
children we serve. Extending the program year for preschoolers to 180
days achieves our goal of increasing dosage without unnecessarily
limiting program flexibility to best meet the needs of their
communities.
Estimates Without Additional Funding
----------------------------------------------------------------------------------------------------------------
Status quo (128 Proposed (180
days minimum) days minimum) 230 days
----------------------------------------------------------------------------------------------------------------
Programmatic Cost...................................... 0 $560,596,307 $1,534,726,851
Slot Loss.............................................. 0 67,424 184,585
Loss in teacher jobs................................... 0 7,746 21,206
----------------------------------------------------------------------------------------------------------------
Estimates if FY2016 Budget Request is Appropriated
----------------------------------------------------------------------------------------------------------------
Programmatic Cost...................................... 0 0 $974,130,544
Slot Loss.............................................. 0 0 117,161
Loss in teacher jobs................................... 0 0 13,460
----------------------------------------------------------------------------------------------------------------
Extension of the Program Day
This NPRM proposes a new minimum number of hours for all center-
based Head Start, Early Head Start programs and family child care
programs. As also discussed in great detail above, these proposed
changes will increase the amount of exposure to learning experiences
which research suggests will result in larger impacts on child
outcomes.392 393 As part of our full regulatory analysis, we
also considered two alternatives to this policy change. Specifically,
we considered the alternative of making no change to our current
minimums, thus eliminating the associated cost of $449,052,165. Making
no change to this policy would be associated with 54,009 fewer slots
lost and 1,110 fewer teachers no longer employed. It is important to
note that fewer teachers are lost in this estimate because we
anticipate maintaining all double session teachers. However, given the
arguments we have made in prior sections, we believe extending the
program day is necessary to ensure all children receive an adequate
dosage of high quality early learning experiences in order to improve
child outcomes. If Head Start receives the appropriations requested in
the President's FY2016 Budget, the cost associated with this provision
would be borne by the federal government and there would be no
associated slot or teacher job loss for our proposal, but the benefits
of extending the program day would be maintained.
---------------------------------------------------------------------------
\392\ Weiland, C., & Yoshikawa, H. (2013). Impacts of a
prekindergarten program on children's mathematics, language,
literacy, executive function, and emotional skills. Child
Development, 84, 2112-2130.
\393\ Barnett, W.S., Jung, K., Youn, M.J., and Frede, E.C.
(2013). Abbott Preschool Program Longitudinal Effects Study: Fifth
Grade Follow-Up. National Institute for Early Education Research
Rutgers--The State University of New Jersey.
---------------------------------------------------------------------------
We also considered the alternative of extending the program day to
a true ``full-day'' as is often implemented in child care programs.
This alternative would involve increasing the minimum
[[Page 35523]]
program day to 10 hours. This may be more beneficial to supporting
parental employment and allows even more time for exposure to rich
early learning experiences. Using the same method employed in our
original cost analysis, the associated costs of this alternative would
be $609,930,063, which would result in 73,358 slots lost and 3,333
teachers no longer employed for this provision alone. We estimate the
addition of these hours is substantially less than the estimated cost
of moving from a 3.5 hour minimum to a 6 hour minimum. It is important
to understand that this estimate is in addition to our original
estimate which includes the cost of converting double session programs.
For non-double session programs, the cost of adding each additional
hour of program duration is significantly less. For this regulatory
alternative, we also calculated the cost and associated slot and
teacher job loss if Head Start receives the appropriations requested in
the President's FY2016 Budget. In this case, the additional associated
costs of this alternative, assuming the proposed regulatory changes as
a base, would be $160,877,898 more than our proposed change (and more
than the budget request supports), which would result in 19,349 slots
lost and 2,223 teachers no longer employed.
While it is again possible that extending the minimum program day
for all programs to 10 hours would result in greater impacts on child
outcomes, as with our proposed regulatory action to extend the program
year, our proposal to extend the program day to 6 hours is sufficient
for implementation of content-rich learning experiences that support
strong child outcomes in key areas of school readiness and is modeled
after high quality pre-Kindergarten programs that have demonstrated
significant impacts on child outcomes. We also believe that extending
the program day for all programs to 10 hours would be an inappropriate
federal mandate. Head Start is not a one-size fits all program,
especially considering the range of ages and needs of the children we
serve. Extending the program day to 6 hours achieves our goal of
increasing dosage without unnecessarily limiting program flexibility to
best meet the needs of their communities, especially where parents do
not need extended child care.
Estimates Without Additional Funding
----------------------------------------------------------------------------------------------------------------
Status quo (3.5 Proposed (6 hours
hours minimum) minimum) 10 hour minimum
----------------------------------------------------------------------------------------------------------------
Financial Cost......................................... 0 $449,052,165 $609,930,063
Loss in students served................................ 0 54,009 73,358
Loss in teacher jobs................................... 0 1,110 3,333
----------------------------------------------------------------------------------------------------------------
Estimates if FY2016 Budget Request is Appropriated
----------------------------------------------------------------------------------------------------------------
Financial Cost......................................... 0 0 $160,877,898
Loss in students served................................ 0 0 19,349
Loss in teacher jobs................................... 0 0 2,233
----------------------------------------------------------------------------------------------------------------
Mentor Coaching
In this NPRM, we propose requirements that programs have a system
of professional development in place that includes an intensive
coaching strategy. As with our other largest cost drivers, as part of
our full regulatory analysis, we considered two alternatives to this
policy change. Specifically, we considered the alternative of not
requiring mentor coaches for any teachers, thus eliminating the
associated cost of $106,675,000. This alternative would be associated
with 12,830 fewer slots lost and 1,474 fewer teachers no longer
employed. We also considered the alternative of requiring mentor
coaches for all 64,000 teachers, rather than allowing programs to
allocate mentor coaches to the teachers which need intensive
professional development most (an estimated one-third of all teachers).
Using the same method employed in our original cost analysis, the
additional associated costs of this alternative would be $320,025,000
total or $213,350,000 more than our proposed change, which would result
in 38,490 total or 25,660 additional slots lost and 4,422 total or
2,948 additional teachers no longer employed. As described in previous
sections, we strongly believe that more intensive, focused professional
development is critical to improving teaching quality and thereby
increasing impacts on child outcomes. However, we believe it would be
inefficient to mandate that every teacher receive intensive
individualized coaching when other local professional development needs
may need to be met. The regulatory action we propose will achieve our
goal of improving teacher practices by targeting teachers most in need
of coaching to improve their teaching practices while still maintaining
local flexibility for individualized professional development.
----------------------------------------------------------------------------------------------------------------
Proposed (one
Status quo (no third of teachers All 64,000
coaching) receiving receiving
coaching) coaching
----------------------------------------------------------------------------------------------------------------
Financial Cost......................................... 0 $106,675,000 $320,025,000
Loss in students served................................ 0 12,830 38,490
Loss in teacher jobs................................... 0 1,474 4,422
----------------------------------------------------------------------------------------------------------------
[[Page 35524]]
Unfunded Mandates Reform Act
The Unfunded Mandates Reform Act (UMRA) \394\ was enacted to avoid
imposing unfunded federal mandates on state, local, and tribal
governments, or on the private sector. Most of UMRA's provisions apply
to proposed and final rules for which a general notice of proposed
rulemaking was published, and that include a federal mandate that may
result in expenditures by state, local, or tribal governments, in the
aggregate, or by the private sector of $100 million or more in any one
year. This NPRM will not impose unfunded mandates on state, local, and
tribal governments, or on the private sector.
---------------------------------------------------------------------------
\394\ 2 U.S.C. 1501 et seq.
---------------------------------------------------------------------------
Treasury and General Government Appropriations Act of 1999
Section 654 of the Treasury and General Government Appropriations
Act of 1999 requires federal agencies to determine whether a policy or
regulation may negatively affect family well-being. If the agency
determines a policy or regulation negatively affects family well-being,
then the agency must prepare an impact assessment addressing seven
criteria specified in the law. This rule will not have any impact on
the autonomy or integrity of the family as an institution. Accordingly,
we conclude that it is not necessary to prepare a family policymaking
assessment.\395\
---------------------------------------------------------------------------
\395\ Pub. L. 105-277
---------------------------------------------------------------------------
Federalism Assessment Executive Order 13132
Executive Order 13132 requires federal agencies to consult with
state and local government officials if they develop regulatory
policies with federalism implications. Federalism is rooted in the
belief that issues that are not national in scope or significance are
most appropriately addressed by the level of government close to the
people. This proposed rule will not have substantial direct impact on
the states, on the relationship between the federal government and the
states, or on the distribution of power and responsibilities among the
various levels of government. Therefore, in accordance with section 6
of Executive Order 13132, it is determined that this proposed rule does
not have sufficient federalism implications to warrant the preparation
of a federalism summary impact statement.
Congressional Review
The Congressional Review Act (CRA) allows Congress to review
``major'' rules issued by federal agencies before the rules take
effect.\396\ The CRA defines a major rule as one that has resulted or
is likely to result in (1) an annual effect on the economy of $100
million or more; (2) a major increase in costs or prices for consumers,
individual industries, federal, state or local government agencies, or
geographic regions; or (3) significant adverse effects on competition,
employment, investment, productivity, or innovation, or on the ability
of United States-based enterprises to compete with foreign-based
enterprises in domestic and export markets.\397\ This regulation is a
major rule because it will likely result in an annual effect of more
than $100 million on the economy.
---------------------------------------------------------------------------
\396\ 5 U.S.C. 802(a).
\397\ 5 U.S.C. Chapter 8.
---------------------------------------------------------------------------
Paperwork Reduction Act of 1995
Sections 1302 and 1303 contain new information collection
requirements. As required by the Paperwork Reduction Act of 1995 (44
U.S.C. 3507 (d)), the Administration for Children and Families has
submitted a copy of these sections to the Office of Management and
Budget (OMB) for its review. OMB regulations define ``information'' as
any statement or estimate of fact or opinion, regardless of form or
format, whether numerical, graphic, or narrative form, and whether oral
or maintained on paper, electronic or other media.\398\ This includes
requests for information to be sent to the government, such as forms,
written reports, and surveys, recordkeeping requirements, and third-
party or public disclosures.\399\ Descriptions of the information
collections and estimates of the annual reporting, recordkeeping, and
third-party disclosure burden are as follows:
---------------------------------------------------------------------------
\398\ 5 CFR 1320.3(h).
\399\ 5 CFR 1320.3(c).
---------------------------------------------------------------------------
Title: Head Start Grants Administration.
Description: We propose information collections related to the
protection for the privacy of child records. These requirements include
a new collection of parental written consent before disclosing
personally identifiable information from child records, an annual
notice that notify parents of their rights described in Sec. 1303.20
through 1303.24, applicable definitions in 1305, and a description of
PII that may be disclosed without parental consent, and a recordkeeping
requirement that the program must maintain, with each child's record, a
list of all individuals, agencies, or organizations that have requested
or obtained access to PII from child records and their expressed
interests.
Title: Head Start Performance Standards.
Description: We propose a new requirement to codify best practice
in assessing dual language learners (DLL). Specifically, we require
programs to administer language assessments to dual language learners
in both English and their home language, either directly or through
interpreters.
We propose to strengthen background check procedures by requiring
both state/local/tribal and federal criminal background checks, as well
as clearance through available child abuse and neglect and sex offender
registries. Making this requirement consistent with the Office of Child
Care's requirement will minimize burden on programs that operate with
both Head Start and Child Care Development Funds. This will increase
the record-keeping burden related to criminal record checks.
Description of Respondents and Burden Estimate: The total annual
burden hours estimated is 472,894 hours. For some items, burden hours
are calculated for individual children and families, for others the
burden hours are calculated for staff. The burden hours table and Key
that follows the table indicate the basis for each calculation. See the
Regulatory Impact Analysis section for cost estimations.
ACF estimates the burden for these collections of information as
follows:
[[Page 35525]]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Number of responses Average burden per
Information collection OMB Control No. Number of respondents per respondent response Total burden hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual Reporting Burden Estimates
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A............................... N/A................... N/A................... N/A................... N/A.................. N/A
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual Recording Keeping Burden Estimates
--------------------------------------------------------------------------------------------------------------------------------------------------------
Head Start Grants Administration-- 0970-0423............. 988,923 (F)........... 1..................... 20 minutes........... 329,641
Sec. 1303.22, 1303.24 Parental
Consent, Annual Notice, and
Recordkeeping of PII Disclosure.
Head Start Performance Standards-- 0970-0148............. 332,651 (C)........... 1..................... 2 hours.............. 665,302
Sec. 1302.33 Language
Assessments of Dual Language
Learners.
Head Start Performance Standards-- 0970-0148............. 73,591 (S)............ 1..................... 20 minutes........... 24,530
Sec. 1302.93 Background Checks.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Annual Third-Party Disclosure Burden Estimates
--------------------------------------------------------------------------------------------------------------------------------------------------------
N/A............................... N/A................... N/A................... N/A................... N/A.................. N/A
----------------------
Total Burden Hours............ ...................... ...................... ...................... ..................... 1,019,473
--------------------------------------------------------------------------------------------------------------------------------------------------------
Key: C = Children, F = Families, S = Staff
ACF invites comments on: (1) Whether the proposed collection of
information is necessary for the proper performance of Head Start and
Early Head Start Grants, including whether the information will have
practical utility; (2) the accuracy of ACF's estimate of the burden of
the proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate and other forms of information technology. To ensure that
public comments have maximum effect in developing the final
regulations, ACF urges that each comment clearly identify the specific
section or sections of the regulations that the comment addresses and
that comments be in the same order as the regulations.
For informational purposes, collections of information that will no
longer be required are described below:
Head Start Grants Administration. The NPRM, at part
1301, removed certain requirements for grantee agencies including
the submission of audits, accounting systems certifications, and
provisions applicable to personnel management.
Appeal Procedures for Head Start. Grantees and Current
or Prospective Delegate Agencies--The NPRM removed the appeal
procedures by delegate agencies that came from denials or failure to
act by grantees. It also removed the appeal procedures by a grantee
of a suspension continuing for more than 30 days.
Head Start Program Performance Standards. Numerous
record-keeping requirements were removed which will result in a
decrease in burden, i.e. documentation of the level of effort
undertaken to establish community partnerships, written records of
roles and responsibilities for each governing body members, the
annual written and approval of plans for implementation services for
each program area, provisions applicable to personnel management,
and record-keeping and sharing of a set of community services and
resources.
Purchase, Construction and Major Renovation of Head
Start Facilities. Some requirements were removed that involved
collection of information that will result in a reduction in burden,
including the submission of drawings and specifications, costs
related to installation of modular unit, statement of procurement
procedure for modular units, and obtaining an independent analysis
of the cost comparison.
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, Fax: 202-395-7285,
or [email protected], Attention: Desk Officer for the
Administration for Children and Families. All comments should be
identified with the title, ``NPRM for Head Start Performance
Standards''.
List of Subjects
45 CFR Part 1301
Administrative practice and procedure, Education of disadvantaged,
Grant programs-social programs.
45 CFR Part 1302
Education of disadvantaged, Grant programs-social programs.
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 disadvantaged, Grant programs-social
programs, Health care, Mental health programs, Nutrition, Reporting and
recordkeeping requirements.
45 CFR Part 1305
Education of disadvantaged, Grant programs-social programs.
45 CFR Part 1306
Education of disadvantaged, Grant programs-social programs.
[[Page 35526]]
45 CFR Part 1307
Education of disadvantaged, Grant programs-social programs
45 CFR Part 1308
Education of disadvantaged, Grant programs-social programs, Health
care, Individuals with disabilities, Nutrition, Reporting and
recordkeeping requirements.
45 CFR Part 1309
Education of disadvantaged, Grant programs-social programs, Real
property acquisition.
45 CFR Part 1310
Education of disadvantaged, Grant programs-social programs,
Transportation.
45 CFR Part 1311
Education of disadvantaged, Grant programs-social programs,
Scholarships and fellowships.
Dated: January 6, 2015.
Mark H. Greenberg,
Acting Assistant Secretary for Children and Families.
Approved: January 6, 2015.
Sylvia M. Burwell,
Secretary.
Proposed Regulation Text
For the reasons set forth in the preamble, under the authority at
42 U.S.C. 9801 et seq., we propose to revise subchapter B of 45 CFR
Chapter XIII to read as follows:
SUBCHAPTER B--THE ADMINISTRATION FOR CHILDREN AND FAMILIES, HEAD START
PROGRAM
PART 1301--PROGRAM GOVERNANCE
PART 1302--PROGRAM OPERATIONS
PART 1303--FINANCIAL AND ADMINISTRATIVE REQUIREMENTS
PART 1304--FEDERAL ADMINISTRATIVE PROCEDURES
PART 1305--DEFINITIONS
PART 1301--PROGRAM GOVERNANCE
Sec.
1301.1 In general.
1301.2 Training.
1301.3 Governing body.
1301.4 Policy councils and policy committees.
1301.5 Impasse procedures.
Authority: 42 U.S.C. 9801 et seq.
Sec. 1301.1 In general.
An agency must establish and maintain a formal structure for
program governance that includes a governing body and policy groups.
Governing bodies have a legal and fiscal responsibility to administer
and oversee the agency's Head Start and Early Head Start programs.
Policy councils are responsible for the direction of the agency's Head
Start and Early Head Start programs.
Sec. 1301.2 Training.
An agency must provide appropriate training and technical
assistance or orientation to the governing body and any advisory
committee members and the policy council, including training on program
performance standards to ensure the members understand the information
they receive and can effectively oversee and participate in the
programs in the Head Start agency.
Sec. 1301.3 Governing body.
(a) Composition. The composition of a governing body must be in
accordance with the requirements specified at section 642(c)(1)(B) of
the Act, except where specific exceptions are authorized in the case of
public entities at section 642(c)(1)(D) of the Act. Agencies must
ensure members of the governing body do not have a conflict of
interest, pursuant to section 642(c)(1)(C) of the Act.
(b) Duties and responsibilities. (1) The governing body is
responsible for activities specified at section 642(c)(1)(E) of Act.
(2) The governing body must rely on ongoing monitoring results,
school readiness goals, and information described at section 642(d)(2)
of the Act to conduct its responsibilities.
(c) Advisory committees. A governing body may, at its own
discretion, establish an advisory committee to oversee key
responsibilities related to program governance, including supervision
of program management, provided the governing body establishes written
procedures that:
(1) Specify that the governing body retains legal and fiscal
responsibility for the Head Start agency as required under section 642
(c)(1)(A) of the Act even if it establishes an advisory committee;
(2) Describe key responsibilities, specific duties, actions, and
obligations the advisory committee must fulfill in overseeing
responsibilities related to program governance;
(3) Specify how and with what frequency, but not less than twice a
year, the advisory committee will keep the governing body apprised of
its decisions related to program governance; and,
(4) Describe the membership of the advisory committee and the
process for how members are selected, including requiring that members
of the advisory committee meet the same composition requirements that
apply to governing bodies in section 642(c)(1)(B) of the Act. Such
procedures must prohibit any conflict of interest described in section
642(c)(1)(C). If a governing body intends to establish an advisory
committee to oversee key responsibilities related to program
governance, it must do so by written agreement and must notify the
responsible HHS official by submission of such agreement prior to its
effective date.
Sec. 1301.4 Policy councils and policy committees.
(a) In general. Each agency must establish and maintain a policy
council responsible for the direction of the Head Start program at the
agency level and a policy committee at the delegate level. If an agency
has delegated operational responsibility for the entire Head Start or
Early Head Start program to one delegate agency, the policy council and
policy committee can be the same entity.
(b) Composition. A program must establish a policy council in
accordance with section 642(c)(2)(B) of the Act, or a policy committee
at the delegate level in accordance with section 642(c)(3) of the Act,
as early in the program year as possible. Parents of children currently
enrolled in a program option must be proportionately represented on
policy groups. The program must ensure members of policy groups do not
have a conflict of interest pursuant to sections 642(c)(2)(C) and
642(c)(3)(B) of the Act.
(c) Duties and responsibilities. (1) A policy council is
responsible for activities specified at section 642(c)(2)(D) of the
Act. A policy committee must approve and submit to the delegate agency
its decisions in each of the following areas referenced at section
642(c)(2)(D)(i) through (vii) of the Act.
(2) A policy council, and a policy committee at the delegate level,
must rely on ongoing monitoring results, school readiness goals, and
information described in section 642(d)(2) of the Act to conduct its
responsibilities.
(d) Term.(1) A member will serve for one year.
(2) If the member intends to serve for another year, s/he must
stand for re-election.
(3) The policy group must include in its bylaws how many one-year
terms, not to exceed five terms, a person may serve.
(4) A program cannot dissolve a policy group until a successor
group is seated.
[[Page 35527]]
(e) Reimbursement. A program must enable low-income members to
participate fully in their policy council or policy committee
responsibilities by providing, if necessary, reimbursements for
reasonable expenses incurred by the members.
Sec. 1301.5 Impasse procedures.
(a) Each agency's governing body and policy group jointly must
establish written procedures for resolving internal disputes that
include impasse procedures between the governing board and policy
group.
(b) A program must establish and follow impasse procedures that:
(1) Demonstrate that the governing body considers recommendations
from the policy group;
(2) Require the governing body to notify the policy group in
writing why it does not accept a recommendation;
(3) Describe a process and a timeline to resolve issues and reach
decisions that are not arbitrary, capricious, or illegal; and,
(4) Require the governing body to notify the policy group in
writing of its final decision.
PART 1302--PROGRAM OPERATIONS
Sec.
1302.1 Overview.
Subpart A--Eligibility, Recruitment, Selection, Enrollment, and
Attendance
1302.10 In general.
1302.11 Determining community strengths and needs.
1302.12 Determining, verifying, and documenting eligibility.
1302.13 Recruitment of children.
1302.14 Selection process.
1302.15 Enrollment.
1302.16 Attendance.
1302.17 Suspension and expulsion.
1302.18 Fees.
Subpart B--Program Structure
1302.20 In general.
1302.21 Center-based option.
1302.22 Home-based option.
1302.23 Family child care option.
1302.24 Locally-designed program option variations.
Subpart C--Education and Child Development Program Services
1302.30 In general.
1302.31 Teaching and the learning environment.
1302.32 Curriculum.
1302.33 Child screenings and assessments.
1302.34 Parent involvement.
1302.35 Education in home-based programs.
Subpart D--Health Program Services
1302.40 In general.
1302.41 Collaboration and communication with parents.
1302.42 Child health status and care.
1302.43 Tooth brushing.
1302.44 Child nutrition.
1302.45 Child mental health.
1302.46 Family support services for health, nutrition, and mental
health.
1302.47 Safety practices.
Subpart E--Family & Community Partnership Program Services
1302.50 In general.
1302.51 Parent activities to promote child learning and development.
1302.52 Family partnership services.
1302.53 Community partnerships.
Subpart F--Additional Services for Children With Disabilities
1302.60 In general.
1302.61 Additional services for children.
1302.62 Additional services for parents.
1302.63 Coordination and collaboration with the local agency
responsible for implementing the IDEA.
Subpart G--Transition Services
1302.70 Transitions from Early Head Start.
1302.71 Transitions from Head Start to kindergarten.
1302.72 Transitions between programs.
Subpart H--Services to Enrolled Pregnant Women
1302.80 Enrolled pregnant women.
1302.81 Prenatal and postpartum services.
1302.82 Family partnership services for enrolled pregnant women.
Subpart I--Human Resources Management
1302.90 Personnel policies.
1302.91 Staff qualification requirements.
1302.92 Training and professional development.
1302.93 Staff health and wellness.
1302.94 Volunteers.
Subpart J--Program Management and Quality Improvement
1302.100 In general.
1302.101 Management system.
1302.102 Achieving program performance goals.
1302.103 Implementation of program performance standards.
Authority: 42 U.S.C. 9801 et seq.
Sec. 1302.1 Overview.
(a) Section 645 of the Act directs the Secretary to prescribe by
regulation who is eligible to participate in Head Start programs.
Section 645A gives the Secretary the authority to prescribe
requirements for Early Head Start programs. Section 641A(a)(1) directs
the Secretary of Health and Human Services to review and revise, as
necessary, Head Start program performance standards including those
standards related to health, parent involvement, nutritional and social
services, transition activities and other services. This section was
amended in 2007 to include ``scientifically based and developmentally
appropriate education performance standards related to school readiness
that are based on the Head Start Child Outcomes Framework.'' The
section further requires the Office of Head Start to include standards
for management, conditions for facilities, and any other standards the
Secretary determines. The section requires that revisions do not result
in the elimination of or any reduction in quality, scope or types of
services required by the 2007 amendments.
(b) This part implements these statutory requirements by describing
all of the program performance standards which are required to operate
Head Start, Early Head Start, American Indian/Alaska Native and Migrant
and Seasonal Head Start programs. The part covers the full range of
operations from enrolling eligible children and providing program
services to those children and their families, to managing programs to
ensure staff are qualified and supported to effectively provide
services. This part also focuses on using data through ongoing program
improvement to ensure high quality service. As required in the Act,
these provisions do not narrow the scope or quality of services covered
in previous regulations. Instead, these regulations raise the quality
standard to reflect science and best practices, and streamline and
simplify requirements so programs can better understand what is
required for quality services.
Subpart A--Eligibility, Recruitment, Selection, Enrollment, and
Attendance
Sec. 1302.10 In general.
This subpart describes requirements of prospective grantees for
determining community needs and recruitment areas. It contains
requirements and procedures for the eligibility determination,
recruitment, selection, enrollment and attendance of children and
explains the policy concerning the charging of fees.
Sec. 1302.11 Determining community strengths and needs.
(a) Service area. (1) A program must propose a service area in the
grant application and define the area by county or sub-county area,
such as a municipality, town or census tract or jurisdiction of a
federally recognized Indian reservation.
(i) A tribal program may propose a service area that includes areas
where members of Indian tribes or those eligible for such membership
reside, including but not limited to Indian reservation land, areas
designated as near-reservation by the Bureau of Indian Affairs (BIA)
provided that the service area is approved by the tribe's governing
[[Page 35528]]
council, Alaska Native Villages, Alaska Native Regional Corporations
with land-based authorities, Oklahoma Tribal Statistical Areas, and
Tribal Designated Statistical Areas where federally recognized Indian
tribes do not have a federally established reservation.
(ii) If the tribe's service area includes any land-base specified
in paragraph (a)(1)(i) of this section, and that area is also served by
another program, the tribe may serve children from families who are
members of or eligible to be members of such tribe and who reside in
such areas as well as children from families who are not members of the
tribe, but who reside within the tribe's established land-base.
(2) If a program decides to change the service area after ACF has
approved its grant application, the program must submit to ACF a new
service area proposal.
(b) Community assessment. (1) To design a program that meets
community needs, a program must conduct a community assessment at least
once over the 5-year grant period. The community assessment must
include current service area estimates of:
(i) Eligible infants, toddlers, preschool age children, and
expectant mothers, including their geographic location, race,
ethnicity, and languages they speak;
(ii) Families with young children experiencing homelessness;
(iii) Young children in foster care;
(iv) Other child development, child care centers, and family child
care programs that serve eligible children, including home visiting,
publicly funded state and local preschools, and the approximate number
of eligible children served;
(v) Typical work, school, and training schedules of parents with
eligible children;
(vi) Children with disabilities, four years old or younger,
including types of disabilities and relevant services and resources
provided to these children by community agencies;
(vii) The education, health, nutrition and social service needs of
eligible children and their families; and,
(viii) Resources that are available in the community to address the
needs of eligible children and their families.
(2) A program must annually review and update the community
assessment to reflect any significant changes including increased
availability of publicly-funded full-day pre-kindergarten, rates of
family and child homelessness, and significant shifts in community
demographics.
(3) A program must consider whether the characteristics of the
community allow it to operate classrooms that include children from
diverse economic backgrounds, in addition to the program's eligible
funded enrollment.
Sec. 1302.12 Determining, verifying, and documenting eligibility.
(a) Process overview. (1) Program staff must:
(i) Conduct an in-person interview with each family, unless
paragraph (a)(2) of this section applies;
(ii) Verify information as required in paragraphs (h) through (i)
of this section; and,
(iii) Create an eligibility determination record for enrolled
participants according to paragraph (k) of this section.
(2) Program staff may interview the family over the telephone if an
in-person interview is not possible. In addition to meeting the
criteria provided in paragraph (a)(1) of this section, program staff
must note in the eligibility determination record reasons why the in-
person interview was not possible.
(3) If a program has an alternate method to reasonably determine
eligibility based on its community assessment, geographic and
administrative data, or from other reliable data sources, it may
petition the responsible HHS official to waive requirements in
paragraphs (a)(1)(i) and (ii).
(b)Age requirements. (1) For Early Head Start, except when the
child is transitioning to Head Start, a child must be an infant or a
toddler younger than three years old.
(2) For Head Start, a child must:
(i) Be at least three years old or, turn three years old by the
date used to determine eligibility for public school in the community
in which the Head Start program is located; and,
(ii) Be no older than the age required to attend school.
(3) For Migrant or Seasonal Head Start, a child must be younger
than compulsory school age by the date used to determine public school
eligibility for the community in which the program is located.
(c) Eligibility requirements. (1) A pregnant woman or a child is
eligible if:
(i) The family's income is equal to or below the poverty line; or
(ii) The family is eligible for or, in the absence of child care,
would be potentially eligible for public assistance; or
(iii) The child is homeless, as defined in part 1305 of this
chapter; or
(iv) The child is in foster care.
(2) If the family does not meet a criterion under paragraph (c)(1)
of this section, a program may enroll a pregnant woman or a child who
would benefit from services, provided that these participants only make
up to 10 percent of a program's enrollment in accordance with paragraph
(d) of this section.
(d) Additional allowances for programs. (1) A program may enroll an
additional 35 percent of participants whose families do not meet a
criterion described in paragraph (c) of this section and whose incomes
are below 130 percent of the poverty line, if the program:
(i) Establishes and implements outreach, and enrollment policies
and procedures to ensure it is meeting the needs of eligible pregnant
women, children, and children with disabilities, before serving
ineligible pregnant women or children; and,
(ii) Establishes criteria that ensure eligible pregnant women and
children are served first.
(2) If a program chooses to enroll participants who do not meet a
criterion in paragraph (c) of this section, and whose family incomes
are between 100 and 130 percent of the poverty line, it must be able to
report to the Head Start regional program office:
(i) How it is meeting the needs of low-income families or families
potentially eligible for public assistance, homeless children, and
children in foster care, and include local demographic data on these
populations;
(ii) Outreach and enrollment policies and procedures that ensure it
is meeting the needs of eligible children or pregnant women, before
serving over-income children or pregnant women;
(iii) Efforts, including outreach, to be fully enrolled with
eligible pregnant women or children;
(iv) Policies, procedures, and selection criteria it uses to serve
eligible children;
(v) Its current enrollment and its enrollment for the previous
year;
(vi) The number of pregnant women and children served,
disaggregated by whether they are eligible or meet the over-income
requirement in paragraph (c)(2) of this section; and,
(vii) The eligibility criteria category of each child on the
program's waiting list.
(e) Additional allowances for Indian tribes. (1) Notwithstanding
paragraph (c)(2) of this section, a tribal program may fill more than
10 percent of its enrollment with participants who are not otherwise
eligible, if:
(i) The program has served all eligible pregnant women or children
who wish to be enrolled from Indian and non-Indian families living
within the land-base of the tribal agency;
[[Page 35529]]
(ii) The program has served all eligible Indian pregnant women or
children who wish to be enrolled residing in the program's approved
service area;
(iii) The tribe has resources within its grant, without using
additional funds from HHS intended to expand Early Head Start or Head
Start services, to enroll pregnant women or children whose family
incomes exceed low-income guidelines or who are not categorically
eligible; and,
(iv) At least 51 percent of the program's participants meet an
eligibility criterion under paragraph (c) of this section.
(2) If another program does not serve a non-reservation area, the
program must serve all eligible Indian and non-Indian pregnant women or
children who wish to enroll before serving over-income pregnant women
or children.
(3) A program that meets the conditions of this paragraph must
annually set criteria that are approved by the policy council and the
tribal council for selecting over-income pregnant women or children who
would benefit from program services.
(4) An Indian tribe or tribes that operates both an Early Head
Start program and a Head Start program may, at its discretion, at any
time during the grant period involved, reallocate funds between the
Early Head Start program and the Head Start program in order to address
fluctuations in client populations, including pregnant women and
children from birth to compulsory school age. The reallocation of such
funds between programs by an Indian tribe or tribes during a year may
not serve as a basis for any reduction of the base grant for either
program in succeeding years.
(f) Migrant or Seasonal eligibility requirements. A child is
eligible for Migrant or Seasonal Head Start, if the family meets an
eligibility criterion in paragraph (c) of this section; or, the family
meets a categorical requirement in paragraph (d) of this section; and
the family's income comes primarily from agricultural work.
(g) Eligibility requirements for communities with 1,000 or fewer
individuals. (1) A program may establish its own criteria for
eligibility provided that it meets the criteria outlined in section
645(a)(2) of the Act.
(2) No child residing in such community whose family is eligible
under criteria described in paragraphs (c) through (f) of this section,
may be denied an opportunity to participate in the program under the
eligibility criteria established under this paragraph.
(h) Verifying age. Program staff must verify a child's age
according to program policies and procedures. A program's policies and
procedures cannot require staff to collect documents that confirm a
child's age, if doing so creates a barrier for the family to enroll the
child.
(i) Verifying eligibility. (1) To verify eligibility based on
income, program staff must use tax forms, pay stubs, or other proof of
income to determine the family income for the relevant time period.
(i) If the family cannot provide all tax forms, pay stubs, or other
proof of income for the relevant time period, program staff may accept
written statements from employers for the relevant time period and use
information provided to calculate total annual income with appropriate
multipliers.
(ii) If the family reports no income for the relevant time period,
a program may accept the family's signed declaration to that effect, if
program staff describes efforts made to verify the family's income, and
explains how the family's total income was calculated or seeks
information from third parties about the family's eligibility, if the
family gives written consent. If a family gives consent to contact
third parties, program staff must adhere to program safety and privacy
policies and procedures and ensure the eligibility determination record
adheres to paragraph (k)(2) of this section.
(iii) If the family can demonstrate a significant change in income
for the relevant time period, program staff may consider current income
circumstances.
(2) To verify whether a family is eligible for, or in the absence
of child care, would be potentially eligible for public assistance, the
program must have documentation from either the state, local, or tribal
public assistance agency that shows the family either receives public
assistance or that shows the family is potentially eligible to receive
public assistance.
(3) To verify whether a family is homeless, a program may accept a
written statement from a homeless services provider, school personnel,
or other service agency attesting that the child is homeless or any
other documentation that indicates homelessness, including
documentation from a public or private agency, a declaration,
information gathered on enrollment or application forms, or notes from
an interview with staff to establish the child is homeless, as defined
in Sec. 1305.2 of this chapter; or any other document that establishes
homelessness.
(i) If a family can provide one of the documents described in
paragraph (i)(1) of this section, program staff must described efforts
made to verify the accuracy of the information provided and, states
whether the family is categorically eligible.
(ii) If a family cannot provide one of the documents described in
paragraph (i)(5) of this section to prove the child is homeless, a
program may accept the family's signed declaration to that effect, if,
in a written statement, program staff:
(A) Describe the efforts made to verify that a child is homeless,
as defined in part1305 of this chapter; and,
(B) Describe the child's living situation, including the specific
condition described in Sec. 1305.2 of this chapter under which the
child was determined to be homeless.
(iii) Program staff may seek information from third parties who
have first-hand knowledge about a family's living situation, if the
family gives written consent. If the family gives consent to contact
third parties, program staff must adhere to program privacy policies
and procedures and ensure the eligibility determination record adheres
to paragraph (k)(2)(i)(B) of this section.
(4) To verify whether a child is in foster care, program staff must
accept either a court order or other legal or government-issued
document, a written statement from a government child welfare official
that demonstrates the child is in foster care, or proof of a foster
care payment.
(j) Eligibility duration. (1) If a child is determined eligible
under this section and is participating in a Head Start program, he or
she will remain eligible through the end of the succeeding program year
except that the Head Start program may choose not to enroll a child
when there are compelling reasons for the child not to remain in Head
Start, such as when there is a change in the child's family income and
there is a child with a greater need for Head Start services.
(2) Children who are enrolled in a program receiving funds under
the authority of section 645A of the Act remain eligible while they
participate in the program.
(3) If a child moves from an Early Head Start program to a Head
Start program, program staff must verify the family's eligibility
again.
(4) If a program operates both an Early Head Start and a Head Start
program, and the parents wish to enroll their child who has been
enrolled in the program's Early Head Start, the program must ensure,
whenever possible, the child receives Head Start services until
enrolled in school.
[[Page 35530]]
(k) Records. (1) A program must keep eligibility determination
records for each participant and ongoing training records for program
staffs. A program may keep these records electronically.
(2) Each eligibility determination record must include:
(i) Copies of any documents or statements, including declarations,
that are deemed necessary to verify eligibility under paragraphs (h)
and (i) of this section;
(ii) A statement that program staff has made reasonable efforts to
verify information by:
(A) Conducting either an in-person, or a telephonic interview with
the family as described under paragraph (a) of this section; and
(B) Describing efforts made to verify eligibility, as required
under paragraphs (h) through (i) of this section; and, collecting
documents required for third party verification that includes the
family's written consent to contact each third party, the third
parties' names, titles, and affiliations, and information from third
parties regarding the family's eligibility.
(iii) A statement that identifies whether:
(A) The family's income is below income guidelines for its size,
and lists the family's size;
(B) The family is eligible for or, in the absence of child care,
potentially eligible for public assistance;
(C) The child is a homeless child, as defined at part 1305 of this
chapter including the specific condition described in part 1305 under
which the child was determined to be homeless, or the child is in
foster care;
(D) The family meets the over-income requirement in paragraph
(c)(2) of this section; or
(E) The family meets alternative criteria under paragraph (d) of
this section.
(3) A program must keep eligibility determination records for those
currently enrolled, as long as they are enrolled, and, for one year
after they have either stopped receiving services; or are no longer
enrolled.
(l) Program policies and procedures on violating eligibility
determination regulations. A program must establish policies and
procedures that describe all actions taken against staff who
intentionally violate federal and program eligibility determination
regulations and who enroll pregnant women and children that are not
eligible to receive Early Head Start or Head Start services.
(m) Training. (1) A program must train all governing body, policy
council, management, and staff who determine eligibility on applicable
federal regulations and program policies and procedures. Training must,
at a minimum:
(i) Include methods on how to collect complete and accurate
eligibility information from families and third party sources;
(ii) Incorporate strategies for treating families with dignity and
respect and for dealing with possible issues of domestic violence,
stigma, and privacy; and,
(iii) Explain program policies and procedures that describe actions
taken against staff, families, or participants who attempt to provide
or intentionally provide false information.
(2) A program must train management and staff members who make
eligibility determinations within 90 days following the effective date
of this rule, and as soon as possible, but within 90 days of hiring new
staff after the initial training has been conducted.
(3) A program must train all governing body and policy council
members within 180 days following the effective date of this rule, and
within 180 days of the beginning of the term of a new governing body or
policy council member after the initial training has been conducted.
(4) A program must develop policies on how often training will be
provided after the initial training.
Sec. 1302.13 Recruitment of children.
In order to reach those most in need of services, a program must
develop and implement a recruitment process designed to actively inform
all families with eligible children within the recruitment area of the
availability of program services, encourage and assist them in applying
for admission to the program, and include specific efforts to actively
locate and recruit children with disabilities.
Sec. 1302.14 Selection process.
(a) Selection criteria. (1) A program must annually establish
selection criteria that weighs the prioritization of selection of
participants, based on community needs identified in the community
needs assessment as described in Sec. 1302.11(b), and including family
income, whether the child is homeless, whether the child is in foster
care, the child's age, whether the child is eligible for special
education and related services, or early intervention services, as
appropriate, as determined under the Individuals with Disabilities
Education Act (IDEA) (20 U.S.C. 1400 et seq.) and, other relevant
family or child risk factors.
(2) If a program serves migrant or seasonal families, it must
select participants according to criteria in paragraph (a)(1) of this
section, and give priority to children whose families can demonstrate
they have relocated frequently within the past two-years to pursue
agricultural work.
(3) If a program operates in a service area with high quality
publicly funded pre-kindergarten that is available for a full school
day, the program must prioritize child age to serve younger children.
(4) A program must not deny enrollment based on a disability or
chronic health condition or its severity.
(b) Children eligible for IDEA services. (1) A program must ensure
at least 10 percent of its total enrollment is children eligible for
IDEA services, unless the responsible HHS official grants a waiver.
(2) If the requirement in paragraph (b)(1) of this section has been
met, children eligible for IDEA services should be prioritized for the
available slots in accordance with the program's selection criteria.
(c) Waiting lists. A program must develop at the beginning of each
enrollment year and maintain during the year a waiting list that ranks
children according to the program's selection criteria.
Sec. 1302.15 Enrollment.
(a) Funded enrollment. A program must maintain its funded
enrollment level and fill any vacancy within 30 days.
(b) Continuity of enrollment. (1) A program must make efforts to
maintain enrollment of eligible children for the following year.
(2) Children who are enrolled in a program receiving funds under
the authority of section 645A of the Act remain income eligible while
they participate in the program. When a child moves from a program
serving infants and toddlers to a Head Start program serving children
age three and older, the program must verify family income again.
(3) Under exceptional circumstances, a program may maintain a
child's enrollment for a third year, provided that family income is
verified again.
(4) If a program serves homeless children or children in foster
care, it must make efforts to maintain the child's enrollment
regardless of whether the family or child moves to a different service
area, or transition the child to a program in a different service area,
as required in Sec. 1302.72(b), according to the family's needs.
[[Page 35531]]
(c) Reserved slots. If a program determines from the community
assessment there are families experiencing homelessness in the area, or
children in foster care that could benefit from services, the program
may reserve one or more enrollment slots for pregnant women and
children experiencing homelessness and children in foster care, when a
vacancy occurs. No more than 3 percent of a program's funded enrollment
slots may be reserved. If the reserved enrollment slot is not filled
within 30 days, the enrollment slot becomes vacant and then must be
filled within 30 days in accordance with paragraph (a) of this section.
(d) Other enrollment. A program should consider whether it is
feasible to enroll children from diverse economic backgrounds who would
be funded from other sources that include private pay, in addition to
the program's eligible funded enrollment.
(e) State immunization enrollment requirements. A program must
comply with state immunization enrollment and attendance requirements,
with the exception of homeless children as described in Sec.
1302.16(c)(1).
Sec. 1302.16 Attendance.
(a) Promoting regular attendance. A program must track attendance
for each child.
(1) If a child is unexpectedly absent and a parent has not
contacted the program within 1 hour of program start time, the program
must contact the parent to ensure the child is safe.
(2) If a child has four or more consecutive unexcused absences or
is frequently absent program staff must conduct a home visit or other
direct contact with the child's parents to emphasize the benefits of
regular attendance, while at the same time remaining sensitive to
family circumstances, and, provide support services, as necessary, to
promote the child's regular attendance.
(3) If a child ceases to attend a program and the program is either
unable to contact the child's family and the program makes appropriate
effort, as described in paragraph (a)(2) of this section, and the
child's attendance does not resume, then the program must consider that
slot vacant. This action is not considered expulsion as described in
Sec. 1302.17.
(b) Managing systematic program attendance issues. If a program's
monthly average daily attendance rate falls below 85 percent, the
program must analyze the causes of absenteeism to identify any
systematic issues that contribute to the program's absentee rate. The
program must use this data to make necessary changes in a timely manner
as part of ongoing oversight and correction as described in Sec.
1302.102(b) and inform its continuous improvement efforts as described
in Sec. 1302.102(c).
(c) Supporting attendance of homeless children. (1) If a program
determines a child is categorically eligible under Sec.
1302.12(c)(1)(iii), it must allow the child to attend for up to 90
days, without immunization and other medical records, proof of
residency, birth certificates, or other documents to give the family
reasonable time to present these documents.
(2) If a child experiencing homelessness is unable to attend
classes regularly because the family does not have transportation to
and from the program facility, the program must utilize community
resources, where possible, to provide transportation for the child.
Sec. 1302.17 Suspension and expulsion.
(a) Limitations on suspension. (1) A program must prohibit or
severely limit the use of suspension.
(2) Temporary suspensions for challenging behavior must only be
used as a last resort in extraordinary circumstances where there is a
serious safety threat that cannot be reduced or eliminated by the
provision of reasonable modifications.
(3) When a temporary suspension is deemed necessary, a program must
engage a mental health consultant, collaborate with parents, and
utilize appropriate community resources, as needed, to help the child
return to full participation in all program activities, as quickly as
possible while ensuring child safety.
(b) Prohibition on expulsion. (1) A program cannot expel or
unenroll children from Head Start because of a child's behavior.
(2) When children exhibit persistent and serious challenging
behaviors, a program must employ exhaustive steps to address such
problems, and facilitate the child's safe participation in the program.
Such steps must be guided by the program's mental health consultant
and, at a minimum, engage a mental health consultant as described in
Sec. 1302.45(b), and include consultation with the parents and with
the child's physician, and if the child:
(i) Has an IFSP or IEP, the program must consult with the agency
responsible for the IFSP or IEP to ensure that the child receives the
needed support services; or,
(ii) Does not have an IFSP or IEP, the program must collaborate,
with parental consent, with the local agency responsible for
administering IDEA to determine the child's eligibility for services.
(3) If, after completing the exhaustive steps described in
paragraph (b)(2) of this section, a program, in consultation with the
parents, the child's physician, the agency responsible for IDEA, and
the mental health consultant, determines that the child's continued
enrollment presents a continued serious safety threat to the child or
other enrolled children and determines the program is not the most
appropriate placement for the child, the program must work with such
entities to directly facilitate the transition of such child to a more
appropriate placement.
(c) Voluntary parent participation. Parent participation in any
program activity is voluntary, including consent for data sharing, and
not required as a condition of the child's enrollment.
Sec. 1302.18 Fees.
(a) Policy on fees. A program must not charge eligible families a
fee to participate in Head Start, and cannot in any way condition an
eligible child's enrollment or participation in the program upon the
payment of a fee.
(b) Allowable fees. (1) A program can accept a fee from eligible
families for hours that extend beyond the Head Start funded day.
(2) In order to support programs serving children from diverse
economic backgrounds or using multiple funding sources, including
private pay, a program may charge a fee to families who are not part of
the Head Start funded enrollment.
(3) A program may use other funding sources for the provision of
services under Part C of the IDEA that are not part of the Early Head
Start or Head Start services, consistent with the State's system of
payments on file under 34 CFR part 300.
Subpart B--Program Structure
Sec. 1302.20 In general.
(a) Choose a program option. (1) A program must choose to operate
one or more of the following program options: center-based, home-based
for Early Head Start programs, family child-care, or an approved
locally-designed variation as described in Sec. 1302.24. The program
option(s) chosen must meet the needs of children and families based on
the community assessment described in Sec. 1302.11(b). Existing
programs must annually consider whether they would better meet local
needs through conversion of existing part-day slots to full-day or
full-working day slots, extending services to a full calendar
[[Page 35532]]
year, or conversion of existing preschool slots to Early Head Start
slots as described in paragraph (c) of this section.
(2) To develop a program calendar, a program must consider options
that would allow it to operate for the full year, promote continuity of
care and services, and meet child and family needs identified in the
community assessment.
(3) A program must work to identify alternate sources to support
extended hours. If no additional funding is available, program
resources may be used.
(b) Comprehensive services. All program options must deliver the
full range of services, as described in subparts C, D, E, F, and G of
this part, except that Sec. Sec. 1302.30 through 1302.32 and Sec.
1302.34 do not apply to home-based options.
(c) Conversion. (1) Consistent with section 645(a)(5) of the Head
Start Act, grantees may request to convert Head Start slots to Early
Head Start slots through the re-funding application process or as a
separate grant amendment.
(2) Any grantee proposing a conversion of Head Start services to
Early Head Start services must obtain governing body approval and
submit the request to their Regional Office.
(3) With the exception of American Indian and Alaska Native
grantees as described in paragraph (c)(4) of this section, the request
to the Regional Office must include:
(i) A grant application budget and a budget narrative that clearly
identifies the funding amount for the Head Start and Early Head Start
programs before and after the proposed conversion;
(ii) The results of the community needs assessment demonstrating
how the proposed used of funds would best meet the needs of the
community, including a description of how the needs of eligible Head
Start children will be met in the community when the conversion takes
places;
(iii) A revised program schedule that describes the program
option(s) and the number of funded enrollment slots for Head Start and
Early Head Start programs before and after the proposed conversion;
(iv) A description of how the needs of pregnant women, infants, and
toddlers will be addressed;
(v) A discussion of the agency's capacity to carry out an effective
Early Head Start program in accordance with the requirements of section
645A(b) of the Head Start Act and all applicable regulations;
(vi) Assurances that the agency will participate in training and
technical assistance activities required of all Early Head Start
grantees;
(vii) A discussion of the qualification and competencies of the
child development staff proposed for the Early Head Start program, as
well as a description of the facilities and program infrastructure that
will be used to support the new or expanded Early Head Start program;
(viii) A discussion of any one-time funding necessary to implement
the proposed conversion and how the agency intends to secure such
funding; and
(ix) The proposed timetable for implementing this conversion.
(4) Consistent with section 645(d)(3) of the Act, any American
Indian and Alaska Native grantees operating both an Early Head Start
program and a Head Start program may reallocate funds between the
programs at its discretion and at any time during the grant period
involved, in order to address fluctuations in client populations. Any
American Indian and Alaska Native grantee that exercises this
discretion must notify the Regional Office prior to the effective date
of such reallocation.
Sec. 1302.21 Center-based option.
(a) Setting. The center-based option provides education and early
childhood development services to children primarily in classroom
settings.
(b) Ratios and class size. (1) Staff-child ratios and class size
maximums must be determined by the age of the majority of children and
the needs of children present. A program must determine the age of the
majority of children in a classroom at the start of the year. A program
may use their judgment as to whether this determination should be
adjusted during the program year. Where state or local licensing
requirements are more stringent than the teacher-child ratios and class
size specifications in this section, a program must meet the stricter
requirements. Programs must maintain appropriate ratios during all
hours of program operation.
(2) A classroom that serves children under 36 months old, must have
no more than 8 children and have two teachers. Each teacher must be
assigned consistent, primary responsibility for no more than four
children to promote continuity of care for individual children.
Programs must minimize teacher changes throughout a child's enrollment,
whenever possible, and consider mixed age group classrooms to support
continuity of care.
(3) A classroom that serves a majority of children who are three
years old must have no more than 17 children and a teacher and teaching
assistant or two teachers.
(4) A classroom that serves a majority of children, four and five
years old, must have no more than 20 children and a teacher and a
teaching assistant or two teachers.
Table to Sec. 1302.21(b)--Ratios and Class Size
------------------------------------------------------------------------
------------------------------------------------------------------------
4 and 5 year olds......................... No more than 20 children
enrolled in any class.
3 year olds............................... No more than 17 children
enrolled in any class.
Under 3 year olds......................... No more than 8 children
enrolled in any class.
------------------------------------------------------------------------
(c) Service--(1) Days per year. At a minimum, a program that serves
preschool age children must offer no less than 180 days of planned
operation per year, and Early Head Start programs must offer no less
than 230 days of planned operation per year. A program must:
(i) Plan their year using a reasonable estimate of the number of
days during a year that classes may be closed due to problems such as
inclement weather, based on their experience in previous years; and,
(ii) Make every effort to schedule makeup days using existing
resources if days of planned operation fall below the number required
per year.
(2) Exemption for Migrant or Seasonal Head Start programs. A
Migrant or Seasonal program is not subject to the requirement for a
minimum number of days of planned operation per year, but must make
every effort to provide as many days of service as possible to each
child and family.
(3) Hours per day. A program must offer a minimum of six hours of
operation per day but is encouraged to offer longer service days if it
meets the needs of children and families.
(d) Licensing and square footage requirements. (1) The facilities
used by a program must meet state, tribal, or local licensing
requirements. When state, tribal, or local requirements vary from Head
Start requirements, the most stringent provision takes precedence.
(2) A center-based program must have at least 35 square feet of
usable indoor space per child available for the care and use of
children (exclusive of bathrooms, halls, kitchen, staff rooms, and
storage places) and at least 75 square feet of usable outdoor play
space per child.
[[Page 35533]]
Sec. 1302.22 Home-based option.
(a) Setting. The home-based option delivers education and early
childhood development services, consistent with Sec. 1302.20(b),
through visits with the child's parents, primarily in the child's home
and provides group socialization opportunities in a Head Start
classroom, community facility, home, or on field trips. The home-based
option is only a standard program option for children under 36 months
of age. When serving children 36 months and older in the home-based
option would better meet a community's need, programs can apply to
operate a locally designed option.
(b) Caseload. A program that implements a home-based option must
maintain an average caseload of 10 to 12 families per home visitor with
a maximum of 12 families for any individual home visitor. Programs must
maintain appropriate ratios during all hours of program operation.
(c) Service duration. A program that implements a home-based option
must:
(1) Provide one home visit per week per family that lasts at least
an hour and a half and provide a minimum of 46 visits per year;
(2) Provide, at a minimum, two group socialization activities per
month for each child, with a minimum of 22 group socialization
activities each year;
(3) Make up planned home visits or scheduled group socialization
activities that were canceled by the program when this is necessary to
meet the minimums stated above; and,
(4) Not replace home visits or scheduled group socialization
activities for medical or social service appointments for the purposes
of meeting the minimum requirements described in this paragraph (c).
(d) Licensing requirements. The facilities used for group
socializations in the home-based option must meet state, tribal, or
local licensing requirements. When state, tribal or local requirements
vary from Head Start requirements, the most stringent provision
applies.
Sec. 1302.23 Family child care option.
(a) Setting. The family child care program option provides a full
range of education and early childhood development services, described
in subparts C, D, E, F, and G of this part, primarily by a family child
care provider to provide services in their home or other family-like
setting. A program may choose to offer the family child care option if:
(1) The program is the employer of the family child care provider
or the program has a legally binding agreement with the family child
care provider that clearly defines the provider's roles and
responsibilities to ensure that children and families enrolled in this
option receive the full range of services described in subparts C, D,
E, F, and G of this part; and,
(2) The program ensures there are family child care homes available
that are accessible and can serve children with disabilities and
parents with disabilities, as appropriate.
(b) Ratios and group size. (1) A program that operates the family
child care option, where Head Start children are enrolled, must ensure
group size does not exceed the limits specified in this section. If the
family child care provider's own children under the age of 6 are
present, they must be included in the group size.
(2) When there is one family child care provider, the maximum group
size is six children and no more than two of the six may be under two
years of age. When there is a provider and an assistant, the maximum
group size is twelve children with no more than four of the twelve
children under two years of age.
(3) One family child care provider may care for up to four infants
and toddlers, with no more than two of the four children under the age
of 18 months.
(4) Programs must maintain appropriate ratios during all hours of
program operation.
(c) Service duration. Whether family child care option services are
provided directly or via contractual arrangement, a program must ensure
that family child care providers operate sufficient hours to meet the
child care needs of families and at a minimum, offer planned Head Start
or Early Head Start class operations at least six hours each day and
for a minimum of 230 days per year for children in Early Head Start and
at least six hours each day and for a minimum of 180 days to children
over 36 months old. A migrant or seasonal program is not subject to the
requirement for a minimum number of days of planned operation per year,
but must make every effort to provide as many days of service as
possible to each child or family.
(d) Licensing requirements. A family child-care provider must be
licensed by the state, tribal, or local entity to provide services in
their home or family like setting. When state, tribal, or local
requirements vary from Head Start requirements, the most stringent
provision applies.
(e) Child development specialist. A program that offers the family
child care option must provide a child development specialist to
support family child care providers and ensure the provision of quality
services at each family child care home. Child development specialists
must:
(1) Conduct regular visits to each home, some of which are
unannounced, not less than once every two weeks;
(2) Periodically verify compliance with either contract
requirements or agency policy;
(3) Facilitate ongoing communication between program staff, family
child care providers, and enrolled families; and,
(4) Provide recommendations for technical assistance and support
the family child care provider in developing relationships with other
child care professionals.
Sec. 1302.24 Locally-designed program option variations.
(a) In general. Programs may request to operate a locally-designed
program option that innovates to meet the unique needs of their
communities or to demonstrate or test alternative approaches for
providing program services. In order to operate a locally-designed
program option, programs must seek a waiver as detailed in paragraph
(c), must comply with the requirements of paragraphs (b) and (c) of
this section, and must deliver the full range of services, as described
in subparts C, D, E, F, and G of this part.
(b) Request for approval. A request for operating a locally-
designed variation must be approved by the responsible HHS official
every two years. Such approval may be revoked based on ongoing
assessment and monitoring as described in subpart J of this part.
(c) Waiver requirements. (1) The responsible HHS official may waive
one or more of the requirements contained in Sec. Sec. 1302.21 through
1302.23, including service duration, ratios and group size, and
caseload, with the exception of licensing, square footage and ratios
for children under 24 months requirements, for a program seeking to
provide a locally-designed variation, including a combination of
program options, consistent with the minimums described in section
640(k)(1) of the Act for center-based programs. In order to receive a
waiver, a program must demonstrate that the locally-designed variation
effectively supports appropriate skill development and progress in the
goals described in the Head Start Early Learning Outcomes Framework
(Birth-5) and provide supporting evidence that demonstrates:
(i) The locally-designed variation better meets the needs of the
community than the other options described in Sec. Sec. 1302.21
through 1302.23; or,
[[Page 35534]]
(ii) The locally-designed variation better supports continuity of
care for individual children.
(2) Locally-designed variations providing a double-session model
that are approved under paragraph (c)(1) of this section must:
(i) Limit group size for three year olds to no more than 15
children and employ at least one teacher and teacher's assistant or two
teachers;
(ii) Limit group size for four and five year olds to no more than
17 children and employ at least one teacher and a teacher's assistant
or two teachers; and,
(iii) Operate for at least three and a half hours per session.
(3) Locally-designed variations providing a home-based option for
children at least 36 months of age that are approved under paragraph
(c)(1) of this section must comply with Sec. 1302.22(d) and:
(i) Provide one home visit per family that lasts at least an hour
and a half and provide a minimum of 36 visits per year; and,
(ii) Provide, at a minimum, two group socializations per month for
each family with a minimum of 18 group socialization activities each
year.
Subpart C--Education and Child Development Program Services
Sec. 1302.30 In general.
A center-based or family child care program must provide high
quality education and child development services, including for
children with disabilities, that promote children's cognitive, social,
and emotional growth for later success in school. A program must embed
positive and effective teacher-child interactions, a research-based
curriculum, and screening and assessment procedures that support
individualization during the program year, and family engagement. A
program must deliver developmentally, culturally, and linguistically
appropriate learning experiences in language, literacy, mathematics,
social and emotional functioning, approaches to learning, science,
physical skills, and creative arts. To deliver such high quality
education and child development services, a program must implement, at
a minimum, the elements contained in Sec. Sec. 1302.31 through
1302.34.
Sec. 1302.31 Teaching and the learning environment.
(a) Teaching and the learning environment. A center-based and
family child care program must ensure teachers and other relevant staff
provides an effective teaching and organized learning environment that
promotes healthy development and children's skill growth aligned with
the Head Start Early Learning Outcomes Framework (Birth-5), including
for children with disabilities. A program must also support
implementation of such environment with integration of regular and
ongoing supervision and a system of individualized and ongoing
professional development, as appropriate.
(b) Effective teaching practices. (1) A program must ensure
teaching practices:
(i) Focus on promoting growth in the skill development described in
the Head Start Early Learning Outcomes Framework (Birth-5) by using the
Framework and the curricula to direct planning of organized activities,
schedules, lesson plans, and the implementation of high quality early
learning experiences that are sensitive to and build upon each child's
individual pattern of development and learning;
(ii) Emphasize nurturing and responsive interactions and
environments that foster trust and emotional security; are
communication and language rich; promote critical thinking, problem-
solving, social emotional, behavioral, and language development;
provide supportive feedback for learning; motivate continued effort;
and support all children's engagement in activities and learning;
(iii) Integrate child assessment data in individual and group
planning; and,
(iv) Include developmentally appropriate learning experiences in
language, literacy, social and emotional development, math, science,
social studies, creative arts, and physical development that are
focused toward achieving progress outlined in the Head Start Early
Learning Outcomes Framework (Birth-5).
(2) For dual language learners, a program must recognize
bilingualism as a strength and implement research-based teaching
practices that support its development. These practices must include,
to the extent possible:
(i) For an infant or toddler dual language learner, a program must
ensure teaching practices that focus on the development of the home
language, when there is a teacher with appropriate language competency,
and provide experiences that expose the child to English; and
(ii) For a preschool age dual language learner, a program must
ensure teaching practices that focus on both English language
acquisition and the continued development of the home language.
(c) Learning environment. A program must ensure teachers implement
well-organized classrooms with developmentally appropriate schedules,
lesson plans, and indoor and outdoor learning experiences that provide
adequate opportunities for choice, play, exploration, and
experimentation among a variety of learning, sensory, and motor
experiences and:
(1) For preschool age children, include teacher-directed and child-
initiated activities, active and quiet learning activities, and
opportunities for individual, small group, and large group learning
activities; and,
(2) For infants and toddlers, promote relational learning and
include individualized and small group activities that integrate
appropriate daily routines into a flexible schedule of learning
experiences.
(d) Materials and space for learning. To support implementation of
the curriculum and the requirements described in paragraphs (a), (b),
(c), and (e) of this section a program must provide age-appropriate
equipment, materials, supplies and physical space for indoor and
outdoor learning environments, including functional space. The
equipment, materials and supplies must include any necessary
accommodations and the space must be accessible to children with
disabilities. Programs must change materials intentionally and
periodically to support children's interests, development, and
learning.
(e) Promoting learning through approaches to rest, meals, and
routines. (1) A program must implement an intentional, age appropriate
approach to accommodate children's need to nap or rest, and that, for
preschool age children in a full-day program provides a regular time
every day at which preschool age children are encouraged but not forced
to rest or nap. A program must provide alternative quiet learning
activities for children who do not need or want to rest or nap.
(2) A program must approach snack and meal times as learning
opportunities that support staff-child interactions and foster
conversations that contribute to a child's learning, development, and
socialization. For bottle-fed infants, this approach must include
holding infants during feeding to support socialization. This approach
must also provide sufficient time for children to eat, not use food as
reward or punishment, and not force children to finish their food.
(3) A program must approach routines, such as hand washing and
diapering, and transitions between activities, as opportunities for
[[Page 35535]]
strengthening development, learning, and skill growth.
Sec. 1302.32 Curriculum.
(a) Curriculum. (1) Center-based and family child care programs
must implement developmentally appropriate research-based early
childhood curriculum, including additional curricular enhancements, as
appropriate that:
(i) Is based on scientifically valid research and has standardized
training procedures and curriculum materials to support implementation;
(ii) Is aligned with the Head Start Early Learning Outcomes
Framework (Birth-5) and, as appropriate, state early learning and
development standards; and,
(iii) Includes an organized developmental scope and sequence and is
sufficiently content-rich within the Head Start Early Learning Outcomes
Framework (Birth-5) to promote measurable progress toward development
outlined in such Framework.
(2) A program must provide systemic and intensive support for
appropriate staff through the system of training and professional
development and supervision that ensures effective implementation of
curriculum.
(3) A program must regularly monitor staff implementation of the
curriculum and use the monitoring information to improve how
effectively the curriculum is implemented.
(b) Variation. In order to better meet the needs of one or more
specific populations, a program may choose to develop or significantly
adapt a curriculum, such that it does not meet the requirements in
paragraphs (a)(1)(iii) and (a)(3) of this section. If a program chooses
to implement such a variation, it must work with early childhood
education expert staff or consultants from a college, university, or a
research organization, to develop and evaluate the effectiveness of the
variation. Programs must report the use of such variations to the
responsible HHS official. Programs must use the evaluation of
effectiveness to determine the continued use of such variation,
consistent with the process described in subpart J of this part.
Sec. 1302.33 Child screenings and assessment.
(a) Screening. (1) In collaboration with each child's parent and
with parental consent, and within 45 calendar days of the child's entry
into the program, a program must complete a developmental screening to
identify concerns regarding a child's developmental, behavioral, motor,
language, social, cognitive, and emotional skills. A program must use
one or more research-based developmental standardized screening tools
to complete the screening. A program must use as part of the screening
additional information from family members, teachers, and relevant
staff familiar with the child's typical behavior.
(2) With direct guidance from a mental health or child development
professional, as appropriate, a program must promptly and appropriately
address any needs identified through screening and additional relevant
information through:
(i) Referrals to the local agency responsible for administering
IDEA for formal evaluation to assess the child's eligibility for
services under IDEA; and,
(ii) Partnership with the child's parents and the relevant local
agency to ensure the formal evaluation is completed promptly.
(3) A program is not required to conduct the screening in paragraph
(a)(1) of this section for children who have a current IFSP or IEP as
long as the program has record of such IFSP or IEP.
(4) If a child is determined to be eligible for IDEA services, the
program must partner with parents and the local agency responsible for
implementing IDEA, as appropriate, and deliver the services in subpart
F of this part.
(5) If, after the formal evaluation described in paragraph
(a)(2)(i) of this section, the local agency responsible for
implementing IDEA determines the child is not eligible for IDEA under
the state definition, but the program determines, with guidance from
mental health or child development professional, that the formal
evaluation shows the child has a significant delay in one or more areas
of development that are likely to interfere with the child's
development and school readiness:
(i) The program must ensure appropriate staff partner with parents
to meet the child's needs, including accessing needed services and
supports; and,
(ii) Program funds may be used for such services and supports when
no other sources of funding are available but programs must be able to
demonstrate efforts were first made to access other available sources
of funding.
(b) Assessment for individualization. (1) A program must conduct
standardized and structured assessments for each child that provide
ongoing information to evaluate the child's developmental level and
progress in outcomes aligned to the goals described in the Head Start
Early Learning Child Outcomes Framework. Such assessments must result
in usable information for teachers, home visitors, and parents and be
conducted with sufficient frequency to allow for individualization
within the program year.
(2) A program must use information from paragraph (b)(1) of this
section with informal teacher observations and additional information
from family and staff, as relevant, to determine a child's strengths
and needs, adjust strategies to better support individualized learning
and improve classroom practices in center-based and family child care
settings and improve home visit strategies in home based models.
(3) If warranted from the information gathered from paragraphs
(b)(1) and (b)(2) of this section and with direct guidance from a
mental health or child development professional, a program must refer
the child to the local agency responsible for IDEA for a formal
evaluation to assess a child's eligibility for IDEA services.
(c) Characteristics of screenings and assessments. (1) Screenings
and assessments must be valid and reliable for the population and
purpose for which they will be used, including by being conducted by
qualified personnel, and being age, developmentally, culturally and
linguistically appropriate; and appropriate for children with
disabilities, as needed.
(2) If a program serves a child who speaks a language other than
English, the program must:
(i) Conduct screenings and assessments in the language or languages
that best capture the child's development and skills in the specific
domain;
(ii) Assess language skills in English and the child's home
language, to assess both the child's progress in the home language and
in English language acquisition; and,
(iii) Ensure that those conducting the screening or assessment know
and understand the child's language and culture and have sufficient
skill level in the child's home language to accurately administer the
screening or assessment and to record and understand the child's
responses, interactions, and communications. If such a person is
unavailable, or an interpreter needs to be used to conduct the
screening or assessment, the program must use multiple sources of
information, including speaking with the family, to best capture the
child's development and skill level and progress.
[[Page 35536]]
(d) Prohibitions on use of screening and assessment data. The use
of screening and assessment items and data on any screening or
assessment authorized under this subchapter by any agent of the federal
government is prohibited for the purposes of ranking, comparing, or
otherwise evaluating individual children for purposes other than
research, training, or technical assistance and is prohibited for the
purposes of providing rewards or sanctions for individual children or
teachers. A program must not use screening or assessments to exclude
children from enrollment or participation.
Sec. 1302.34 Parent involvement.
(a) In general. Center-based and family child care programs must
structure education and child development services to encourage parents
to engage in their child's education.
(b) Engaging parents and family members. Such structure must
include varied opportunities for parents and family members to be
involved in a program's education services and implement policies to
ensure:
(1) The program's settings are open to parents during all program
hours;
(2) Teachers hold parent conferences, as needed, but no less than
two times per program year, to enhance the knowledge and understanding
of both staff and parents of the child's education and developmental
progress and activities in the program;
(3) Parents and family members have the opportunity to learn about
and to provide feedback on selected curricula and instructional
materials used in the program;
(4) Parents and family members have opportunities to volunteer in
the classroom and during group activities;
(5) Appropriate staff inform parents and family members, about the
purposes of and the results from screenings and assessments and discuss
their child's progress;
(6) Teachers, except those described in paragraph (b)(7) of this
section, conduct two home visits annually with each family, including
one before the program year begins, if feasible, to engage the family
in the child's learning and development, except that such visits may
take place at a program site or another safe location that affords
privacy at the parent's request, or if a visit to the home presents
significant safety hazards for staff; and,
(7) Teachers that serve migrant or seasonal families make every
effort to conduct home visits to engage the family in the child's
learning and development.
Sec. 1302.35 Education in home-based programs.
(a) In general. A home-based program must implement a research-
based curriculum that delivers developmentally, linguistically, and
culturally appropriate home visits and group socialization activities
that support children's cognitive, social, and emotional growth for
later success in school. Such visits and activities must promote secure
parent-child relationships and help parents provide high quality
learning experiences in language, literacy, mathematics, social and
emotional development, approaches to learning, science, physical
skills, and creative arts.
(b) Home-based program design. A home-based program must ensure
that all home visits are:
(1) Planned jointly by the home visitor and parents, and reflect
the critical role of parents in the early learning and development of
their children;
(2) Planned using information from ongoing assessments that
individualize learning experiences;
(3) Scheduled with sufficient time to serve all enrolled children
in the home and conducted with parents and are not conducted when only
babysitters or other temporary caregivers are present;
(4) Scheduled with sufficient time and appropriate staff to ensure
effective delivery of services described in subparts D, E, F, and G of
this part through home visiting, to the extent possible.
(c) Home-based curriculum. A program that operates the home-based
option must:
(1) Ensure home-visiting and group socializations implement an
evidence based curriculum that:
(i) Promotes the parent's role as the child's teacher through
experiences focused on the parent-child relationship and, as
appropriate, the family's traditions, cultural skills, values, and
beliefs;
(ii) Aligns with the Head Start Early Learning Outcomes Framework
(Birth-5) and, as appropriate, state early learning standards; and,
(iii) Includes organized developmental scope and sequence and is
sufficiently content-rich within the Head Start Early Learning Outcomes
Framework (Birth-5) to promote measurable progress toward goals
outlined in the Framework;
(2) Provide systemic and intensive support for appropriate staff
through training, professional development, and supervision to ensure
effective implementation of the curriculum;
(3) Regularly monitor staff implementation of the curriculum and
use the monitoring information to improve how effectively the
curriculum is implemented; and,
(4) Provide parents with an opportunity to review selected
curricula and instructional materials used in the program.
(5) In order to better meet the needs of one or more specific
populations, a program may choose to develop or significantly adapt a
home-based curriculum, such that it does not meet the requirements in
paragraphs (c)(1)(iii) and (c)(3) of this section. If a program chooses
to implement such a variation, it must work with early childhood
education expert staff or consultants from a college, university, or a
research organization, to develop and evaluate the effectiveness of the
variation. Programs must report the use of such variations to the
responsible HHS official. Programs must use the evaluation of
effectiveness to determine the continued use of such variation,
consistent with the process described in Subpart J.
(d) Home visit experiences. A program that operates the home-based
option must ensure all home visits focus on promoting high quality
early learning experiences in the home and growth towards the goals
outlined in the Head Start Early Learning Outcomes Framework (Birth-5)
and must use such goals and the curriculum to plan home visit
activities that implement:
(1) Age and developmentally appropriate, structured child-focused
learning experiences;
(2) Strategies and activities that promote parents' ability to
support the child's cognitive, social, emotional, and physical
development;
(3) Strategies and activities that promote the home as a learning
environment that is safe, nurturing, responsive, and language- and
communication- rich, and parents' ability to support children's
language development and literacy skills;
(4) Research-based strategies and activities for children who are
dual language learners that, to the extent possible:
(i) Focus on the development of the home or Native language, while
providing experiences that expose both parents and children to English
for infants and toddlers; and,
(ii) Focus on both English language acquisition and the continued
development of the home or Native language for preschoolers receiving
[[Page 35537]]
homes-based services under a locally designed option; and,
(5) Follow-up with the families to discuss learning experiences
provided in the home between each visit, address concerns, and inform
strategies to promote progress toward school readiness goals.
(e) Group socialization. (1) A program that operates the home-based
option must ensure that group socializations are planned jointly with
families, conducted with both child and parent participation, occur in
a classroom, community facility, home or field trip setting, as
appropriate.
(2) Group socializations must be structured to:
(i) Provide age appropriate activities for participating children
that are intentionally aligned to school readiness goals, the Head
Start Early Learning Outcomes Framework (Birth-5) and the home-based
curriculum; and
(ii) Encourage parents to share experiences related to their
children's development with other parents in order to strengthen
parent-child relationships and to help promote parents understanding of
child development;
(3) For preschoolers receiving home-based services under a locally
designed option, group socializations also must provide opportunities
for parents to participate in workshop activities, as appropriate and
must emphasize peer group interactions designed to promote children's
social, emotional and language development, and progress towards school
readiness goals, while encouraging parents to observe and actively
participate in activities, as appropriate.
(f) Screening and assessments. A program that operates the home-
based option must implement provisions in Sec. 1302.33.
Subpart D--Health Program Services
Sec. 1302.40 In general.
A program must provide high quality health, mental health, and
nutrition services that are developmentally and linguistically
appropriate and that will support each child's growth and school
readiness.
Sec. 1302.41 Collaboration and communication with parents.
(a) For all activities described in this part, programs must
collaborate with parents as partners in the health and well-being of
their children in a linguistically and culturally appropriate manner
and communicate with parents about their child's health needs and
development concerns in a timely and effective manner.
(b) At a minimum, a program must:
(1) Obtain advance parent or guardian authorization for all health
and developmental procedures administered through the program or by
contract or agreement, and, maintain written documentation if a parent
or guardian refuses to give authorization for health services; and
(2) Share policies for health emergencies that require rapid
response on the part of staff or immediate medical attention.
Sec. 1302.42 Child health status and care.
(a) Source of health care. (1) A program, within 30 calendar days
from the child's enrollment, must determine whether each child has
ongoing sources of continuous, accessible health care--provided by a
health care professional that maintains the child's ongoing health
record and is not primarily a source of emergency or urgent care--and
health insurance coverage.
(2) If the child does not have such a source of ongoing care and
health insurance coverage, the program must assist families in
accessing a source of care and health insurance that will meet these
criteria, as quickly as possible.
(b) Ensuring up-to-date child health status. (1) Within 90 calendar
days from the child's enrollment, with the exceptions noted in
paragraph (b)(3) of this section, a program must:
(i) Obtain a determination from a health care professional as to
whether the child is up-to-date on a schedule of age appropriate
preventive and primary medical and oral health care, which incorporates
the requirements for a schedule of well-child visits as prescribed by
the Early and Periodic Screening, Diagnosis, and Treatment (EPSDT)
program of the Medicaid agency of the State in which they operate,
immunization recommendations issued by the Centers for Disease Control
and Prevention and any additional recommendations from the local Health
Services Advisory Committee that are based on prevalent community
health problems;
(ii) Assist parents with making necessary arrangements to bring the
child up-to-date as quickly as possible; and
(iii) If necessary directly facilitate provision of health services
to bring the child up-to-date, as necessary, with parent consent as
described in Sec. 1302.41(b)(1).
(2) Within 45 calendar days of the child's enrollment, a program
must either perform or obtain screening procedures to identify concerns
regarding a child's visual and auditory sensory development.
(3) If a program operates for 90 days or less, it has 30 days from
the date the child enrolled to satisfy paragraphs (b)(1) and (2) of
this section.
(4) A program must identify each child's nutritional health needs,
taking into account staff and family discussions concerning height,
weight, hemoglobin/hematocrit, body mass index and any other relevant
nutrition-related assessment data, special dietary requirements,
including food allergies, and information about major community
nutritional issues, as identified through the community assessment or
by the health services advisory committee or the local health
department.
(c) Ongoing care. (1) A program must help parents continue to
follow recommended schedules of well-child and oral health care.
(2) A program must implement periodic observations or other
appropriate strategies for program staff and parents to identify any
new or recurring medical or mental health concerns.
(3) A program must facilitate and monitor necessary oral health
treatment and follow-up, including fluoride supplements and topical
fluoride treatments as recommended by oral health professionals in
communities where a lack of adequate fluoride levels has been
determined or for every child with moderate to severe tooth decay and
other necessary preventive measures and further oral health treatment
as recommended by the oral health professional.
(d) Extended follow-up care. (1) Facilitate further diagnostic
testing, examination, and treatment, as appropriate, by a licensed or
certified professional for each child with a health or developmental
problem; and,
(2) Develop a system to track referrals and services provided and
monitor the implementation of a follow-up plan to meet any treatment
needs associated with a health or developmental problem.
(3) Assist parents, as needed, in obtaining any prescribed
medications, aids or equipment for medical and oral health conditions.
(e) Use of funds. Program funds may be used for professional
medical and oral health services when no other source of funding is
available. When program funds are used for such services, grantee and
delegate agencies must have written documentation of their efforts to
access other available sources of funding.
[[Page 35538]]
Sec. 1302.43 Tooth brushing.
A program must promote effective oral health hygiene by ensuring
children age one and over are assisted by appropriate staff, or
volunteers, if available, in brushing their teeth once daily.
Sec. 1302.44 Child nutrition.
(a) Nutrition service requirements. (1) A program must design and
implement nutrition services that meet the nutritional needs of and
accommodate the feeding requirements of each child, including children
with special dietary needs and children with disabilities.
(2) Specifically, a program must:
(i) Ensure each child in a part-day center-based setting receives
meals and snacks that provide at least one third of the child's daily
nutritional needs;
(ii) Ensure each child in a center-based full-day program receives
meals and snacks that provide one half to two thirds of the child's
daily nutritional needs, depending upon the length of the program day;
(iii) Serve 3- to 5-year-olds meals and snacks that conform to USDA
requirements in 7 CFR parts 210, 220, and 226, and are high in
nutrients and low in fat, sugar, and salt;
(iv) Feed infants and toddlers according to their individual
developmental readiness and feeding skills as recommended in USDA
requirements outlined in 7 CFR parts 210, 220, and 226, and ensure that
infants and young toddlers are fed on demand to the extent possible;
(v) Ensure bottle-fed infants are never laid down to sleep with a
bottle;
(vi) Serve all children in morning center-based settings who have
not received breakfast upon arrival at the program a nourishing
breakfast;
(vii) Provide appropriate snacks and meals to each child during
group socialization activities in the home-based option; and,
(viii) Promote breastfeeding, including providing facilities to
properly store and handle breast milk and make accommodations, as
necessary, for mothers who wish to breastfeed during program hours.
(b) Payment sources. A program must use funds from USDA Food and
Consumer Services Child Nutrition Programs as the primary source of
payment for meal services. Early Head Start and Head Start funds may be
used to cover those allowable costs not covered by the USDA.
Sec. 1302.45 Child mental health.
(a) Wellness promotion. A program must work with mental health
consultants, as needed to implement:
(1) Program-wide positive behavioral practices and supports that
promote healthy emotional well-being through effective classroom
management and supportive teacher practices;
(2) Strategies for supporting children with challenging behaviors
and mental health issues; and
(3) Community partnerships to facilitate access to additional
mental health resources and services, as needed.
(b) Mental health consultants. (1) A program must have access to
mental health consultants to help teachers improve classroom management
and teacher practices, that include using classroom observations as
needed, to address teacher and individual child needs.
(2) A program must ensure that a mental health consultant is
available to partner with staff in a timely and effective manner to
identify and intervene in behavioral and mental health concerns, and at
the request of parents or staff to address specific concerns.
Sec. 1302.46 Family support services for health, nutrition, and
mental health.
(a) Parent collaboration. Programs must collaborate with parents to
promote children's health and well-being by providing medical, oral,
nutrition, and mental health education support services that are
understandable to individuals with low health literacy.
(b) Opportunities. (1) Such collaboration must include
opportunities for parents to:
(i) Learn about preventive medical and oral health care, emergency
first aid, environmental hazards, and safety practices for the home;
(ii) Discuss their child's nutritional status with staff, including
the importance of physical activity and learn how to select and prepare
nutritious foods that meet the family's nutrition and food budget
needs;
(iii) Learn about healthy pregnancy and postpartum care, as
appropriate; and,
(iv) Discuss and identify issues related to child mental health and
emotional well-being such that staff can solicit parent information and
concerns about their child's mental health, share observations, discuss
the child's behavior and development, and how to appropriately respond
to the child's behaviors.
(v) Learn about appropriate vehicle and pedestrian safety for
keeping children safe.
(2) A program must provide ongoing support to assist parents'
navigation through health systems to meet the general health and
specifically identified needs of their children and must assist
parents:
(i) In understanding how to access health insurance for themselves
and their families;
(ii) In understanding the results of diagnostic and treatment
procedures as well as plans for ongoing care; and,
(iii) In familiarizing their children with services they will
receive while enrolled in the program and to enroll and participate in
a system of ongoing family health care.
Sec. 1302.47 Safety practices.
(a) A program must establish, train staff on, implement, and
enforce health and safety practices that ensure children are kept safe
at all times. Programs should consult Caring for our Children Basics
for additional information to develop and implement adequate safety
policies and practices described in this subpart.
(b) A program must develop and implement a system of management
including ongoing training, oversight, correction and continuous
improvement in accordance with Sec. 1302.102 that includes policies
and practices to ensure all facilities, equipment and materials,
background checks, safety training, safety and hygiene practices and
administrative safety procedures are adequate to ensure child safety.
At a minimum this system must ensure that:
(1) Facilities. All facilities where children are served, including
areas for learning, playing, sleeping, toileting, and eating are:
(i) Licensed in accordance with Sec. 1302.21(d)(1) and Sec.
1302.23(d);
(ii) Clean and free from pests;
(iii) Free from pollutants, hazards and toxins that are accessible
to children and could endanger children's safety;
(iv) Designed to prevent child injury and free from hazards,
including choking, strangulation, electrical, and drowning hazards,
hazards posed by appliances and all other safety hazards;
(v) Well lit, including emergency lighting;
(vi) Equipped with safety supplies that are readily accessible to
staff, including, at a minimum, fully-equipped and up-to-date first aid
kits and appropriate fire safety supplies;
(vii) Free from firearms or other weapons that are accessible to
children; and,
(viii) Designed to separate toileting and diapering areas from
areas for cooking, eating, or children's activities.
(2) Equipment and materials. All equipment and materials, including
indoor and outdoor equipment and play spaces, including cribs are:
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(i) Clean and safe for children's use and are appropriately
disinfected;
(ii) Accessible only to children for whom they are age appropriate;
(iii) Meet standards set by CPSC and ASTM;
(iv) Are designed to ensure appropriate supervision of children at
all times; and,
(v) Allow for the separation of infants and toddlers from
preschoolers during play in center-based programs.
(3) Background checks. All staff have complete background checks in
accordance with Sec. 1302.90(b).
(4) Safety training. All staff have initial orientation training
within three months of hire and ongoing training in all state, local,
tribal, federal and program developed health, safety and child care
requirements to ensure the safety of children in their care; including,
at a minimum training in:
(i) Methods for identifying and reporting child abuse and neglect
as described in Sec. 1302.92(b)(1);
(ii) CPR and first aid;
(iii) The storage, record and administration of medication;
(iv) Safe sleep practices, including the prevention of Sudden
Infant Death Syndrome;
(v) Food safety, including procedures for addressing food
allergies;
(vi) The program's emergency and disaster preparedness procedures;
(vii) Infectious disease procedures;
(viii) Sun safety; and,
(ix) Prevention of shaken baby syndrome and head trauma.
(5) Safety practices. All staff follow appropriate practices to
keep children safe during all activities, including, at a minimum:
(i) Reporting of suspected or known child abuse and neglect,
including that staff comply with applicable federal, state, local, or
tribal laws;
(ii) Safe sleep practices, including ensuring that all sleeping
arrangements for children under 18 months of age use firm mattresses or
cots, as appropriate, and for children under 12 months avoid soft
bedding materials;
(iii) Appropriate indoor and outdoor supervision of children at all
times;
(iv) Only releasing children to an authorized adult, and;
(v) All standards of conduct described in Sec. 1302.90(c).
(6) Standards of conduct. Staff properly supervise children at all
times, only release children to an authorized adult, and follow all
standards of conduct described in Sec. 1302.90(c);
(7) Hygiene practices. All staff systematically and routinely
implement hygiene practices that at a minimum ensure:
(i) Appropriate toileting, hand washing, and diapering procedures
are followed;
(ii) Safe food preparation; and,
(iii) Spills of bodily fluids are handled consistent with standards
of the Occupational Safety Health Administration.
(8) Administrative safety procedures. Programs establish, follow,
and practice, as appropriate, procedures for, at a minimum:
(i) Emergencies;
(ii) Fire prevention and response;
(iii) Protection from contagious disease, including appropriate
inclusion and exclusion policies for when a child is ill, and from an
infectious disease outbreak, including appropriate notifications of any
reportable illness;
(iv) The handling, storage, administration, and record of
administration of medication;
(v) Maintaining procedures and systems to ensure that children are
only released to an authorized adult; and,
(vi) Child specific health care needs and food allergies that
include accessible plans of action for emergencies. For food allergies,
a program must also post individual child food allergies prominently
where staff can view wherever food is served.
(9) Disaster preparedness plan. The program has disaster
preparedness and response plans for more and less likely events
including natural disasters and violence in or near programs.
(c) A program must report any safety incidents in accordance with
Sec. 1302.102(d)(1)(iii).
Subpart E--Family & Community Partnership Program Services
Sec. 1302.50 In general.
(a) A program must integrate parent and family engagement
strategies into all systems and program components and develop
community partnerships to support family well-being in order to promote
child learning and development and foster parental confidence and
skills that will promote the early learning and development of their
children.
(b) A program must:
(1) Promote shared responsibility with parents for children's early
learning and development, provide parents with information about the
importance of their child's regular attendance, and partner with
parents, as necessary, to promote consistent attendance;
(2) Develop relationships with parents and structure services to
encourage trust and respectful ongoing two-way communication between
staff and parents to create welcoming program environments that are
responsive to and reflect the unique cultural, ethnic, and linguistic
backgrounds of families in the program and community, including
conducting family engagement services in the family's preferred
language, or through an interpreter, to the extent possible;
(3) Implement intentional strategies to engage parents in their
children's learning and development, including specific strategies for
father engagement;
(4) Provide parents with opportunities to participate in the
program as employees or volunteers;
(5) Offer families the choice of sharing personal information in an
environment in which they feel safe, and allow this to occur at the
same time as the home visit conducted by the child's teacher; and,
(6) Implement procedures for teachers, home visitors, and family
support staff to share information with each other, as appropriate, to
ensure coordinated family engagement strategies with children and
families in the classroom, home, and community.
Sec. 1302.51 Parent activities to promote child learning and
development.
(a) A program must recognize parents as a child's primary influence
and implement family engagement strategies that are designed to foster
parental confidence and skills in promoting children's learning and
development, including parent child-activities that support language
and literacy development.
(b) A program must, at a minimum, offer opportunities for parents
to participate in research-based parenting curriculum in which they
practice parenting skills and developmentally appropriate parent-child
activities to foster confidence and skills in promoting children's
learning and development.
Sec. 1302.52 Family partnership services.
(a) Family partnership process. A program must implement a family
partnership process that includes the sequence of activities described
in this section to support family well-being, to support child learning
and development, to foster parental confidence and skills that promote
the early learning and development of their children. The process must
be initiated as early in the program year as possible and continue for
as long as the family participates in the program, based on parent
interest and need.
(b) Identification of family strengths and needs. A program must
implement intake and assessment procedures together with parents to
identify family
[[Page 35540]]
strengths and needs in the areas listed, as appropriate, in the Head
Start Parent Family and Community Engagement Framework. These areas
must include family well-being and financial stability, parent-child
relationships and parenting skill development, parent engagement and
involvement in child education, parent literacy, adult and post-
secondary education, and employment, transitions within and between the
early learning and school environment, family connections to peers and
the local community, and parent leadership in the program and
community.
(c) Individualized family partnership services. A program must
offer parents the opportunity to collaborate with staff to identify,
prioritize, and access individualized family partnership services and
supports. Such services and supports may be accessed through the
program or through community partnerships to address identified family
strengths and needs, including, as appropriate, pathways to achieving
family goals. To support family access to individualized family
partnership services and supports, a program must:
(1) Take into consideration the urgency and intensity of identified
family needs and goals and assign appropriate staff based on such needs
and goals and the availability of program resources;
(2) Implement strategies to ensure that both parents and staff are
aware of, intentionally measure progress towards, and evaluate whether
identified needs and goals are met, and take alternative actions, if
necessary.
(d) Existing plans and community resources. In implementing this
section, a program must take into consideration any existing plans for
the family made with other community agencies and availability of other
community resources to address family needs, strengths, and goals, in
order to avoid duplication of effort.
Sec. 1302.53 Community partnerships.
(a) Community systems. A program must take an active role in
promoting coordinated systems of comprehensive early childhood services
to low-income children and families in their community through
communication, cooperation, and the sharing of information among
agencies and their community partners, in accordance with the program's
confidentiality policies.
(b) Partnerships. (1) A program must establish ongoing
collaborative relationships and partnerships with community
organizations such as establishing joint agreements, procedures, or
contracts and arranging for onsite delivery of services as appropriate,
to facilitate access of children and families to community services
that are responsive to their strengths, needs, and goals as described
in Sec. 1302.52 and to community needs, as determined by the community
assessment described in Sec. 1302.11(b).
(2) A program must establish necessary collaborative relationships
and partnerships, with community organizations that may include:
(i) Health care providers, including child and adult mental health
professionals, dentists, other health professionals, nutritional
service providers, providers of prenatal and postnatal support, and
substance abuse treatment providers;
(ii) Individuals and agencies that provide services to children
with disabilities and their families, elementary schools, state
preschool providers, and providers of child care services;
(iii) Family preservation and support services and child protective
services and any other agency to which child abuse must be reported
under state or tribal law;
(iv) Educational and cultural institutions, such as libraries and
museums, for both children and families;
(v) Temporary Assistance for Needy Families, nutrition, and housing
assistance agencies, workforce development and training programs, adult
or family literacy, adult education, and post-secondary education
institutions, and agencies or financial institutions that provide
asset-building education, products and services to enhance family
financial stability and savings;
(vi) Providers of support to homeless children and families,
including local educational agency liaison designated under section
722(g)(1)(J)(ii) of the McKinney-Vento Homeless Assistance Act (42
U.S.C. 11431 et seq.);
(vii) Agencies that are funded by federal or state entities for the
design, development, or implementation of a statewide data system
including early childhood programs;
(viii) Domestic violence prevention and support providers; and,
(ix) Any other organizations or businesses that may provide support
and resources to families.
(c) Health services advisory committee. 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 Head Start parents, professionals, and other
volunteers from the community.
(d) Memorandum of understanding. A program must enter into a
memorandum of understanding with the appropriate local entity
responsible for managing publicly funded preschool programs in the
service area of the program, as described in section 642(e)(5) of the
Act.
(e) Quality Rating and Improvement Systems. A program should
participate in their state or local Quality Rating and Improvement
System if their state or local system has been validated to show that
the tiers accurately reflect differential levels of quality, are
related to progress in learning and development, and build toward
school readiness and that Head Start programs are able to participate
in the same way as other early childhood programs in the state.
Subpart F--Additional Services for Children With Disabilities
Sec. 1302.60 In general.
A program must ensure enrolled children with disabilities,
including but not limited to those who are eligible for IDEA services,
and their families receive all applicable program services and fully
participate in all program activities.
Sec. 1302.61 Additional services for children.
(a) Additional services for children with disabilities. Programs
must ensure the individualized needs of children with disabilities,
including but not limited to those eligible for IDEA services, are
being met and all children have access to and can fully participate in
the full range of activities and services. Programs must provide any
necessary modifications to the environment, multiple and varied formats
for instruction, and individualized accommodations and supports as
necessary to support the full participation of children with
disabilities. Programs must ensure that all individuals with
disabilities are protected from discrimination under and provided with
all services and program modifications required by section 504 of the
Rehabilitation Act (29 U.S.C. 794), the Americans with Disabilities Act
(42 U.S.C. 12101 et seq.), and their implementing regulations.
(b) Services during IDEA eligibility determination. While the local
agency responsible for implementing IDEA determines a child's
eligibility, a program must provide individualized services and
supports, to the maximum extent possible, to meet the child's needs.
(c) Additional services for children with an IFSP or IEP. To ensure
the
[[Page 35541]]
individualized needs of children eligible for IDEA services are met,
programs must:
(1) Work closely with the local agency responsible for implementing
the IDEA, the family, and other service partners, as appropriate, to
ensure:
(i) Services for a child with disabilities will be planned and
delivered as required by their IFSP or IEP, as appropriate;
(ii) Children are working towards the goals in their IFSP or IEP;
(iii) Elements of the IFSP or IEP that the program cannot implement
are implemented by other appropriate agencies; and,
(iv) IFSP's and IEP's are being revised and updated as required and
needed;
(2) Plan and implement the transition services described in subpart
G of this part, including at a minimum:
(i) For children with an IFSP who are transitioning out of Early
Head Start, collaborate with the parents, and the local agency
responsible for the implementation of IDEA, to ensure appropriate steps
are undertaken in a timely and appropriate manner to determine the
child's eligibility for services under Part B of IDEA; and,
(ii) For children with an IEP who are transitioning out of Head
Start to kindergarten, collaborate with the parents, and the local
agency responsible for the implementation of IDEA, to ensure steps are
undertaken in a timely and appropriate manner to support the child and
family as they transition to a new setting.
Sec. 1302.62 Additional services for parents.
(a) Parents of all children with disabilities. (1) A program must
collaborate with parents of children with disabilities, including but
not limited to children eligible for IDEA, to ensure the needs of their
children are being met, including support to help parents become
advocates for services that meet their children's needs and information
and skills to help parents understand their child's disability and how
to best support the child's development;
(2) A program must assist parents to access services and resources
for their family, including securing adaptive equipment and devices,
creating linkages to family support programs, and helping parents
establish eligibility for additional support programs, as needed and
practicable.
(b) Parents of children eligible for IDEA services. For parents of
children eligible for IDEA services, programs must also help parents:
(1) Understand the referral, evaluation, and service timelines
required under IDEA;
(2) Actively participate in the eligibility process and IFSP or IEP
development process with the local agency responsible for implementing
IDEA, including by informing parents of their right to invite the
program to participate in all meetings;
(3) Understand the purposes and results of evaluations and services
provided under an IFSP or IEP; and,
(4) Ensure their children's needs are accurately identified in, and
addressed through, the IFSP or IEP.
Sec. 1302.63 Coordination and collaboration with the local agency
responsible for implementing IDEA.
(a) A program must coordinate with the local agency responsible for
implementing IDEA to identify children enrolled or who intend to enroll
in a program that may be eligible for IDEA services, including through
the process described in Sec. 1302.33(a)(2) and through participation
in the local agency Child Find efforts.
(b) A program must work to develop interagency agreements with the
local agency responsible for implementing IDEA to improve service
delivery to children eligible for IDEA services, including the referral
and evaluation process, service coordination, and transition services
and, other appropriate agencies that would improve service delivery to
children with disabilities.
(c) A program must participate in the development of the IFSP or
IEP if requested by the child's parents, and the implementation of the
IFSP or IEP. At a minimum, the program must offer:
(1) To provide relevant information from its screenings,
assessments, and observations to the team developing a child's IFSP or
IEP; and,
(2) To participate in meetings with the local agency responsible
for implementing the IDEA to develop or review an IEP or IFSP for a
child being considered for Head Start enrollment, a currently enrolled
child, or a child transitioning from a program.
(d) A program must retain a copy of the IEP or IFSP for any child
enrolled in Head Start for the time the child is in the program,
consistent with the IDEA requirements in 34 CFR parts 300 and 303.
Subpart G--Transition Services
Sec. 1302.70 Transitions from Early Head Start.
(a) Implementing transition strategies and practices. An Early Head
Start program must implement strategies and practices to support
successful transitions for children and their families transitioning
out of Early Head Start.
(b) Timing for transitions. To ensure the most appropriate
placement and service following participation in Early Head Start, such
programs must, at least six months prior to each child's third
birthday, implement transition planning for each child and family that:
(1) Takes into account the child's developmental level and health
status, progress made by the child and family while in Early Head
Start, current and changing family circumstances and, the availability
of Head Start, other public pre-kindergarten, and other early education
and child development services in the community that will meet the
needs of the child and family; and,
(2) Transitions the child into Head Start or another program as
soon as possible after their third birthday but permits the child to
remain in Early Head Start for a limited number of additional months
following their third birthday if necessary for an appropriate
transition.
(c) Family collaborations. A program must collaborate with parents
of Early Head Start children to implement strategies and activities
that support successful transitions from Early Head Start, and at a
minimum, provide information about the child's progress during the
program year and provide strategies for parents to continue their
involvement in and advocacy for the education and development of their
child.
(d) Early Head Start and Head Start collaboration. Early Head Start
and Head Start programs must work together to maximize enrollment
transitions, from Early Head Start to Head Start, consistent with the
eligibility provisions in subpart A of this part, and promote
successful transitions through collaboration and communication.
(e) Transition services for children with an IFSP. A program must
provide additional transition services for children with an IFSP, at a
minimum, as described in subpart F of this part.
1302.71 Transitions from Head Start to kindergarten.
(a) Implementing transition strategies and practices. A program
that serves children who will enter kindergarten in the following year
must implement transition strategies to support a successful transition
to kindergarten.
(b) Family collaborations for transitions. (1) A program must
collaborate with parents of enrolled children to implement strategies
and
[[Page 35542]]
activities that will help parents advocate for and promote successful
transitions to kindergarten for their children, including their
continued involvement in the education and development of their child.
(2) At a minimum, such strategies and activities must:
(i) Help parents understand their child's progress during Head
Start;
(ii) Help parents understand and use the parenting practices that
will effectively provide academic and social support for their children
during their transition to kindergarten and foster their continued
involvement in the education of their child;
(iii) Prepare parents to exercise their rights and responsibilities
concerning the education of their children in the elementary school
setting, including the availability and appropriateness of
participation for their child in language instruction educational
programs, including those focused on Native language instruction; and,
(iv) Assist parents in the ongoing communication with teachers and
other school personnel so that parents can participate in decisions
related to their children's education.
(c) Community collaborations for transitions. (1) A program must
collaborate with local education agencies to support parental
involvement under section 642(b)(13) of the Act and state departments
of education, as appropriate, and kindergarten teachers to implement
strategies and activities that promote successful transitions to
kindergarten for children, their families, and the elementary school.
(2) At a minimum, such strategies and activities must include:
(i) Coordination with schools or other appropriate agencies to
ensure children's relevant records are transferred to the school or
next placement in which a child will enroll, consistent with privacy
requirements in part 1303 of this chapter;
(ii) Communication between appropriate staff and their counterparts
in the schools to facilitate continuity of learning and development,
consistent with privacy requirements in subpart C of part 1303 of this
chapter; and,
(iii) Participation, as possible, for joint training and
professional development activities for Head Start and kindergarten
teachers and staff.
(3) A program that does not operate during the summer must
collaborate with school districts to determine the availability of
summer school programming for children who will be entering
kindergarten and work with parents and school districts to enroll
children in such programs, as appropriate.
(d) Learning environment activities. A program must implement
strategies and activities in the learning environment that promote
successful transitions to kindergarten for enrolled children, and at a
minimum, include approaches that familiarize children with the
transition to kindergarten and foster confidence about such transition.
(e) Transition services for children with an IEP. A program must
provide additional transition services for children with an IEP, at a
minimum, as described in subpart F of this part.
Sec. 1302.72 Transitions between programs.
(a) For families and children moving out of the community in which
they are currently served, including homeless families and foster
children, a program must undertake efforts to support effective
transitions to other Early Head Start or Head Start programs.
(b) A program that serves children whose families have decided to
transition them to other high quality early education programs,
including public pre-kindergarten, in the year prior to kindergarten
entry must undertake strategies and activities described in Sec.
1302.71(b), (c)(1), and (c)(2), as practicable and appropriate.
(c) A migrant and seasonal Head Start program must undertake
efforts to support effective transitions to other migrant and seasonal
Head Start, Early Head Start, or Head Start programs for families and
children moving out of the community in which they are currently
served.
Subpart H--Services to Enrolled Pregnant Women
Sec. 1302.80 Enrolled pregnant women.
(a) Within 30 days of enrollment, a program must determine whether
each pregnant woman has an ongoing source of continuous, accessible
health care--provided by a health care professional that maintains her
ongoing health record and is not primarily a source of emergency or
urgent care--and, as appropriate, health insurance coverage;
(b) If the enrolled pregnant woman does not have such a source of
ongoing care and, as appropriate, health insurance coverage, a program
must, as quickly as possible, facilitate her access to such a source of
care that will meet their needs; and,
(c) A program must facilitate the ability of all enrolled pregnant
women to access comprehensive services through referrals that, at a
minimum, include nutritional counseling, food assistance, oral health
care, mental health services, substance abuse prevention and treatment,
and emergency shelter or transitional housing in cases of domestic
violence.
Sec. 1302.81 Prenatal and postpartum services.
(a) A program must provide enrolled pregnant women, fathers, and
partners or other relevant family members the prenatal and postpartum
services that address, as appropriate, prenatal and postpartum
education, fetal development, the importance of nutrition, the risks of
alcohol, drugs, and smoking, labor and delivery, postpartum recovery,
infant care and safe sleep practices, and the benefits of
breastfeeding.
(b) A program must also address, as appropriate, supports for
emotional well-being, nurturing and responsive caregiving, and father
engagement during pregnancy and early childhood.
Sec. 1302.82 Family partnership services for enrolled pregnant women.
(a) A program must engage enrolled pregnant women and other
relevant family members in the family partnership services as described
in Sec. 1302.52 and include a specific focus on factors that influence
prenatal and postpartum maternal and infant health.
(b) A program must provide a health staff visit to each mother and
newborn within two weeks after the infant's birth to ensure the well-
being of both the mother and the child; and,
(c) A program must engage enrolled pregnant women in discussions
about program options, plan for the infant's transition to program
enrollment, and support the mother during the transition process, where
appropriate.
Subpart I--Human Resources Management
Sec. 1302.90 Personnel policies.
(a) In general. A program must establish written personnel policies
and procedures that are approved by the policy council or policy
committee.
(b) Recruitment and selection procedures for all staff. (1) Before
an individual is hired, a program must conduct an interview, verify
references, and obtain the following to ensure child safety:
(i) (A) State or tribal criminal history records, including
fingerprint checks; or,
(B) Federal Bureau of Investigation criminal history records,
including fingerprint checks; and,
(ii) Clearance through child abuse and neglect registry, if
available; and,
(iii) Clearance through sex offender registries, if available.
[[Page 35543]]
(2) Within 90 days after an employee is hired, a program must
complete the background check process by obtaining whichever check
listed in (b)(1)(i) was not obtained prior to employment.
(3) A program must review each employment application to assess the
relevancy of any issue uncovered by the complete background check
including any arrest, pending criminal charge, or conviction and must
use State licensing disqualification factors in any employment
decisions.
(4) A program must conduct a complete background check as described
at paragraph (b) of this section for each staff member at least once
every five years.
(5) A program must consider current and former program parents for
employment vacancies for which such parents are qualified.
(6) A program must conduct the background screening described in
paragraphs (b)(1)(ii) and (iii) of this section for individuals with
whom the agencies contract to transport children.
(c) Standards of conduct. (1) A program must ensure all staff,
consultants, and volunteers abide by the program's standards of conduct
that:
(i) Ensure staff behavior does not endanger the health or safety of
children, including, at a minimum, that staff must not:
(A) Use corporal punishment;
(B) Use isolation to discipline a child;
(C) Bind or tie a child to restrict movement or tape a child's
mouth;
(D) Use or withhold food as a punishment or reward;
(E) Use toilet learning/training methods that punish, demean, or
humiliate a child;
(F) Use any form of emotional abuse, including rejecting,
terrorizing, extended ignoring, or corrupting a child;
(G) Physically abuse or maltreat a child;
(H) Use abusive, profane, sarcastic language or verbal abuse,
threats, or derogatory remarks about the child or child's family;
(I) Use any form of public or private humiliation; and,
(J) Take away a child's physical activity/outdoor time as
punishment;
(ii) Ensure staff respect and promote the unique identity of each
child and family and refrain from stereotyping on the basis of gender,
race, ethnicity, culture, religion, disability, or family composition;
(iii) Require staff comply with program confidentiality policies
concerning information about children, families, and other staff
members; and,
(iv) Ensure no child is left alone or unsupervised by staff while
under their care.
(2) Personnel policies and procedures must include appropriate
penalties for staff who violate the standards of conduct.
(d) Communication with dual language learners and their families.
(1) A program must ensure staff and program consultants are familiar
with the ethnic backgrounds and heritages of families in the program
and are able to serve and effectively communicate, either directly or
through interpretation and translation, with children who are dual
language learners and families with limited English proficiency.
(2) If a majority of children in a classroom or home-based program
speak the same language, at least one classroom staff member or home
visitor must speak such language.
Sec. 1302.91 Staff qualification requirements.
(a) In general. A program must ensure that all staff and
consultants, including family service, health, and disabilities staff
and consultants providing program services have sufficient knowledge,
training and experience to fulfill the roles and responsibilities of
their positions and to ensure high quality service delivery in
accordance with the program performance standards.
(b) Early Head Start center-based teachers. As prescribed in
section 645A(h) of the Act, a program must ensure:
(1) All center-based teachers that provide direct services to
infants and toddlers in Early Head Start centers have a minimum of a
Child Development Associate (CDA) credential, and have been trained or
have equivalent coursework in early childhood development with a focus
on infant and toddler development; and,
(2) All center-based teachers demonstrate competency to provide
effective and nurturing teacher-child interactions, plan and implement
high quality learning experiences that ensure effective curriculum
implementation and promote children's progress across the standards
described in the Head Start Early Learning Outcomes Framework (Birth-
5);
(c) Head Start center-based teachers. The Secretary must ensure
that no less than fifty percent of all Head Start teachers, nationwide,
have a baccalaureate degree in child development, early childhood
education, or equivalent coursework. As prescribed in section
648A(a)(2)(A) of the Act, a program must ensure:
(1) All center-based teachers have at least an associate's or
bachelor's degree in child development or early childhood education, or
equivalent coursework; and,
(2) All center-based teachers demonstrate competency to provide
effective and nurturing teacher-child interactions, plan and implement
learning experiences that ensure effective curriculum implementation
and promote children's progress across the standards described in the
Head Start Early Learning Outcomes Framework (Birth-5) and applicable
State early learning and development standards, including for children
eligible for IDEA.
(d) Head Start assistant teachers. As prescribed in section
648A(a)(2)(B)(ii) of the Act, a program must ensure all Head Start
assistant teachers, at a minimum, have a CDA credential, are, are
enrolled in a program that will lead to an associate or baccalaureate
degree or, are enrolled in a CDA credential program to be completed
within two years of the time of hire.
(e) Education coordinators. As prescribed in section
648A(a)(2)(B)(i) of the Act, a program must ensure staff and
consultants that serve as education coordinators, including those that
serve as curriculum specialists, have a baccalaureate or advanced
degree in early childhood education or a baccalaureate or advanced
degree and equivalent coursework in early childhood education with
early education teaching experience.
(f) Home visitors. A program must ensure home visitors providing
home-based education services:
(1) Have a minimum of a home-based CDA credential, or equivalent
coursework as part of an associate's or bachelor's degree, and have
training or experience in early childhood education, prenatal and child
development, strength-based parent education, and family support; and
the knowledge of community resources to link families with appropriate
agencies and services; and,
(2) Demonstrate competency to plan and implement home-based
learning experiences that ensure effective implementation of the home
visiting curriculum and promote children's progress across the
standards described in the Head Start Early Learning Outcomes Framework
(Birth-5).
(g) Family child care providers. (1) A program must ensure that
family child care providers have previous early child care experience
and, at a minimum, are enrolled in a Family Child Care CDA program or
state equivalent, or an associates or baccalaureate degree program in
child development or early childhood education prior to beginning
service provision. In addition, the program must ensure family child
care providers acquire the CDA credential, at
[[Page 35544]]
a minimum, within eighteen months of beginning service provision.
(2) A program that operates a family child-care option must make
substitute staff and assistant providers with the necessary training
and experience available to ensure quality services to children are not
interrupted.
(3) At the time of hire, a child development specialist must have,
at a minimum, an associate degree in child development or early
childhood education.
(h) Additional staff qualifications. (1) A program must use staff
or consultants, who are registered dietitians or nutritionists, to
support nutrition services.
(2) A program must use staff or consultants, who are licensed or
certified mental health professionals, to support mental health
services.
(3) A program must assess staffing needs in order to meet federal
financial management requirements and secure regularly scheduled or
ongoing services of a fiscal officer qualified to meet their needs.
(i) Early Head Start or Head Start director. If a program hires an
Early Head Start or Head Start director after the effective date of
this regulation, it must ensure the director has either a baccalaureate
or an advanced degree, at a minimum, and experience in staff and fiscal
management.
Sec. 1302.92 Training and professional development.
(a) A program must provide to all new staff, consultants, and
volunteers an orientation that focuses on, at a minimum, the goals and
underlying philosophy of the program and on the ways they are
implemented.
(b) A program must establish and implement a systematic approach to
staff training and development designed to assist staff in acquiring or
increasing the knowledge and skills needed to provide high quality
services within the scope of their job responsibilities, and attached
to academic credit as appropriate. At a minimum, the system must
include:
(1) Training on methods to handle suspected or known child abuse
and neglect cases, that comply with applicable federal, state, local,
or tribal laws;
(2) Training on best practices to support parent engagement
strategies, as described in Sec. Sec. 1302.50 and 1302.52, and
training for family services staff and home visitors on the knowledge
and skills outlined in the relationship based competencies;
(3) Research-based approaches to professional development for
teachers, assistant teachers, home visitors, and family child care
providers, that are focused on effective curricula implementation,
knowledge of the content in Head Start Early Learning Outcomes
Framework (Birth-5) providing effective and nurturing teacher-child
interactions, supporting dual language learners as appropriate,
addressing challenging behaviors, preparing children for transitions
(as described in subpart G of this part), and improving child outcomes
for all children; and,
(4) A coordinated coaching strategy that aligns with the program's
school readiness goals, curricula, and other approaches to professional
development, and that:
(i) Utilizes a coach with adequate training and experience in using
assessment data to drive coaching strategies aligned with program
performance goals;
(ii) Ensures the coach has training or experience in adult
learning; and,
(iii) Ensures ongoing communication between the coach, program
director, education director, and any other relevant staff.
(5) Coaching strategies must include:
(i) Clearly articulated goals informed by the program's performance
goals, as described in Sec. 1302.102(a), and a process for achieving
those goals;
(ii) An assessment for all education staff to identify areas of
needed support to achieve program performance goals;
(iii) At a minimum, for education staff who would benefit the most
from intensive coaching, opportunities to be observed and receive
feedback and modeling of effective teacher practices directly related
to program performance goals;
(iv) At a minimum, for education staff members who do not need
intensive coaching, opportunities to receive other forms of research-
based professional development aligned with program performance goals,
which may include a group coaching approach; and,
(v) Policies that ensure needs assessment results are not used to
solely determine punitive actions for staff identified as needing
support, without providing time and resources for staff to improve.
(c) A program must ensure all teachers, assistant teachers, home
visitors, and family child care providers complete a minimum of 15
clock hours of professional development per year through the
professional development system described in paragraph (b) of this
section.
(d) If a program wishes to develop an approach to professional
development to better meet the training needs of program staff, the
program may adapt or be exempt from the requirements in paragraphs
(b)(4) and (5) of this section, if the program works with early
childhood education expert staff or consultants from a college,
university, or a research organization, to develop and evaluate the
effectiveness of the professional development. Programs must report the
use of such variations to the responsible HHS official. Programs must
use the evaluation of effectiveness to determine the continued use of
such professional development consistent with the process laid out in
subpart J of this part.
Sec. 1302.93 Staff health and wellness.
(a) A program must ensure each staff member has an initial health
examination (that includes screening for tuberculosis) and a periodic
re-examination (as recommended by their health care provider or as
mandated by state, tribal, or local laws). The program must ensure
staff do not, because of communicable diseases, pose a significant risk
to the health or safety of others in the program that cannot be
eliminated or reduced by reasonable accommodation, in accordance with
the Americans with Disabilities Act and section 504 of the
Rehabilitation Act.
(b) A program must make mental health and wellness information
available to staff regarding health issues that may affect their job
performance.
Sec. 1302.94 Volunteers.
(a) A program must ensure that regular volunteers have been
screened for tuberculosis in accordance with state, tribal or local
laws. In the absence of state, tribal or local law, the Health Services
Advisory Committee must be consulted regarding the need for such
screenings.
(b) A program must ensure children are never left under the sole
supervision of volunteers.
Subpart J--Program Management and Quality Improvement
Sec. 1302.100 In general.
A program must provide management and a process of ongoing
monitoring and self-improvement for achieving program performance goals
that ensures child safety and the continuous delivery of effective,
high quality program services.
Sec. 1302.101 Management system.
(a) Implementation. A program must implement a management system
with adequate record keeping for effective oversight of all program
areas that:
(1) Includes program directors and management staff who provide
oversight
[[Page 35545]]
for all program areas, to enable delivery of high quality services in
all of the program services described in subparts C, D, E, F, G, and H
of this part;
(2) Provides regular and ongoing supervision to support individual
staff professional development and continuous program quality
improvement; and,
(3) Ensures budget and staffing patterns to promote continuity of
care for all children enrolled that provide sufficient time for staff
to participate in appropriate training and professional development,
and for provision of the full range of services described in subparts
C, D, E, F, G, and H of this part.
(b) Coordinated approaches. At the beginning of each program year,
and on an ongoing basis throughout the year, a program must design and
implement program-wide coordinated approaches that ensure:
(1) The system of training and professional development, as
described in Sec. 1302.92, effectively supports staff delivery and
continuous improvement of high quality services;
(2) The full and effective participation of children who are dual
language learners and their families, by providing services with
appropriate program materials, curriculum, instruction, staffing,
supervision, and partnerships, at a minimum;
(3) The full and effective participation of all children with
disabilities, including but not limited to children eligible for IDEA
services, by providing services with appropriate facilities, program
materials, curriculum, instruction, staffing, supervision, and
partnerships, at a minimum, consistent with Section 504 of the
Rehabilitation Act and the Americans with Disabilities Act; and
(4) The data system and data governance procedures effectively
support the overall management of Head Start data, including the
availability, usability, integrity, and security of data. As part of
these procedures, a program should:
(i) Identify a data governance body or council with clear roles and
responsibilities, establish a framework for decision-making and/or
procedures on data management, including how data quality will be
monitored, how data will be shared while protecting privacy and
confidentiality, a plan to execute those procedures, and an
accountability structure for meeting these requirements;
(ii) Consult with the Head Start State Collaboration Office and/or
the state's Early Childhood Advisory Council (HSSCO/ECAC) and the State
Educational Agency (SEA) in developing these procedures, as
appropriate;
(iii) Integrate Head Start data with other early childhood data
systems or sources and work with the state's K-12 Statewide
Longitudinal Data System to share relevant data, to the extents
practicable; and
(iv) Align Head Start data collection and definitions, where
possible, with the Common Education Data Standards.
Sec. 1302.102 Achieving program performance goals.
(a) Establishing program performance goals. A program, in
collaboration with the governing body and policy council, must
establish goals and measurable objectives that include:
(1) Effective health and safety practices to ensure children are
safe at all times, per the requirements in Sec. Sec. 1302.47,
1302.90(b) and (c), 1302.92(b)(1), 1302.94, and part 1303, subpart F of
this chapter.
(2) School readiness goals that are aligned with the Head Start
Early Learning Outcomes Framework (Birth-5), state and tribal early
learning standards, as appropriate, and requirements and expectations
of schools Head Start children will attend, per the requirements of
subpart B of part 1304 of this chapter;
(3) Goals for the provision of educational, health, nutritional,
and family and community engagement services as described in the
program performance standards to further promote the school readiness
of enrolled children; and
(4) Strategic long-term goals for ensuring programs are and remain
responsive to community needs as identified in their community
assessment as described in subpart A of this part.
(b) Monitoring program performance. (1) Ongoing compliance
oversight and correction. In order to ensure effective ongoing
oversight and correction, a program must establish and implement
ongoing oversight procedures that ensure effective implementation of
the program performance standards, including ensuring child safety, and
other applicable federal regulations as described in this part, and
must:
(i) Correct quality and compliance issues immediately, or as
quickly as possible;
(ii) Work with the governing body and the policy council to address
issues during the ongoing oversight and correction process and during
federal oversight; and,
(iii) Implement procedures that prevent recurrence of previous
quality and compliance issues, including previously identified
deficiencies, safety incidents, and audit findings.
(2) Ongoing assessment of program performance goals. Programs must
effectively oversee progress towards performance goals on an ongoing
basis and annually must:
(i) Conduct a self-assessment that evaluates the program's progress
towards meeting goals established under paragraph (a) of this section,
using aggregated child assessment data where applicable, compliance
with program performance standards throughout the program year, and the
effectiveness of the professional development and family engagement
systems in promoting school readiness, using classroom, professional
development, and parent and family engagement data, as appropriate;
(ii) Communicate and collaborate with the governing body or policy
council, program staff, and parents of enrolled children when
conducting the annual self-assessment; and,
(iii) Submit findings of the self-assessment, including information
listed in paragraph (b)(3)(i) of this section to the responsible HHS
official.
(c) Using data for continuous improvement. (1) A program must
implement a process for using data to identify program strengths and
needs, develop and implement plans that address program needs, and
continually evaluate progress towards achieving program performance
goals described in paragraph (a) of this section and complying with
program performance standards.
(2) This process must:
(i) Ensure data is aggregated, analyzed and compared in such a way
to assist agencies in identifying risks and informing strategies for
continuous improvement in all program service areas;
(ii) Ensure child assessment data is aggregated and analyzed at
least three times a year, including for sub-groups, such as dual
language learners and children with disabilities, as appropriate, and
used with other program data to direct continuous improvement related
to curriculum choice and implementation, teaching practices,
professional development, program design and other program decisions,
including changing or targeting scope of services; and,
(iii) Use lessons from ongoing monitoring and the annual self-
assessment, and program data on standardized teacher observations,
staffing and professional development, child assessments, family needs
assessments, and comprehensive services, to identify program needs, and
[[Page 35546]]
develop, and implement plans for program improvement; and,
(iv) Use program improvement plans as needed to either strengthen
or adjust content and strategies for professional development, change
program scope and services, refine school readiness and other program
performance goals, and use strategies to better address the needs of
sub-groups.
(d) Reporting. (1) A program must submit:
(i) Status reports, determined by ongoing oversight data, to the
governing body and policy council, at least semi-annually;
(ii) Reports, as appropriate, to the responsible HHS official
immediately or as soon as practicable, related to any risk affecting
the health and safety of program participants;
(iii) Reports, as appropriate, to the responsible HHS official
immediately or as soon as practicable, regarding circumstances
affecting the financial viability of the program, or program
involvement in legal proceedings, including at a minimum:
(A) Any matter for which notification or a report to state, tribal,
or local authorities is required by applicable law;
(B) Any reports regarding agency staff or volunteer compliance with
federal, state, tribal, or local laws governing sex offenders or laws
addressing child abuse and neglect;
(C) Incidents that require classrooms or centers to be closed for
any reason;
(D) Legal proceedings by any party that involve the program,
management, program staff, or volunteer as a party; and,
(E) All conditions required to be reported under Sec. 1304.13 of
this chapter.
(2) Annually, a program must release a report that complies with
section 644(a)(2) of the Act and includes the community needs
assessment as described in Sec. 1302.11(b), consistent with privacy
protections in subpart C of part 1303 of this chapter.
(3) If a program has had a deficiency identified, it must submit,
to the responsible HHS official, a quality improvement plan as required
in section 641A(e)(2) of the Act.
1302.103 Implementation of program performance standards.
(a) A current program at the time of the publication of this part,
must implement a program-wide approach for the effective and timely
implementation of the changes to the program performance standards,
including the purchase of materials and allocation of staff time, as
appropriate.
(b) A program's approach to implementation of the changes included
in parts 1301 through 1304 of this chapter must ensure:
(1) Adequate preparation for effective and timely service delivery
to children and their families including, at a minimum, review of
community assessment data to determine the most appropriate strategy
for implementing any slot reductions, as necessary, the purchase of and
training on any curriculum, assessment, or other materials, as needed,
assessment of program-wide professional development needs, assessment
of staffing patterns, the development of coordinated approaches
described in Sec. 1302.101(b), and the development of appropriate
protections for data sharing; and
(2) Currently enrolled children are not displaced during a program
year and that children leaving Early Head Start or Head Start at the
end of the program year following the publication of this rule as a
result of any slot reductions received services described in Sec.
1302.72 to facilitate successful transitions to other programs.
(c) A program may request a one year extension from the responsible
HHS official of the requirements outlined in Sec. Sec. 1302.21(c)(1),
1302.22(c)(1) and 1302.23(c), if an extension is necessary to ensure
currently enrolled children are not displaced from the Early Head Start
or Head Start program as described in paragraph (b)(2) of this section.
PART 1303--FINANCIAL AND ADMINISTRATIVE REQUIREMENTS
Sec.
1303.1 Overview
Subpart A--Financial Requirements
1303.2 In general.
1303.3 Other requirements.
1303.4 Federal financial assistance, non-federal share matching and
waiver requirements.
1303.5 Limitations on development and administrative costs.
Subpart B--Administrative Requirements
1303.10 In general.
1303.11 Limitations and prohibitions.
1303.12 Insurance and bonding.
Subpart C--Protections for the Privacy of Child Records
1303.20 In general.
1303.21 Program procedures--Applicable confidentiality provisions
1303.22 Disclosures with, and without, parental consent..
1303.23 Parents rights.
1303.24 Maintaining records.
Subpart D--Delegation of Program Operations
1303.30 In general.
1303.31 Determining and establishing delegate agencies.
1303.32 Evaluations and corrective actions for delegate agencies.
1303.33 Termination of delegate agencies.
Subpart E--Facilities
1303.40 In general.
1303.41 Approval of previously purchased facilities.
1303.42 Eligibility to purchase, construct, and renovate facilities.
1303.43 Use grant funds to pay fees.
1303.44 Applications to purchase, construct, and renovate
facilities.
1304.45 Cost-comparison to purchase, construct, and renovate
facilities.
1303.46 Recording and posting notices of federal interest.
1303.47 Contents of notices of federal interest.
1303.48 Grantee limitations on federal interest.
1303.49 Protection of federal interest in mortgage agreements.
1303.50 Third party leases and occupancy arrangements.
1303.51 Subordination of the federal interest.
1303.52 Insurance, bonding and maintenance.
1303.53 Copies of documents.
1303.54 Record retention.
1303.55 Procurement procedures.
1303.56 Inspection of work.
Subpart F--Transportation
1303.70 In general.
1303.71 Vehicles.
1303.72 Vehicle operation.
1303.73 Trip routing.
1303.74 Safety procedures.
1303.75 Children with disabilities.
Authority: 42 U.S.C. 9801 et seq.
Sec. 1303.1 Overview
Section 641A of the Act requires that the Secretary modify as
necessary program performance standards including administrative and
financial management standards (section 641A(a)(1)(C)). This part
specifies the financial and administrative requirements of agencies.
Subpart A outlines the financial requirements consistent with sections
640(b) and 644(b) and (c) of the Act. Subpart B of this part specifies
the administrative requirements consistent with sections 644(a)(1),
644(e), 653, 654, 655, 656, and 657A of the Act. Subpart C of this part
implements the statutory provision at section 641A(b)(4) of the Act
that directs the Secretary to ensure the confidentiality of any
personally identifiable data, information, and records collected or
maintained. Subpart D of this part prescribes regulations for the
operation of delegate agencies consistent with section 641(A)(d) of the
Act. Subpart E of this part implements the statutory requirements in
section 644(c), (f) and (g) of the Act related to facilities. Subpart F
of this part prescribes
[[Page 35547]]
regulations on transportation consistent with section 640(i) of the
Act.
Subpart A--Financial Requirements
Sec. 1303.2 In general.
This subpart establishes regulations applicable to program
administration and grants management for all grants under the Act.
Sec. 1303.3 Other requirements.
The following chart includes HHS regulations that apply to all
grants made under the Act:
------------------------------------------------------------------------
Cite Title
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45 CFR part 16............................ Department grant appeals
process.
45 CFR part 30............................ HHS Standards and Procedures
for Claims collection.
45 CFR part 46............................ Protection of human
subjects.
45 CFR part 75............................ Uniform Administrative
Requirements, Cost
Principles, and Audit
Requirements for Federal
Awards.
45 CFR part 80............................ Nondiscrimination under
programs receiving federal
assistance through the
Department of Health and
Human Services--
Effectuation of title VI of
the Civil Rights Act of
1964.
45 CFR part 81............................ Practice and procedure for
hearings under part 80.
45 CFR part 84............................ Nondiscrimination on the
basis of handicap in
federally assisted
programs.
45 CFR part 87............................ Equal treatment for faith
based organizations.
2 CFR 170................................. FFATA Sub-award and
executive compensation.
2 CFR 25.110.............................. CCR/DUNS requirement.
------------------------------------------------------------------------
Sec. 1303.4 Federal financial assistance, non-federal share matching
and waiver requirements.
In accordance with section 640(b) of the Act, federal financial
assistance to a grantee will not exceed 80 percent of the approved
total program costs. A grantee must contribute 20 percent as non-
federal share match each budget period. The responsible HHS official
may approve a waiver of all or a portion of the non-federal share
matching requirement on the basis of the grantee's written application
submitted during the budget period and any supporting evidence the
responsible HHS official requires. In deciding whether to grant a
waiver, the responsible HHS official will consider the circumstances
specified at section 640(b) of the Act and whether the grantee has made
a reasonable effort to comply with the non-federal share matching
requirement.
Sec. 1303.5 Limitations on development and administrative costs.
(a) In general. (1) Costs to develop and administer a program
cannot be excessive or exceed 15% of the total approved program costs.
Allowable costs to develop and administer a Head Start program cannot
exceed 15 percent of the total approved program costs, which includes
both federal costs and non-federal match, unless the responsible HHS
official grants a waiver under paragraph (b) of this section that
approves a higher percentage in order to carry out the purposes of the
Act.
(2) To assess total program costs and determine whether a grantee
meets the requirement specified in paragraph (a) of this section, the
grantee must:
(i) Determine the costs of developing and administering its
program, including the local costs of necessary resources;
(ii) Categorize total costs as development and administrative or
program costs;
(iii) Identify and allocate the portion of dual benefits costs that
are for development and administration;
(iv) Identify and allocate the portion of indirect costs that are
for development and administration versus program costs; and,
(v) Delineate all development and administrative costs in the grant
application and calculate the percentage of total approved costs
allocated to development and administration.
(b) Waivers. (1) The responsible HHS official may grant a waiver
for each budget period of a specific time not to exceed 12 months, if a
delay or disruption to program services is caused by circumstances
beyond the agency's control, or if an agency is unable to administer
the program within the 15 percent limitation and if the agency can
demonstrate efforts to reduce its development and administrative costs.
(2) If at any time within the grant funding cycle, a grantee
estimates development and administration costs will exceed 15 percent
of total approved costs, it must submit a waiver request to the
responsible HHS official that explains why costs exceed the limit, that
indicates the time period the waiver will cover, and that describes
what the grantee will do to reduce its development and administrative
costs to comply with the 15 percent limit after the waiver period.
Subpart B--Administrative Requirements
Sec. 1303.10 In general.
A grantee must observe standards of organization, management, and
administration that will ensure, so far as reasonably possible, that
all program activities are conducted in a manner consistent with the
purposes of the Act and the objective of providing assistance
effectively, efficiently, and free of any taint of partisan political
bias or personal or family favoritism.
Sec. 1303.11 Limitations and prohibitions.
An agency must adhere to sections 644(e), 644(g)(3), 653, 654, 655,
656, and 657A of the Act. These sections pertain to union organizing,
the Davis-Bacon Act, limitations on compensation, nondiscrimination,
unlawful activities, political activities, and obtaining parental
consent.
Sec. 1303.12 Insurance and bonding.
An agency must have an ongoing process to identify risks and have
cost-effective insurance for those identified risks; a grantee must
require the same for its delegates. The agency must specifically
consider the risk of accidental injury to children while participating
in the program. The grantee must submit proof of appropriate coverage
in its initial application for funding. The process of identifying
risks must also consider the risk of losses resulting from fraudulent
acts by individuals authorized to disburse Head Start funds. Consistent
with 45 CFR part 75, if the agency lacks sufficient coverage to protect
the federal government's interest, the agency must maintain adequate
fidelity bond coverage.
Subpart C--Protections for the Privacy of Child Records
Sec. 1303.20 In general.
A program must establish procedures to ensure the protection of the
confidentiality of any personally identifiable information in child
records and which procedures meet the requirements in Sec. Sec.
1303.21 through 1303.24 and applicable definitions in part 1305 of this
chapter.
Sec. 1303.21 Program procedures--Applicable confidentiality
provisions.
If a program is an educational agency or institution subject to the
confidentiality provisions under the Family Educational Rights and
Privacy Act (FERPA) in 20 U.S.C. 1232g and 34 CFR part 99, it must
comply with those confidentiality provisions of FERPA and those
provisions govern (if they differ in any respect) from the provisions
in Sec. Sec. 1303.20 through 1303.24. A program must also comply with
the confidentiality provisions under the Individuals with Disabilities
Education Act (IDEA) under either 34 CFR 300.610
[[Page 35548]]
through 300.626 (Part B of IDEA) or 34 CFR 303.401 through 303.417
(Part C of IDEA) to protect the personally identifiable information in
records of children served by the Head Start or Early Start program who
are also eligible for, or receiving services, under Parts B and C of
the IDEA and those provisions under the IDEA govern (if they differ in
any respect) from the provisions in Sec. Sec. 1303.20 through 1303.24
and the provisions in FERPA.
Sec. 1303.22 Disclosures with, and without, parental consent.
(a) Disclosure with parental consent. (1) Subject to the provisions
referenced in Sec. 1303.21 and the exceptions in paragraph (b) and (c)
of this section, the procedures must require the program to obtain a
parent's written consent before the program may disclose personally
identifiable information from child records.
(2) The procedures must require the program to ensure that the
parent's written consent specifies what child records will be disclosed
and explains why and to whom the records will be disclosed. The written
consent must be signed and dated.
(3) ``Signed and dated written consent'' under this part may
include a record and signature in electronic form that--
(i) Identifies and authenticates a particular person as the source
of the electronic consent; and
(ii) Indicates such person's approval of the information.
(4) The program must explain to the parent that the granting of
consent is voluntary on the part of the parent and may be revoked at
any time. If a parent revokes consent, that revocation is not
retroactive (i.e., it does not apply to an action that occurred before
the consent was revoked).
(b) Disclosure without parental consent but with parental notice
and opportunity to refuse. Subject to the provisions in Sec. 1303.21,
the procedures must allow the program to disclose personally
identifiable information from child records without parental consent if
the program notifies the parent about the disclosure, provides the
parent, upon the parent's request, a copy of the personally
identifiable information from child records to be disclosed in advance,
and gives the parent an opportunity to challenge and refuse disclosure
of the information in the records, before the program forwards the
records to officials at a program, school, or school district in which
the child seeks or intends to enroll or where the child is already
enrolled so long as the disclosure is related to the child's enrollment
or transfer.
(c) Disclosure without parental consent. Subject to the provisions
referenced in Sec. 1303.21, the procedures must allow the program to
disclose personally identifiable information from child records without
parental consent to:
(1) Officials within the program or acting for the program (i.e.
individuals in the Head Start or Early Head Start program who provide
program services to the child), if the program determines the official
has legitimate educational interests and informs parents of this
provision at enrollment;
(2) Authorized representatives of local, state or federal officials
in connection with the audit or evaluation of Federally or State-
supported education, including early childhood, programs, or for
enforcement of, or compliance with, the Federal legal requirements of
these programs; Provided, that except when collection of personally
identifiable information is specifically authorized by Federal law, the
official agrees in writing (not including any authorized representative
of the responsible HHS officials) that any data collected shall be
protected in a manner which will not permit the personal identification
of students and their parents by other than those officials and their
authorized representatives, and such personally identifiable data shall
be destroyed when no longer needed for such audit, evaluation, and
enforcement of Federal legal requirements;
(3) Organizations that conduct studies to improve child and family
outcomes, including improving the quality of programs, for, or on
behalf of, the program, as long as the organization agrees in writing
to protect personally identifiable information from disclosure to
individuals other than representatives of the organization conducting
the study that have a legitimate interest in the information, to use
personally identifiable information for specific purposes intended, and
to destroy personally identifiable information when no longer needed
for the purpose for which the research was conducted;
(4) Appropriate parties in order to address a disaster or other
health or safety emergency during the period of the emergency, if the
program determines that disclosing the personally identifiable
information from child records are necessary to protect the health or
safety of children or other persons;
(5) Comply with a judicial order or lawfully issued subpoena,
provided the program makes a reasonable effort to notify the parent
about all such subpoenas and court orders in advance of the compliance
therewith, except if:
(i) A disclosure is in compliance with a federal grand jury
subpoena or with any other subpoena that a court has issued and has
ordered that neither the subpoena nor its contents be disclosed or
(ii) A parent is a party to a court proceeding involving child
abuse and neglect (as defined in section 3 of the Child Abuse
Prevention and Treatment Act (42 U.S.C. 5101)) or dependency matters,
and the order is issued in the context of that proceeding, additional
notice to the parent by the program is not required;
(6) The Secretary of Agriculture or an authorized representative
from the Food and Nutrition Service to conduct program monitoring,
evaluations, and performance measurements for the Child and Adult Care
Food Program under the Richard B. Russell National School Lunch Act or
the Child Nutrition Act of 1966, if the results will be reported in an
aggregate form that does not identify any individual: provided, that
any data collected must be protected in a manner that will not permit
the personal identification of students and their parents by other than
the authorized representatives of the Secretary of Agriculture and any
personally identifiable data must be destroyed when the data are no
longer needed for program monitoring, evaluations, and performance
measurements; and,
(7) A caseworker or other representative from a state, local, or
tribal child welfare agency, who has the right to access a case plan
for a child who is in foster care placement, when such agency is
legally responsible for the child's care and protection, under state or
tribal law, if the agency agrees in writing to protect personally
identifiable information, to use information from the child's case plan
for specific purposes intended of addressing the child's needs, and to
destroy information that is no longer needed for those purposes.
(d) Written agreements. If a program establishes a written
agreement with a third party identified in paragraph (c) of this
section, the procedures must require the program to review and update
the agreement annually, if necessary, and to prohibit the third party
from access to records for at least 5 years, if the third party
violates the agreement.
(e) Annual notice. The procedures must require the program to
annually notify parents of their rights in writing described in
Sec. Sec. 1303.20 through
[[Page 35549]]
1303.24, and applicable definitions in part 1305, and include in that
notice, a description of the personally identifiable information that
may be disclosed without parental consent.
Sec. 1303.23 Parents' rights.
(a) Inspect record. A parent has the right to inspect child
records. If the parent requests to inspect child records, the program
must make the child records available within a reasonable time, but no
more than 45 days after receipt of request. If a program maintains
child records that contain information on more than one child, the
program must ensure the parent only inspects information that pertains
to the parent's child.
(b) Amend record. (1) A parent has the right to ask the program to
amend information in the child record that the parent believes is
inaccurate, misleading, or violates the child's privacy.
(2) The program must consider the parent's request and, if the
request is denied, render a written decision to the parent within a
reasonable time that informs the parent of the right to a hearing.
(c) Hearing. (1) If the parent requests a hearing to challenge
information in the child record, the program must schedule a hearing
within a reasonable time, notify the parent, in advance, about the
hearing, and ensure the person who conducts the hearing does not have a
direct interest in its outcome.
(2) The program must ensure the hearing affords the parent a full
and fair opportunity to present evidence relevant to the issues.
(3) If the program determines from evidence presented at the
hearing that the information in the child records is inaccurate,
misleading, or violates the child's privacy, the program must either
amend or remove the information and notify the parent in writing.
(4) If the program determines from evidence presented at the
hearing that information in the child records is accurate, does not
mislead, or otherwise does not violate the child's privacy, the program
must inform the parent of the right to place a statement in the child
records that either comments on the contested information or that
states why the parent disagrees with the program's decision, or both.
(d) Right to copy of record. The program must provide a parent,
free of charge, an initial copy of child records disclosed to third
parties with parental consent and, upon parent request, an initial copy
of child records disclosed to third parties under one of the exceptions
to parental consent in Sec. Sec. 1303.21, and 1303.22(b) and (c).
(e) Right to inspect written agreements. A parent has the right to
review any written agreements with third parties as provided under
Sec. 1303.22(d).
Sec. 1303.24 Maintaining records.
(a) A program must maintain child records in a manner that ensures
only parents, and officials within the program or acting for the
program have access.
(b) A program must maintain, with the child records, for as long as
the records are maintained, information on all individuals, agencies,
or organizations to whom a disclosure of personally identifiable
information from the child records was made (except for program
officials and parents) and that indicates their expressed interests in
the child records. If a program uses a web-based data system to
maintain child records, the program must ensure that such child records
are adequately protected and maintained according to current industry
security standards.
(c) If a parent places a statement in the child record in
accordance with Sec. 1303.23(c)(4), the program must maintain the
statement with the contested part of the child record for as long as
the program maintains the record and, disclose the statement whenever
it discloses the portion of the child record to which the statement
relates.
Subpart D--Delegation of Program Operations
Sec. 1303.30 In general.
A grantee is accountable for the services its delegate agencies
provide. The grantee supports, oversees and ensures delegate agencies
provide high quality services to children and families and meet all
applicable Head Start requirements. The grantee can only terminate a
delegate agency if the grantee shows cause why termination is necessary
and provides a process for delegate agencies to appeal termination
decisions. The grantee retains legal responsibility and authority and
bears financial accountability for the program when services are
provided by delegate agencies.
Sec. 1303.31 Determining and establishing delegate agencies.
(a) If a grantee enters into an agreement with another entity to
serve children, the grantee must determine whether the agreement meets
the definition of ``delegate agency'' in section 637(3) of the Act.
(b) A grantee must not award a delegate agency federal financial
assistance unless there is a written agreement and the responsible HHS
official approves the agreement before the grantee delegates program
operations.
Sec. 1303.32 Evaluations and corrective actions for delegate
agencies.
A grantee must evaluate and ensure corrective action for delegate
agencies according to section 641A(d) of the Act.
Sec. 1303.33 Termination of delegate agencies.
(a) If a grantee shows cause why termination is appropriate or
demonstrates cost effectiveness, the grantee may terminate a delegate
agency's contract.
(b) The grantee's decision to terminate must not be arbitrary or
capricious.
(c) The grantee must establish a process for defunding a delegate
agency, including an appeal of a defunding decision and must ensure the
process is fair and timely.
(d) The grantee must notify the responsible HHS official about the
appeal and its decision.
Subpart E--Facilities
Sec. 1303.40 In general.
This subpart prescribes what a grantee must establish to show it is
eligible to purchase, construct and renovate facilities as outlined at
section 644(c), (f) and (g) of the Act. It explains how a grantee may
apply for funds, details what measures a grantee must take to protect
federal interest in facilities purchased, constructed or renovated with
grant funds, and concludes with other administrative provisions. This
subpart applies to major renovations. It only applies to minor
renovations and repairs, when they are included with a purchase
application and are part of purchase costs.
Sec. 1303.41 Approval of previously purchased facilities.
If a grantee purchased a facility beginning in 1987, and continues
to pay purchase costs for the facility or seeks to refinance current
indebtedness, the grantee may apply for funds to meet those costs. The
grantee must submit an application that conforms to requirements in
this part and in the Act to the responsible HHS official. If the
responsible HHS official approves the grantee's application, the
grantee may only use the funds to pay purchase costs, which include
amortizing, principal, and interest on loans.
[[Page 35550]]
Sec. 1303.42 Eligibility to purchase, construct, and renovate
facilities.
(a) Preliminary eligibility. Before a grantee can apply for funds
to purchase, construct, or renovate a facility under Sec. 1303.44, it
must establish that:
(1) The facility will be available to Indian tribes, or rural or
other low-income communities;
(2) The proposed purchase, construction or major renovation is
within the grantee's designated service area; and,
(3) The proposed purchase, construction or major renovation is
necessary because the lack of suitable facilities in the grantee's
service area will inhibit the operation of the program.
(4) If applying to construct a facility, that the construction of
such facility is more cost-effective than the purchase of available
facilities or renovation.
(b) Proving a lack of suitable facilities. To satisfy paragraph
(a)(3) of this section, the grantee must have a written statement from
a licensed independent certified appraiser in the grantee's service
area that supports factors the grantee considers and supports how the
grantee determines there are no other suitable facilities in the area.
Sec. 1303.43 Use of grant funds to pay fees.
A grantee may submit a written request to the responsible HHS
official for reasonable fees and costs necessary to determine
preliminary eligibility under Sec. 1303.42 before it submits an
application under Sec. 1303.44. If the responsible HHS official
approves the grantee's application, the grantee may use federal funds
to pay fees and costs.
Sec. 1303.44 Applications to purchase, construct, and renovate
facilities.
(a) Application requirements. If a grantee is preliminarily
eligible under Sec. 1303.42 to apply for funds to purchase, construct,
or renovate a facility, it must submit to the responsible HHS official:
(1) A statement that explains the anticipated effect the proposed
purchase, construction or renovation has had or will have on program
enrollment, activities and services, and how it determined what the
anticipated effect would be;
(2) A deed or other document showing legal ownership of the real
property where facilities activity is proposed, legal description of
the facility site, and an explanation why the location is appropriate
for the grantee's service area;
(3) Plans and specifications for the facility, including square
footage, structure type, the number of rooms the facility will have or
has, how the rooms will be used, where the structure will be positioned
or located on the building site, and whether there is space available
for outdoor play and for parking;
(4) Certification by a licensed engineer or architect that the
facility is, or will be upon completion, structurally sound and safe
for use as a Head Start facility and that the facility complies, or
will comply upon completion, with local building codes, applicable
child care licensing requirements, the access requirements of the
Americans with Disabilities Act, section 504 of the Rehabilitation Act
of 1973, the Flood Disaster Protection Act of 1973, and the National
Historic Preservation Act of 1966;
(5) A description of proposed renovations or repairs to make the
facility suitable for program activities, and plans and specification
that describe the facility after renovation or repair;
(6) A proposed schedule that details when the grantee will acquire,
renovate, repair and occupy the facility;
(7) An estimate, from a licensed independent certified appraiser,
of the facility's fair market value after proposed purchase,
construction, renovation or repair activities;
(8) The cost comparison described in Sec. 1303.45;
(9) A statement that shows what share of the purchase,
construction, or major renovation will be paid with grant funds and
what the grantee proposes to contribute as a nonfederal match to the
purchase, construction or major renovation;
(10) A statement from a lender, if a grantee applies to use Head
Start funds to continue purchase on a facility or refinance existing
debt on a facility that indicates the lender is willing to comply with
Sec. 1303.49;
(11) The terms of any proposed or existing loan(s) related to
purchase, construction or major renovation of the facility, including
copies of any funding commitment letters, mortgages, promissory notes,
potential security agreements to be entered into, information on all
other sources of funding, construction or major renovation, and any
restrictions or conditions imposed by other funding sources;
(12) A Phase I environmental site assessment that describes the
environmental condition of the proposed facility site and any
structures on the site; and,
(13) A description of the efforts by the grantee to coordinate or
collaborate with other providers in the community to seek assistance,
including financial assistance, prior to the use of funds under this
section;
(14) Any additional information the responsible HHS official may
require.
(b) Additional requirements for leased properties. (1) If a grantee
applies to renovate leased property, it must submit to the responsible
HHS official information described in paragraph (a) of this section, an
official a copy of the existing or proposed lease agreement, and the
landlord or lessor's consent.
(2) If a grantee applies to purchase a modular unit it intends to
site on leased property or on other property the grantee does not own,
the grantee must submit to the responsible HHS official information
described in paragraph (a) of this section and a copy of the proposed
lease or other occupancy agreement which will allow the grantee access
to the modular unit for at least 15 years.
(c) Non-federal match. Any non-federal match associated with
facilities activities becomes part of the federal share of the
facility.
Sec. 1303.45 Cost-comparison to purchase, construct, and renovate
facilities.
(a) Cost comparison. (1) If a grantee proposes to purchase,
construct, or renovate a facility, it must submit a detailed cost
estimate of the proposed activity, compare the costs associated with
the proposed activity to other available alternatives in the service
area, and provide any additional information the responsible HHS
official requests. The grantee must demonstrate that the proposed
activity will result in savings when compared to the costs that would
be incurred to acquire the use of an alternative facility to carry out
program.
(2) In addition to requirements in paragraph (a)(1) of this
section, the grantee must:
(i) Identify who owns the property;
(ii) List all costs related to the purchase, construction, or
renovation;
(iii) Identify costs over the structure's useful life, which is at
least 20 years for a facility that the grantee purchased or constructed
and at least 15 years for a modular unit the grantee renovated, and
deferred costs, including mortgage balloon payments, as costs with
associated due dates; and,
(iv) Demonstrated how the proposed purchase, construction, or major
renovation is consistent with program management and fiscal goals,
community needs, enrollment and program options and how the proposed
facility will support the grantee as it provides quality services to
children and families.
[[Page 35551]]
(b) Continue purchase or refinance. To use funds to continue
purchase on a facility or to refinance an existing indebtedness, the
grantee must compare the costs of continued purchase against the cost
of purchasing a comparable facility in the service area over the
remaining years of the facility's useful life. The grantee must
demonstrate that the proposed activity will result in savings when
compared to the cost that would be incurred to acquire the use of an
alternative facility to carry out the program.
(c) Multi-purpose use. If the grantee intends to use a facility to
operate a Head Start program and for another purpose, it must disclose
what percentage of the facility will be used for non-Head Start
activities, along with costs associated with those activities, in
accordance with applicable cost principles.
Sec. 1303.46 Recording and posting notices of federal interest.
(a) Survival of federal interest. A grantee that receives funds
under this subpart must file notices of federal interest as set forth
in paragraph (b) of this section. Federal interest cannot be defeated
by a grantee's failure to file a notice of federal interest.
(b) Recording notices of federal interest. (1) If a grantee uses
federal funds to purchase real property or a facility, excluding
modular units, appurtenant to real property, it must record a notice of
federal interest in the official real property records for the
jurisdiction where the facility is or will be located. The grantee must
file the notice of federal interest as soon as it uses Head Start funds
to either fully or partially purchase a facility or real property where
a facility will be constructed or as soon as it receives permission
from the responsible HHS official to use Head Start funds to continue
purchase on a facility.
(2) If a grantee uses federal funds in whole or in part to
construct a facility, it must record the notice of federal interest in
the official real property records for the jurisdiction in which the
facility is located as soon as it receives the notice of award to
construct the facility.
(3) If a grantee uses federal funds to renovate a facility that it,
or a third party owns, the grantee must record the notice of federal
interest in the official real property records for the jurisdiction in
which the facility is located as soon as it receives the notice of
award to renovate the facility.
(4) If a grantee uses federal funds in whole or in part to purchase
a modular unit or to renovate a modular unit, the grantee must post the
notice of federal interest, in clearly visible locations, on the
exterior of the modular unit and inside the modular unit.
Sec. 1303.47 Contents of notices of federal interest.
(a) Facility and real property a grantee owns. A notice of federal
interest for a facility, other than a modular unit, and real property
the grantee owns or will own, must include:
(1) The grantee's correct legal name and current mailing address;
(2) A legal description of the real property;
(3) Grant award number, amount and date of initial facilities
funding award or initial use of base grant funds for ongoing purchase
or mortgage payments;
(4) Acknowledgement that the notice of federal interest includes
funds awarded in grant award(s) and any Head Start funds subsequently
used to purchase, construct or to make major or minor renovations on
the real property;
(5) A statement that the facility and real property will only be
used for purposes consistent with the Act and applicable Head Start
regulations;
(6) A statement that the facility and real property will not be
mortgaged or used as collateral, sold or otherwise transferred to
another party, without the responsible HHS official's written
permission;
(7) A statement that the federal interest cannot be subordinated,
diminished, nullified or released through encumbrance of the property,
transfer of the property to another party or any other action the
grantee takes without the responsible HHS official's written
permission;
(8) A statement that proves the grantee disclosed to the governing
body that it filed a notice of federal interest and that shows the date
the governing body approved a copy of the proposed notice of federal
interest; however, the governing bodies' failure to approve a copy of
the proposed notice of federal does not defeat the federal interest
and,
(9) The name, title, and signature of the person who drafted the
notice.
(b) Facility leased by a grantee. (1) A notice of federal interest
for a leased facility, excluding a modular unit, on land the grantee
does not own, must be recorded in the official real property records
for the jurisdiction where the facility is located and must include:
(i) The grantee's correct legal name and current mailing address;
(ii) A legal description of affected real property;
(iii) The grant award number, amount and date of initial funding
award or initial use of base grant funds for major renovation;
(iv) Acknowledgement that the notice of federal interest includes
any Head Start funds subsequently used to make major renovations on the
affected real property;
(v) A statement the facility and real property will only be used
for purposes consistent with the Act and applicable Head Start
regulations; and,
(vi) The lease or occupancy agreement that includes information
from paragraphs (a)(1) through (9) of this section may be recorded in
the official real property records for the jurisdiction where the
facility is located.
(2) If a grantee cannot file the lease or occupancy agreement
described in paragraph (b)(1)(vi) of this section in the official real
property records for the jurisdiction where the facility is located, it
may file an abstract. The abstract must include the names and addresses
of parties to the lease or occupancy agreement, terms of the lease or
occupancy agreement, and information described in paragraphs (a)(1)
through (9) of this section.
(c) Modular units. A notice of federal interest on a modular unit
the grantee purchased or renovated must be visible and clearly posted
on the exterior of the modular and inside the modular and must include:
(1) The grantee's correct legal name and current mailing address;
(2) The grant award number, amount and date of initial funding
award or initial use of base grant funds to purchase or renovate;
(3) Proof that the notice of federal interest includes any Head
Start funds subsequently used to renovate the modular unit;
(4) A statement that the facility and real property will only be
used for purposes consistent with the Act and applicable Head Start
regulations;
(5) A statement that the modular unit will not be mortgaged or used
as collateral, sold or otherwise transferred to another party, without
the responsible HHS official's written permission;
(6) A statement that the federal interest cannot be subordinated,
diminished, nullified or released through encumbrance of the property,
transfer to another party, or any other action the grantee takes
without the responsible HHS official's written permission;
(7) A statement that the modular unit cannot be moved to another
location without the responsible HHS official's written permission;
(8) A statement that confirms the grantee disclosed to the agency's
[[Page 35552]]
governing body that it filed a notice of federal interest and the date
the governing body approved a copy of the proposed notice of federal
interest; however, the governing bodies' failure to approve a copy of
the proposed notice of federal does not defeat the federal interest
and,
(9) The name, title, and signature of the person who completed the
notice for the grantee agency.
Sec. 1303.48 Grantee limitations on federal interest.
(a) In general. A grantee cannot mortgage, use as collateral for a
credit line or for other loan obligations, or, sell or transfer to
another party, a facility, real property, or a modular unit it has
purchased, constructed or renovated with Head Start funds, without the
responsible HHS official's written permission.
(b) Limitations. A grantee must have the responsible HHS official's
written permission before it can use real property, a facility, or a
modular unit subject to federal interest for a purpose other than that
for which the grantee's application was approved.
Sec. 1303.49 Protection of federal interest in mortgage agreements.
(a) Any mortgage agreement or other security instrument that is
secured by real property or a modular unit constructed or purchased in
whole or in part with federal funds or subject to renovation with
federal funds must:
(1) Specify that the responsible HHS official can intervene in case
the grantee defaults on, terminates or withdraws from the agreement;
(2) Designate the responsible HHS official to receive a copy of any
notice of default given to the grantee under the terms of the agreement
and include the regional grants management officer's current address;
(3) Include a clause that requires any action to foreclose the
mortgage agreement or security agreement be suspended for 60 days after
the responsible HHS official receives the default notice to allow the
responsible HHS official reasonable time to respond;
(4) Include a clause that preserves the notice of federal interest
and the grantee's obligation for its federal share if the responsible
HHS official fails to respond to any notice of default provided under
this section;
(5) Include a statement that requires the responsible HHS official
to be paid the federal interest before foreclosure proceeds are paid to
the lender, unless the official's rights under the notice of federal
interest have been subordinated by a written agreement in conformance
with Sec. 1303.51;
(6) Include a clause that gives the responsible HHS official the
right to cure any default under the agreement within the designated
period to cure the default; and,
(7) Include a clause that gives the responsible HHS official the
right to assign or transfer the agreement to another interim or
permanent grantee.
(b) A grantee must immediately notify the responsible HHS official
about any default under a real property or mortgage agreement.
Sec. 1303.50 Third party leases and occupancy arrangements.
(a) If a grantee receives federal funds to construct or renovate a
facility on real property the grantee does not own or to purchase or
renovate a modular unit on real property the grantee does not own, the
grantee must have a lease or other occupancy agreement of at least 30
years for construction of a facility and at least 15 years for a major
renovation or placement of a modular unit.
(b) The lease or occupancy agreement must:
(1) Provide for the grantee's right of continued use and occupancy
of the leased or occupied premises during the entire term of the lease;
(2) Designate the regional grants management officer to receive a
copy of any notice of default given to the grantee under the terms of
the agreement and include the regional grants management officer's
current address;
(3) Specify that the responsible HHS official has the right to cure
any default under the lease or occupancy agreement within the
designated period to cure default; and,
(4) Specify that the responsible HHS official has the right to
transfer the lease to another interim or replacement grantee.
Sec. 1303.51 Subordination of the federal interest.
Only the responsible HHS official can subordinate federal interest
to the rights of a lender or other third party if the official agrees
in writing, the mortgage agreement or security agreement for which
subordination is requested complies with Sec. 1303.49, and, the amount
of federal funds already contributed to the facility does not exceed
the amount provided by the lender seeking subordination.
Sec. 1303.52 Insurance, bonding and maintenance.
(a) In general. If a grantee uses federal funds to purchase or
continue purchase on a facility, excluding modular units, the grantee
must obtain a title insurance policy for the purchase price that names
the responsible HHS official as an additional loss payee.
(b) Insurance coverage. (1) If a grantee uses federal funds to
purchase or continue purchase on a facility or modular unit the grantee
must maintain physical damage or destruction insurance at the full
replacement value of the facility, for as long as the grantee owns or
occupies the facility.
(2) If a facility is located in an area the National Flood
Insurance Program defines as high risk, the grantee must maintain flood
insurance for as long as the grantee owns or occupies the facility.
(3) A grantee must submit to the responsible HHS official, within
10 days after coverage begins, copies of insurance papers.
(c) Maintenance. A grantee must keep all facilities purchased or
constructed in whole or in part with Head Start funds in good repair in
accordance with all applicable federal state and local laws, rules and
regulations, including Head Start requirements, zoning requirements,
building codes, health and safety regulations and child care licensing
standards.
Sec. 1303.53 Copies of documents.
A grantee must submit to the responsible HHS official, within 10
days after filing or execution, copies of deeds, leases, loan
instruments, mortgage agreements, notices of federal interest, and
other legal documents related to the purchase, construction,
renovation, or the discharge of any debt secured by the facility.
Sec. 1303.54 Record retention.
A grantee must retain records pertinent to the lease, purchase,
construction or renovation of a facility funded in whole or in part
with Head Start funds, for as long as the grantee owns or occupies the
facility, plus 3 years.
Sec. 1303.55 Procurement procedures.
(a) A grantee must comply with all grants management regulations,
including specific regulations applicable to transactions in excess of
the current simplified acquisition threshold, cost principles, and its
own procurement procedures, and must provide, to the maximum extent
practical, open and full competition.
(b) A grantee must obtain the responsible HHS official's written
approval before it uses Head Start funds, in whole or in part, to
contract construction or renovation services. The grantee must ensure
these contracts are paid on a lump sum fixed-price basis.
(c) A grantee must obtain prior written approval from the
responsible
[[Page 35553]]
HHS official for contract modifications that would change the scope or
objective of a project or would materially alter the costs, by
increasing the amount of grant funds needed to complete the project.
(d) A grantee must ensure all construction and renovation contracts
paid, in whole or in part with Head Start funds contain a clause that
gives the responsible HHS official or his or her designee access to the
facility, at all reasonable times, during construction and inspection.
Sec. 1303.56 Inspection of work.
The grantee must submit to the responsible HHS official a final
facility inspection report by a licensed engineer or architect within
30 calendar days after the project is completed. The inspection report
must certify that the facility complies with local building codes,
applicable child care licensing requirements, is structurally sound and
safe for use as a Head Start facility, complies with the access
requirements of the Americans with Disabilities Act (ADA), section 504
of the Rehabilitation Act of 1973 and the Flood Disaster Protection Act
of 1973, and complies with National Historic Preservation Act of 1966.
Subpart F--Transportation
Sec. 1303.70 In general.
(a) Applicability. This subpart applies to all agencies, including
those that provide transportation services, with the exceptions and
exclusions provided in this section, regardless of whether such
transportation is provided directly on agency owned or leased vehicles
or through arrangement with a private or public transportation
provider.
(b) Providing transportation services. (1) If a program does not
provide transportation services, either for all or a portion of the
children, it must provide reasonable assistance to the families of such
children to arrange transportation to and from its activities, and
provide information about these transportation options in recruitment
announcements.
(2) A program that provides transportation services must make
reasonable efforts to coordinate transportation resources with other
human services agencies in its community in order to control costs and
to improve the quality and the availability of transportation services.
(3) A program that provides transportation services must ensure
that all accidents involving vehicles that transport children are
reported in accordance with applicable State requirements.
(c) Waiver. (1) A program that provides transportation services
must comply with all provisions in this subpart. A Head Start program
may request to waive a specific requirement in this part, in writing,
to the responsible HHS official, as part of an agency's annual
application for financial assistance or amendment and must submit any
required documentation the responsible HHS official deems necessary to
support the waiver. The responsible HHS official is not authorized to
waive any requirements with regard to children enrolled in an Early
Head Start program. A program may request a waiver when:
(i) Adherence to a requirement in this part would create a safety
hazard in the circumstances faced by the agency; and,
(ii) For preschool children, compliance with requirements related
to child restraint systems at Sec. Sec. 1303.71(d) and 1303.72(a)(1)
or bus monitors at Sec. 1303.72(a)(4) of this chapter will result in a
significant disruption to the program and the agency demonstrates that
waiving such requirements is in the best interest of the children
involved.
(2) The responsible HHS official is not authorized to waive any
requirements of the Federal Motor Vehicle Safety Standards (FMVSS) made
applicable to any class of vehicle under 49 CFR part 571.
Sec. 1303.71 Vehicles.
(a) Required use of schools buses or allowable alternative
vehicles. A program, with the exception of transportation services to
children served under a home-based option, must ensure that all
vehicles used or purchased with grant funds to provide transportation
services to enrolled children are school buses or allowable alternate
vehicles that are equipped for use of height- and weight-appropriate
child restraint systems, and that have reverse beepers.
(b) Emergency equipment. A program must ensure that each vehicle
used in providing such services is equipped with an emergency
communication system and appropriate emergency safety equipment,
including a seat belt cutter, charged fire extinguisher, and first aid
kit.
(c) Auxiliary seating. A program must ensure that any auxiliary
seating, such as temporary or folding jump seats, used in vehicles of
any type providing such services are built into the vehicle by the
manufacturer as part of its standard design, are maintained in proper
working order, and are inspected as part of the annual inspection
required under paragraph (f) of this section.
(d) Child restraint systems. A program must ensure that each
vehicle used to transport children receiving such services is equipped
for use of height- and weight-appropriate child safety restraint
systems.
(e) Vehicle maintenance. (1) A program must ensure vehicles used to
provide such services are in safe operating condition at all times.
(2) The program must:
(i) At a minimum, conduct an annual thorough safety inspection of
each vehicle through an inspection program licensed or operated by the
state;
(ii) Carry out systematic preventive maintenance on vehicles; and,
(iii) Ensure each driver implements daily pre-trip vehicle
inspections.
(f) New vehicle inspection. A program must ensure that bid
announcements for school buses and allowable alternate vehicles to
transport children in its program include correct specifications and a
clear statement of the vehicle's intended use. The program must ensure
that vehicles are examined at delivery to ensure that they are equipped
in accordance with the bid specifications and that the manufacturer's
certification of compliance with the applicable FMVSS is included with
the vehicle.
Sec. 1303.72 Vehicle operation.
(a) Safety. A program must ensure that:
(1) Vehicles seat each child in a child restraint system
appropriate to the child's height and weight;
(2) Baggage and other items transported in the passenger
compartment are properly stored and secured, and the aisles remain
clear and the doors and emergency exits remain unobstructed at all
times;
(3) Up-to-date child rosters and lists of the adults each child is
authorized to be released to, including alternates in case of
emergency, are maintained and no child is left behind, either at the
classroom or on the vehicle at the end of the route; and,
(4) With the exception of transportation services to children
served under a home-based option, there is at least one bus monitor on
board at all times, with additional bus monitors provided as necessary.
(b) Driver qualifications. A program, with the exception of
transportation services to children served under a home-based option,
must ensure that drivers, at a minimum:
(1) In states where such licenses are granted, have a valid
Commercial Driver's License (CDL) for vehicles in the same class as the
vehicle the driver will operating; and,
[[Page 35554]]
(2) Meet any physical, mental, and other requirements as necessary
to perform job-related functions with any necessary reasonable
accommodations.
(c) Driver application review. In addition to the applicant review
process prescribed Sec. 1302.90(b) of this chapter, a program, with
the exception of transportation services to children served under a
home-based option, must ensure the applicant review process for drivers
includes, at minimum:
(1) Disclosure by the applicant of all moving traffic violations,
regardless of penalty;
(2) A check of the applicant's driving record through the
appropriate state agency, including a check of the applicant's record
through the National Driver Register, if available in the state;
(3) A check that drivers qualify under the applicable driver
training requirements in the state or tribal jurisdiction; and,
(4) After a conditional employment offer to the applicant and
before the applicant begins work as a driver, a medical examination,
performed by a licensed doctor of medicine or osteopathy, establishing
that the individual possesses the physical ability to perform any job-
related functions with any necessary accommodations.
(d) Driver training. (1) A program must ensure any person employed
as a driver receives training prior to transporting any enrolled child
and receives refresher training each year.
(2) Training must include:
(i) Classroom instruction and behind-the-wheel instruction
sufficient to enable the driver to operate the vehicle in a safe and
efficient manner, to safely run a fixed route, to administer basic
first aid in case of injury, and to handle emergency situations,
including vehicle evacuation, operate any special equipment, such as
wheelchair lifts, assistance devices or special occupant restraints,
conduct routine maintenance and safety checks of the vehicle, and
maintain accurate records as necessary; and,
(ii) Instruction on the topics listed in Sec. 1303.75 related to
transportation services for children with disabilities.
(3) A program must ensure the annual evaluation of each driver of a
vehicle used to provide such services includes an on-board observation
of road performance.
(e) Bus monitor training. A program must train each bus monitor
before the monitor begins work, on child boarding and exiting
procedures, how to use child restraint systems, completing any required
paperwork, how to respond to emergencies and emergency evacuation
procedures, how to use special equipment, child pick-up and release
procedures, how to conduct and pre- and post-trip vehicle checks. Bus
monitors are also subject to staff safety training requirements in
Sec. 1303.47(b)(4) including CPR and first aid.
Sec. 1303.73 Trip routing.
(a) A program must consider safety of the children it transports
when it plans fixed routes.
(b) A program must also ensure:
(1) The time a child is in transit to and from the program must not
exceed one hour unless there is no shorter route available or any
alternative shorter route is either unsafe or impractical;
(2) Vehicles are not loaded beyond maximum passenger capacity at
any time;
(3) Drivers do not back up or make ``U'' turns, except when
necessary for safety reasons or because of physical barriers;
(4) Stops are located to minimize traffic disruptions and to afford
the driver a good field of view in front of and behind the vehicle;
(5) When possible, stops are located to eliminate the need for
children to cross the street or highway to board or leave the vehicle;
(6) Either a bus monitor or another adult escorts children across
the street to board or leave the vehicle if curbside pick-up or drop
off is impossible; and,
(7) Drivers use alternate routes in the case of hazardous
conditions that could affect the safety of the children who are being
transported, such as ice or water build up, natural gas line breaks, or
emergency road closing.
Sec. 1303.74 Safety procedures.
(a) A program must ensure children who receive transportation
services are taught safe riding practices, safety procedures for
boarding and leaving the vehicle and for crossing the street to and
from the vehicle at stops, recognition of the danger zones around the
vehicle, and emergency evacuation procedures, including participating
in an emergency evacuation drill conducted on the vehicle the child
will be riding.
(b) A program that provides transportation services must ensure
that at least two bus evacuation drills are conducted during the
program year.
Sec. 1303.75 Children with disabilities.
(a) A program must ensure that there are school buses or allowable
alternate vehicles adapted or designed for transportation of children
with disabilities available as necessary to transport such children
enrolled in the program. This requirement does not apply to the
transportation of children receiving home-based services unless school
buses or allowable alternate vehicles are used to transport the other
children served under the home-based option by the grantee. Whenever
possible, children with disabilities must be transported in the same
vehicles used to transport other children enrolled in the Head Start or
Early Head Start program.
(b) A program must ensure that special transportation requirements
in a child's IEP or IFSP are followed, including special pick-up and
drop-off requirements, seating requirements, equipment needs, any
assistance that may be required, and any necessary training for bus
drivers and monitors.
PART 1304--FEDERAL ADMINISTRATIVE PROCEDURES
Subpart A--Monitoring, Suspension, Termination or Denial of Refunding,
Reduction in Funding, and their appeals
Sec.
1304.1 In general.
1304.2 Monitoring
1304.3 Suspension with notice.
1304.4 Emerrgency suspension without advance notice.
1304.5 Termination and denial of refunding.
1304.6 Appeal for prospective delegate agencies.
1304.7 Legal fees.
Subpart B--Designation Renewal
1304.10 Purpose and scope.
1304.11 Basis for determining whether a Head Start agency will be
subject to an open competition.
1304.12 Grantee reporting requirements concerning certain
conditions.
1304.13 Requirements to be considered for designation for a five-
year period when the existing grantee in a community is not
determined to be delivering a high quality and comprehensive Head
Start program and is not automatically renewed.
1304.14 Tribal government consultation under the Designation Renewal
System for when an Indian Head Start grant is being considered for
competition.
1304.15 Designation request, review and notification process.
1304.16 Use of CLASS: Pre-K Instrument in the Designation Renewal
System.
Subpart C--Selection of Grantees through Competition
1304.20 Selection among applicants.
Subpart D--Replacement of American Indian/Alaska Native Grantees
1304.30 Procedure for identification of alternative agency.
1304.31 Requirements of alternative agency.
1304.32 Alternative agency--prohibition.
Subpart E--Head Start Fellows Program
1304.40 In general.
1304.41 Fellows Program.
[[Page 35555]]
Authority: 42 U.S.C. 9801 et seq.
Subpart A--Monitoring, Suspension, Termination or Denial of
Refunding, Reduction in Funding, and their Appeals
Sec. 1304.1 In general.
(a) Section 641A(c) of the Act requires the Secretary to monitor
whether a grantee meets program governance, program operations, and
financial and administrative standards described in this regulation and
to identify areas for improvements and areas of strength as part of the
grantee's ongoing self-assessment process. This subpart focuses on the
monitoring process. It discusses areas of noncompliance, deficiencies,
and corrective action through quality improvement plans.
(b) Section 646(a) of the Act requires the Secretary to prescribe
procedures for notice and appeal for certain adverse actions. This
subpart establishes rules and procedures to suspend financial
assistance to a grantee, deny a grantee's application for refunding,
terminate, or reduce a grantee's assistance under the Act when the
grantee improperly uses federal funds or fails to comply with
applicable laws, regulations, policies, instructions, assurances, terms
and conditions or, if the grantee loses its legal status or financial
viability. This subpart does not apply to reductions to a grantee's
financial assistance based on chronic under-enrollment procedures at
section 641A(h) of the Act or to matters described in subpart B. This
subpart does not apply to any administrative action based upon any
violation, or alleged violation, of title VI of the Civil Rights Act of
1964. Except as otherwise provided for in this subpart, the appeals and
processes in this subpart will be governed by the Departmental Appeals
Board regulations at 45 CFR part 16.
Sec. 1304.2 Monitoring.
(a) Areas of noncompliance. If a responsible HHS official
determines through monitoring, pursuant to section 641(A)(c)(1) and (2)
of the Act, that a grantee fails to comply with any of the standards
described in parts 1301, 1302, and 1303 under this title, the official
will notify the grantee promptly in writing, identify the area of
noncompliance, and specify when the grantee must correct the area of
noncompliance.
(b) Deficiencies. If the Secretary determines that a grantee meets
one of the criteria for a deficiency, as defined in section 637(2)(C)
of the Act, the Secretary shall inform the grantee of the deficiency.
The grantee must correct the deficiency pursuant to section
641A(e)(1)(B) of the Act, as the responsible HHS official determines.
(c) Quality improvement plans. If the responsible HHS official does
not require the grantee to correct a deficiency immediately as
prescribed under section 641A(e)(1)(B)(i) of the Act, the grantee must
submit to the official, for approval, a quality improvement plan that
adheres to section 641A(e)(2)(A) of the Act.
Sec. 1304.3 Suspension with notice.
(a) Grounds to suspend financial assistance with notice. If a
grantee breaches or threatens to breach any requirement stated in Sec.
1304.1, the responsible HHS official may suspend the grantee's
financial assistance, in whole or in part, after it has given the
grantee notice and an opportunity to show cause why assistance should
not be suspended.
(b) Notice requirements. (1) The responsible HHS official must
notify the grantee in writing that ACF intends to suspend financial
assistance, in whole or in part. The notice must:
(i) Specify grounds for the suspension;
(ii) Include the date suspension will become effective;
(iii) Inform the grantee that it has the opportunity to submit to
the responsible HHS official, at least 7 days before suspension becomes
effective, any written material it would like the official to consider,
and to inform the grantee that it may request, in writing, no later
than 7 days after the suspension notice was mailed, to have an informal
meeting with the responsible HHS official;
(iv) Invite the grantee to voluntarily correct the deficiency; and,
(v) Include a copy of this subpart.
(2) The responsible HHS official must promptly transmit the
suspension notice to the grantee. The notice becomes effective when the
grantee receives the notice, when the grantee refuses delivery, or when
the suspension notice is returned to sender unclaimed.
(3) The responsible HHS official must send a copy of the suspension
notice to any delegate agency whose actions or whose failures to act
substantially caused or contributed to the proposed suspension. The
responsible HHS official will inform the delegate agency that it is
entitled to submit written material to oppose the suspension and to
participate in the informal meeting, if one is held. In addition, the
responsible HHS official may give notice to the grantee's other
delegate agencies.
(4) After the grantee receives the suspension notice, it has 3 days
to send a copy of the notice to delegate agencies that would be
financially affected by a suspension.
(c) Opportunity to show cause. The grantee may submit to the
responsible HHS official any written material to show why financial
assistance should not be suspended. The grantee may also request, in
writing, to have an informal meeting with the responsible HHS official.
If the grantee requests an informal meeting, the responsible HHS
official must schedule the meeting within 7 days after the grantee
receives the suspension notice.
(d) Extensions. If the responsible HHS official extends the time or
the date by which a grantee has to make requests or to submit material,
it must notify the grantee in writing.
(e) Decision. (1) The responsible HHS official will consider any
written material presented before or during the informal meeting, as
well as any proof the grantee has adequately corrected what led to
suspension, and will render a decision within 5 days after the informal
meeting. If no informal meeting is held, the responsible HHS official
will render a decision within 5 days after it receives written material
from all concerned parties.
(2) If the responsible HHS official finds the grantee failed to
show cause why ACF should not suspend financial assistance, the
official may suspend financial assistance, in whole or in part, and
under terms and conditions as he or she deems appropriate.
(3) A suspension must not exceed 30 days, unless the conditions
under section 646(a)(5)(B) are applicable or the grantee requests the
suspension continue for an additional period of time and the
responsible HHS official agrees.
(4) The responsible HHS official may appoint an agency to serve as
an interim grantee to operate the program until the grantee's
suspension is lifted, or as otherwise provided under section
646(a)(5)(B) of the Act.
(f) Obligations incurred during suspension. New obligations the
grantee incurs while under suspension are not allowed unless the
responsible HHS official expressly authorizes them in the suspension
notice or in an amendment to the suspension notice. Necessary and
otherwise allowable costs which the grantee could not reasonably avoid
during the suspension period will be allowed if they result from
obligations the grantee properly incurred before suspension and not in
anticipation of suspension or termination. The responsible HHS official
may allow third-party in-kind contributions applicable to the
suspension period to
[[Page 35556]]
satisfy cost sharing or matching requirements.
(g) Modify or rescind suspension. The responsible HHS official may
modify or rescind suspension at any time, if the grantee can
satisfactorily show that it has adequately corrected what led to
suspension and that it will not repeat such actions or inactions.
Nothing in this section precludes the HHS official from imposing
suspension again for an additional 30 days if the cause of the
suspension has not been corrected.
Sec. 1304.4 Emergency suspension without advance notice.
(a) Grounds to suspend financial assistance without advance notice.
The responsible HHS official may suspend financial assistance, in whole
or in part, without prior notice and an opportunity to show cause if
there is an emergency situation, such as a serious risk for substantial
injury to property or loss of project funds, a federal, state, or local
criminal statute violation, or harm to staff or participants' health
and safety.
(b) Emergency suspension notification requirements. (1) The
emergency suspension notification must:
(i) Specify the grounds for the suspension;
(ii) Include terms and conditions of any full or partial
suspension;
(iii) Inform that grantee it cannot make or incur any new
expenditures or obligations under suspended portion of the program;
and,
(iv) Advise the grantee that it may request, in writing, within 5
days after the date the emergency suspension became effective, an
informal meeting with the responsible HHS official, to show why the
suspension should be rescinded.
(2) The responsible HHS official must promptly transmit the
emergency suspension notification to the grantee by any means showing
the date of receipt. The emergency suspension becomes effective upon
delivery of the notification or upon the date the grantee refuses
delivery, or upon return of the notification unclaimed.
(3) After the grantee receives the emergency suspension
notification, it must send a copy to delegate agencies affected by the
suspension, within 2 workdays.
(4) The responsible HHS official must inform affected delegate
agencies that they have the right to participate in the informal
meeting.
(c) Opportunity to show cause. If the grantee requests an informal
meeting, the responsible HHS official must schedule a meeting within 5
workdays after it receives the grantee's request. The suspension will
continue until the grantee has been afforded such opportunity and until
the responsible HHS official renders a decision. Notwithstanding
provisions in section, the responsible HHS official may proceed to deny
refunding or to initiate termination proceedings at any time even
though the grantee's financial assistance has been suspended in whole
or in part.
(d) Decision. (1) The responsible HHS official will consider any
written material presented before or during the informal meeting, as
well as any proof the grantee has adequately corrected what led to
suspension, and render a decision within five work days after the
informal meeting.
(2) If the responsible HHS official finds the grantee failed to
show cause why suspension should be rescinded, the responsible HHS
official may continue the suspension, in whole or in part, and under
the terms and conditions specified in the emergency suspension
notification.
(3) A suspension must not exceed 30 days, unless the conditions
under section 646(a)(5)(B) are applicable or the grantee requests the
suspension to continue for an additional period of time and the
responsible HHS official agrees.
(4) The responsible HHS official may appoint an agency to serve as
an interim grantee to operate the program until either the grantee's
emergency suspension is lifted or a new grantee is selected.
(e) Obligations incurred during suspension. Any new obligations the
grantee incurs during the suspension period will not be allowed unless
the responsible HHS official expressly authorizes them in the
suspension notice or in an amendment to the suspension notice.
Necessary and otherwise allowable costs which the grantee could not
reasonably avoid during the suspension period will be allowed if those
costs result from obligations properly incurred before suspension and
not in anticipation of suspension, denial of refunding or termination.
The responsible HHS official may allow third-party in-kind
contributions applicable to the suspension period to satisfy cost
sharing or matching requirements.
(f) Modify or rescind suspension. The responsible HHS official may
modify or rescind suspension at any time, if the grantee can
satisfactorily show that is has adequately corrected what led to the
suspension and that it will not repeat such actions or inactions.
Nothing in this section precludes the HHS official from imposing
suspension again for an additional 30 days if the cause of the
suspension has not been corrected.
Sec. 1304.5 Termination and denial of refunding.
(a) Grounds to terminate financial assistance or deny a grantee's
application for refunding. (1) A responsible HHS official may terminate
financial assistance in whole or in part to a grantee or deny a
grantee's application for refunding.
(2) The responsible HHS official may terminate financial assistance
in whole or in part, or deny refunding to a grantee for any one or for
all of the following reasons:
(i) The grantee is no longer financially viable;
(ii) The grantee has lost the requisite legal status or permits;
(iii) The grantee has failed to timely correct one or more
deficiencies as defined in the Act;
(iv) The grantee has failed to comply with eligibility
requirements;
(v) The grantee has failed to comply with the Head Start grants
administration or fiscal requirements set forth in 45 CFR part 1303;
(vi) The grantee has failed to comply with requirements in the Act;
(vii) The grantee is debarred from receiving federal grants or
contracts; or
(viii) The grantee has failed to abide by any other terms and
conditions of its award of financial assistance, or any other
applicable laws, regulations, or other applicable federal or state
requirements or policies.
(b) Notice requirements. (1) The responsible HHS official will
notify the grantee and such notice will:
(i) Include the legal basis for termination or adverse action as
described at paragraph (a) of this section;
(ii) Include factual findings on which the action is based or
reference specific findings in another document that form the basis for
termination or denial of refunding;
(iii) Cite to any statutory provisions, regulations, or policy
issuances on which ACF is relies for its determination;
(iv) Inform the grantee that it may appeal the denial or
termination within 30 days to the Departmental Appeals Board, that the
appeal will be governed by 45 CFR part 16, except as otherwise provided
in the Head Start appeals regulations, that a copy of the appeal must
sent to the responsible HHS official, and that it has the right to
request and receive a hearing, as mandated under section 646 of the
Act;
(v) Inform the grantee that only its board of directors, or an
official acting
[[Page 35557]]
on the board's behalf can appeal the decision;
(vi) Name the delegate agency, if the actions of that delegate are
the basis, in whole or in part, for the proposed action; and,
(vii) Inform the grantee that the appeal must meet requirements in
paragraph (d) of this section; and, that if the responsible HHS
official fails to meet requirements in this paragraph, the pending
action may be dismissed without prejudice or remanded to reissue it
with corrections.
(2) The responsible HHS official must provide the grantee as much
advance notice, but no later than 30 days after ACF receives the
application, that it has the opportunity for a full and fair hearing on
whether refunding should be denied.
(c) Grantee's appeal. (1) The grantee must adhere to procedures and
requirements for appeals in 45 CFR part 16, file the appeal with the
Departmental Appeals Board, and serve a copy of the appeal on the
responsible HHS official who issued the termination or denial of
refunding notice. The grantees must also serve a copy of its appeal on
any affected delegate.
(2) While a grantee appeals a termination decision, funding will
continue unless the responsible HHS official renders an adverse
decision, or unless the current budget period is expired. If the
responsible HHS official has not rendered a decision by the end of the
current budget period, the official will award the grantee interim
funding until a decision is made.
(d) Funding during suspension. If a grantee's funding is suspended,
the grantee will not receive funding during the termination
proceedings, or at any other time, unless the action is rescinded or
the grantee's appeal is successful.
(e) Interim and replacement grantees. The responsible HHS official
may appoint an interim or replacement grantee as soon as a termination
action is affirmed by the Departmental Appeals Board.
(f) Opportunity to show cause. (1) If the Departmental Appeals
Board sets a hearing for a proposed termination or denial of refunding
action, the grantee has 5 workdays to send a copy of the notice it
receives from the Departmental Appeals Board, to all delegate agencies
that would be financially affected by termination and to each delegate
agency identified in the notice.
(2) The grantee must send to the Departmental Appeals Board and to
the responsible HHS official a list of the delegate agencies it
notified and the dates when it notified them.
(3) If the responsible HHS official initiated proceedings because
of a delegate agency's activities, the official must inform the
delegate agency that it may participate in the hearing. If the delegate
agency chooses to participate in the hearing, it must notify the
responsible HHS official in writing within 30 days of the grantee's
appeal. If any other delegate agency, person, agency or organization
wishes to participate in the hearing, it may request permission to do
so from the Departmental Appeals Board.
(4) If the grantee fails to appear at the hearing, without good
cause, the grantee will be deemed to have waived its right to a hearing
and consented to have the Departmental Appeals Board make a decision
based on the parties' written information and argument.
(5) A grantee may waive the hearing and submit written information
and argument for the record, within a reasonable period of time to be
fixed by the Departmental Appeals Board.
(6) The responsible HHS official may attempt, either personally or
through a representative, to resolve the issues in dispute by informal
means prior to the hearing.
(g) Decision. The Departmental Appeals Board's decision and any
measure the responsible HHS official takes after the decision is fully
binding upon the grantee and its delegate agencies, whether or not they
actually participated in the hearing.
Sec. 1304.6 Appeal for prospective delegate agencies.
(a) In general. If a grantee denies, or fails to act on, a
prospective delegate agency's funding application, the prospective
delegate may appeal the grantee's decision or inaction.
(b) Process for prospective delegates. To appeal, a prospective
delegate must:
(1) Submits the appeal, including a copy of the funding
application, to the responsible HHS official within 30 days after it
receives the grantee's decision; or within 30 days after the grantee
has had 120 days to review but has not notified the applicant of a
decision; and,
(2) Provide the grantee with a copy of the appeal at the same time
the appeal is filed with the responsible HHS official.
(c) Process for grantees. When an appeal is filed with the
responsible HHS official, the grantee must respond to the appeal and
submit a copy of its response to the responsible HHS official and to
the prospective delegate agency within 30 work days.
(d) Decision. (1) The responsible HHS official will sustain the
grantee's decision, if the official determines the grantee did not act
arbitrarily, capriciously, or otherwise contrary to law, regulation, or
other applicable requirements.
(2) The responsible HHS official will render a written decision to
each party within a reasonable timeframe. The official's decision is
final and not subject to further appeal.
(3) If the responsible HHS official finds the grantee did act
arbitrarily, capriciously, or otherwise contrary to law, regulation, or
other applicable requirements, the grantee will be directed to
reevaluate their applications.
Sec. 1304.7 Legal fees.
(a) An agency is not authorized to charge to its grant legal fees
or other costs incurred to appeal terminations, reductions of funding,
or denials of applications of refunding decisions.
(b) If a program prevails in a termination, reduction, or denial of
refunding decision, the responsible HHS official may reimburse the
agency for reasonable and customary legal fees, incurred during the
appeal, if:
(1) The Departmental Appeals Board overturns the responsible HHS
official's decision;
(2) The agency can prove it incurred fees during the appeal; and,
(3) The agency can prove the fees incurred are reasonable and
customary.
Subpart B--Designation Renewal
Sec. 1304.10 Purpose and scope.
The purpose of this subpart is to set forth policies and procedures
for the designation renewal of Head Start and Early Head Start
programs. It is intended that these programs be administered
effectively and responsibly; that applicants to administer programs
receive fair and equitable consideration; and that the legal rights of
current Head Start and Early Head Start grantees be fully protected.
The Designation Renewal System is established in this Part to determine
whether Head Start and Early Head Start agencies deliver high quality
services to meet the educational, health, nutritional, and social needs
of the children and families they serve; meet the program and financial
requirements and standards described in section 641A(a)(1) of the Head
Start Act; and qualify to be designated for funding for five years
without competing for such funding as required under section 641(c) of
the Head Start Act with respect to Head Start agencies and pursuant to
section 645A(b)(12) and (d) with respect to Early Head Start agencies.
A competition to select a new Head Start or Early Head Start agency to
replace a
[[Page 35558]]
Head Start or Early Head Start agency that has been terminated
voluntarily or involuntarily is not part of the Designation Renewal
System established in this Part, and is subject instead to the
requirements of Sec. 1304.20.
Sec. 1304.11 Basis for determining whether a Head Start agency will
be subject to an open competition.
A Head Start or Early Head Start agency shall be required to
compete for its next five years of funding whenever the responsible HHS
official determines that one or more of the following seven conditions
existed during the relevant time period covered by the responsible HHS
official's review under Sec. 1304.15:
(a) An agency has been determined by the responsible HHS official
to have one or more deficiencies on a single review conducted under
section 641A(c)(1)(A), (C), or (D) of the Act in the relevant time
period covered by the responsible HHS official's review under Sec.
1304.15.
(b) An agency has been determined by the responsible HHS official
based on a review conducted under section 641A(c)(1)(A), (C), or (D) of
the Act during the relevant time period covered by the responsible HHS
official's review under Sec. 1304.15 not to have:
(1) After December 9, 2011, established program goals for improving
the school readiness of children participating in its program in
accordance with the requirements of section 641A(g)(2) of the Act and
demonstrated that such goals:
(i) Appropriately reflect the ages of children, birth to five,
participating in the program;
(ii) Align with the Birth to Five Head Start Child Outcomes
Framework, State early learning guidelines, and the requirements and
expectations of the schools, to the extent that they apply to the ages
of children, birth to five, participating in the program and at a
minimum address the domains of language and literacy development,
cognition and general knowledge, approaches toward learning, physical
well-being and motor development, and social and emotional development;
(iii) Were established in consultation with the parents of children
participating in the program.
(2) After December 9, 2011, taken steps to achieve the school
readiness goals described under paragraph (b)(1) of this section
demonstrated by:
(i) Aggregating and analyzing aggregate child-level assessment data
at least three times per year (except for programs operating less than
90 days, which will be required to do so at least twice within their
operating program period) and using that data in combination with other
program data to determine grantees' progress toward meeting its goals,
to inform parents and the community of results, and to direct
continuous improvement related to curriculum, instruction, professional
development, program design and other program decisions; and
(ii) Analyzing individual ongoing, child-level assessment data for
all children birth to age five participating in the program and using
that data in combination with input from parents and families to
determine each child's status and progress with regard to, at a
minimum, language and literacy development, cognition and general
knowledge, approaches toward learning, physical well-being and motor
development, and social and emotional development and to individualize
the experiences, instructional strategies, and services to best support
each child.
(c) An agency has been determined during the relevant time period
covered by the responsible HHS official's review under Sec. 1304.15:
(1) After December 9, 2011, to have an average score across all
classrooms observed below the following minimum thresholds on any of
the three CLASS: Pre-K domains from the most recent CLASS: Pre-K
observation:
(i) For the Emotional Support domain the minimum threshold is 4;
(ii) For the Classroom Organization domain, the minimum threshold
is 3;
(iii) For the Instructional Support domain, the minimum threshold
is 2;
(2) After December 9, 2011, to have an average score across all
classrooms observed that is in the lowest 10 percent on any of the
three CLASS: Pre-K domains from the most recent CLASS: Pre-K
observation among those currently being reviewed unless the average
score across all classrooms observed for that CLASS: Pre-K domain is
equal to or above the standard of excellence that demonstrates that the
classroom interactions are above an exceptional level of quality. For
all three domains, the ``standard of excellence'' is a 6.
(d) An agency has had a revocation of its license to operate a Head
Start or Early Head Start center or program by a State or local
licensing agency during the relevant time period covered by the
responsible HHS official's review under Sec. 1304.15 of this chapter,
and the revocation has not been overturned or withdrawn before a
competition for funding for the next five-year period is announced. A
pending challenge to the license revocation or restoration of the
license after correction of the violation shall not affect application
of this requirement after the competition for funding for the next
five-year period has been announced.
(e) An agency has been suspended from the Head Start or Early Head
Start program by ACF during the relevant time period covered by the
responsible HHS official's review under Sec. 1304.16 and the
suspension has not been overturned or withdrawn. If there is a pending
appeal and the agency did not have an opportunity to show cause as to
why the suspension should not have been imposed or why the suspension
should have been lifted if it had already been imposed under this part
1304, the agency will not be required to compete based on this
condition. If an agency has received an opportunity to show cause, the
condition will be implemented regardless of appeal status.
(f) An agency has been debarred from receiving Federal or State
funds from any Federal or State department or agency or has been
disqualified from the Child and Adult Care Food Program (CACFP) any
time during the relevant time period covered by the responsible HHS
official's review under Sec. 1304.15 but has not yet been terminated
or denied refunding by ACF. (A debarred agency will only be eligible to
compete for Head Start funding if it receives a waiver described in 2
CFR 180.135.)
(g) An agency has been determined within the twelve months
preceding the responsible HHS official's review under Sec. 1304.15 to
be at risk of failing to continue functioning as a going concern. The
final determination is made by the responsible HHS official based on a
review of the findings and opinions of an audit conducted in accordance
with section 647 of the Act; an audit, review or investigation by a
State agency; a review by the National External Audit Review (NEAR)
Center; or an audit, investigation or inspection by the Department of
Health and Human Services Office of Inspector General.
Sec. 1304.12 Grantee reporting requirements concerning certain
conditions.
(a) Head Start agencies must report in writing to the responsible
HHS official within 30 working days of December 9, 2011, if the agency
has had a revocation of a license to operate a center by a State of
local licensing entity during the period between June 12, 2009, and
December 9, 2011.
(b) Head Start agencies must report in writing to the responsible
HHS official within 10 working days of occurrence any of the following
events following December 9, 2011:
(1) The agency has had a revocation of a license to operate a
center by a State or local licensing entity.
[[Page 35559]]
(2) The agency has filed for bankruptcy or agreed to a
reorganization plan as part of a bankruptcy settlement.
(3) The agency has been debarred from receiving Federal or State
funds from any Federal or State department or agency or has been
disqualified from the Child and Adult Care Food Program (CACFP).
(4) The agency has received an audit, audit review, investigation
or inspection report from the agency's auditor, a State agency, or the
cognizant Federal audit agency containing a determination that the
agency is at risk for ceasing to be a going concern.
Sec. 1304.13 Requirements to be considered for designation for a
five-year period when the existing grantee in a community is not
determined to be delivering a high quality and comprehensive Head Start
program and is not automatically renewed.
In order to compete for the opportunity to be awarded a five-year
grant, an agency must submit an application to the responsible HHS
official that demonstrates that it is the most qualified entity to
deliver a high quality and comprehensive Head Start or Early Head Start
program. The application must address the criteria for selection listed
at section 641(d)(2) of the Act for Head Start. Any agency that has had
its Head Start or Early Head Start grant terminated for cause in the
preceding five years is excluded from competing in such competition for
the next five years. A Head Start or Early Head Start agency that has
had a denial of refunding, as defined in 45 CFR part 1305, in the
preceding five years is also excluded from competing.
Sec. 1304.14 Tribal government consultation under the Designation
Renewal System for when an Indian Head Start grant is being considered
for competition.
(a) In the case of an Indian Head Start or Early Head Start agency
determined not to be delivering a high quality and comprehensive Head
Start or Early Head Start program, the responsible HHS official will
engage in government-to-government consultation with the appropriate
Tribal government or governments for the purpose of establishing a plan
to improve the quality of the Head Start program or Early Head Start
program operated by the Indian Head Start or Indian Early Head Start
agency.
(1) The plan will be established and implemented within six months
after the responsible HHS official's determination.
(2) Not more than six months after the implementation of that plan,
the responsible HHS official will reevaluate the performance of the
Indian Head Start or Early Head Start agency.
(3) If the Indian Head Start or Early Head Start agency is still
not delivering a high quality and comprehensive Head Start or Early
Head Start program, the responsible HHS official will conduct an open
competition to select a grantee to provide services for the community
currently being served by the Indian Head Start or Early Head Start
agency.
(b) A non-Indian Head Start or Early Head Start agency will not be
eligible to receive a grant to carry out an Indian Head Start program,
unless there is no Indian Head Start or Early Head Start agency
available for designation to carry out an Indian Head Start or Indian
Early Head Start program.
(c) A non-Indian Head Start or Early Head Start agency may receive
a grant to carry out an Indian Head Start program only until such time
as an Indian Head Start or Indian Early Head Start agency in such
community becomes available and is designated pursuant to this part.
Sec. 1304.15 Designation request, review and notification process.
(a) Grantees must apply to be considered for Designation Renewal.
(1) For the transition period, each Head Start or Early Head Start
agency wishing to be considered to have their designation as a Head
Start or Early Head Start agency renewed for a five year period without
competition shall request that status from ACF within six months of
December 9, 2011.
(2) After the transition period, each Head Start or Early Head
Start agency wishing to be considered to have their designation as a
Head Start or Early Head Start agency renewed for another five year
period without competition shall request that status from ACF at least
12 months before the end of their five year grant period or by such
time as required by the Secretary.
(b) ACF will review the relevant data to determine if one or more
of the conditions under Sec. 1304.11 were met by the Head Start and
Early Head Start agency's program:
(1) During the first year of the transition period, ACF shall
review the data on each Head Start and Early Head Start agency to
determine if any of the conditions under Sec. 1304.11(a) or (d)
through (g) were met by the agency's program since June 12, 2009.
(2) During the remainder of the transition period, ACF shall review
the data on each Head Start and Early Head Start agency still under
grants with indefinite project periods and for whom ACF has relevant
data on all of the conditions in Sec. 1304.11(a) through (g) to
determine if any of the conditions under Sec. 1304.11(a) or (d)
through (g) were met by the agency's program since June 12, 2009, or if
the conditions under Sec. 1304.11 (b) or (c) of this chapter existed
in the agency's program since December 9, 2011.
(3) Following the transition period, ACF shall review the data on
each Head Start and Early Head Start agency in the fourth year of the
grant to determine if any of the conditions under Sec. 1304.11 existed
in the agency's program during the period of that grant.
(c) ACF will give notice to grantees on Designation Renewal System
status, except as provided in Sec. 1304.14:
(1) During the first year of the transition period, ACF shall give
written notice to all grantees meeting any of the conditions under
Sec. 1304.11(a) or (d) through (g) of this part since June 12, 2009,
by certified mail return receipt requested or other system that
establishes the date of receipt of the notice by the addressee, stating
that the Head Start or Early Head Start agency will be required to
compete for funding for an additional five-year period, identifying the
conditions ACF found, and summarizing the basis for the finding. All
grantees that do not meet any of the conditions under Sec. 1304.11(a)
or (d) through (g) will remain under indefinite project periods until
the time period described under Sec. 1304.15(b)(2).
(2) During the remainder of the transition period, ACF shall give
written notice to all grantees still under grants with indefinite
project periods and on the conditions in Sec. 1304.11(a) through (g)
by certified mail return receipt requested or other system that
establishes the date of receipt of the notice by the addressee stating
either:
(i) The Head Start or Early Head Start agency will be required to
compete for funding for an additional five-year period because ACF
finds that one or more conditions under Sec. 1304.11 (a) through (g)
has been met during the relevant time period described in paragraph (b)
of this section, identifying the conditions ACF found, and summarizing
the basis for the finding; or
(ii) That such agency has been determined on a preliminary basis to
be eligible for renewed funding for five years without competition
because ACF finds that none of the conditions under Sec. 1304.11 have
been met during the relevant time period described in paragraph (b) of
this section. If prior to the award of that grant, ACF determines that
the grantee has met one of the conditions under Sec. 1304.11 during
the relevant time period described in paragraph (b) of this section,
this determination will change and the
[[Page 35560]]
grantee will receive notice under paragraph (c)(2)(i) of this section
that it will be required to compete for funding for an additional five-
year period.
(3) Following the transition period, ACF shall give written notice
to all grantees at least 12 months before the expiration date of a Head
Start or Early Head Start agency's then current grant by certified mail
return receipt requested or other system that establishes the date of
receipt of the notice by the addressee, stating:
(i) The Head Start or Early Head Start agency will be required to
compete for funding for an additional five-year period because ACF
finds that one or more conditions under Sec. 1304.11 were met by the
agency's program during the relevant time period described in paragraph
(b) of this section, identifying the conditions ACF found, and
summarizing the basis for the finding; or,
(ii) That such agency has been determined on a preliminary basis to
be eligible for renewed funding for five years without competition
because ACF finds that none of the conditions under Sec. 1304.11 have
been met during the relevant time period described in paragraph (b) of
this section. If prior to the award of that grant, ACF determines that
the grantee has met one of the conditions under Sec. 1304.11 during
the relevant time period described in paragraph (b) of this section,
this determination will change and the grantee will receive notice
under paragraph (c)(3)(i) of this section that it will be required to
compete for funding for an additional five-year period.
Sec. 1304.16 Use of CLASS: Pre-K Instrument in the Designation
Renewal System.
Except when all children are served in a single classroom, ACF will
conduct observations of multiple classes operated by the grantee based
on a random sample of all classes and rate the conduct of the classes
observed using the CLASS: Pre-K instrument. When the grantee serves
children in its program in a single class, that class will be observed
and rated using the CLASS: Pre-K instrument. The domain scores for that
class will be the domain scores for the grantee for that observation.
After the observations are completed, ACF will report to the grantee
the scores of the classes observed during the CLASS: Pre-K observations
in each of the domains covered by the CLASS: Pre-K instrument. ACF will
average CLASS: Pre-K instrument scores in each domain for the classes
operated by the agency that ACF observed to determine the agency's
score in each domain.
Subpart C--Selection of Grantees through Competition
Sec. 1304.20 Selection among applicants.
(a) In selecting an agency to be designated to provide Head Start,
Early Head Start, Migrant and Seasonal Head Start or tribal Head Start
or Early Head Start services, the responsible HHS official will
consider the applicable criteria at section 641(d) of the Head Start
Act and any other criteria outlined in the Funding Opportunity
Announcement.
(b) In competitions to replace or potentially replace a grantee the
responsible HHS official will also consider the extent to which the
applicant supports continuity for participating children, the community
and the continued employment of effective, well qualified personnel.
(c) In competitions to replace or potentially replace a current
grantee, the responsible HHS official will give priority to applicants
that have demonstrated capacity in providing effective, comprehensive,
and well-coordinated early childhood education and development services
and programs to children and their families.
Subpart D--Replacement of American Indian/Alaska Native Grantees
Sec. 1304.30 Procedure for identification of alternative agency.
(a) An Indian tribe whose Head Start grant has been terminated,
relinquished, designated for competition or which has been denied
refunding as a Head Start agency, may identify an alternate agency and
request the responsible HHS official to designate such agency as an
alternative agency to provide Head Start services to the tribe if:
(1) The tribe was the only agency that was receiving federal
financial assistance to provide Head Start services to members of the
tribe; and,
(2) The tribe would be otherwise precluded from providing such
services to its members because of the termination or denial of
refunding.
(b)(1) The responsible HHS official, when notifying a tribal
grantee of the intent to terminate financial assistance or deny its
application for refunding, or its designation for competition must
notify the grantee that it may identify an agency and request that the
agency serve as the alternative agency in the event that the grant is
terminated or refunding denied, or the grant is not renewed without
competition.
(2) The tribe must identify the alternate agency to the responsible
HHS official in writing.
(3) The responsible HHS official will notify the tribe, in writing,
whether the alternative agency proposed by the tribe is found to be
eligible for Head Start funding and capable of operating a Head Start
program. If the alternative agency identified by the tribe is not an
eligible agency capable of operating a Head Start program, the tribe
will have 15 days from the date of the sending of the notification to
that effect from the responsible HHS official to identify another
agency and request that the agency be designated. The responsible HHS
official will notify the tribe in writing whether the second proposed
alternate agency is found to be an eligible agency capable of operating
the Head Start program.
(4) If the tribe does not identify an eligible, suitable
alternative agency, a grantee will be designated under this part.
(c) If the tribe appeals a termination of financial assistance or a
denial of refunding, it will, consistent with the terms of part 1303 of
this chapter, continue to be funded pending resolution of the appeal.
However, the responsible HHS official and the grantee will proceed with
the steps outlined in this subpart during the appeal process.
(d) If the tribe does not identify an agency and request that the
agency be appointed as the alternative agency, the responsible HHS
official will seek a permanent replacement grantee under this subpart.
Sec. 1304.31 Requirements of alternative agency.
The agency identified by the Indian tribe must establish that it
meets all requirements established by the Head Start Act and these
requirements for designation as a Head Start grantee and that it is
capable of conducting a Head Start program. The responsible HHS
official, in deciding whether to designate the proposed agency, will
analyze the capacity and experience of the agency according to the
criteria found in section 641(d) of the Head Start Act and Sec.
1304.20.
Sec. 1304.32 Alternative agency--prohibition.
(a) No agency will be designated as the alternative agency pursuant
to this subpart if the agency includes an employee who:
(1) Served on the administrative or program staff of the Indian
tribal grantee described under 646(e)(1)(A) of the Act, and
(2) Was responsible for a deficiency that:
(i) Relates to the performance standards or financial management
standards described in section 641A(a)(1) of the Act; and
(ii) Was the basis for the termination of assistance under
646(e)(1)(A) of the
[[Page 35561]]
Act or denial of refunding described in Sec. 1304.4.
(b) The responsible HHS official shall determine whether an
employee was responsible for a deficiency within the meaning and
context of this section.
Subpart E--Head Start Fellows Program
Sec. 1304.40 In general.
As provided in section 648A(d) of the Act, the Head Start Fellows
Program is designed to enhance the ability of Head Start Fellows to
make significant contributions to Head Start and to other child
development and family services programs.
Sec. 1304.41 Fellows Program.
(a) Selection. An applicant must be working on the date of
application in a local Head Start program or otherwise working in the
field of child development and family services. The qualifications of
the applicants for Head Start Fellowship positions will be
competitively reviewed.
(b) Placement. Head Start Fellows may be placed in the Head Start
national and regional offices; local Head Start agencies and programs;
institutions of higher education; public or private entities and
organizations concerned with services to children and families; and
other appropriate settings.
(c) Restrictions. A Head Start Fellow who is not an employee of a
local Head Start agency or program may only be placed in the national
or regional offices within the Department of Health and Human Services
that administer Head Start or local Head Start agencies. Head Start
Fellows shall not be placed in any agency whose primary purpose, or one
of whose major purposes is to influence Federal, State or local
legislation.
(d) Duration. Head Start Fellowships will be for terms of one year,
and may be renewed for a term of one additional year.
(e) Status. For the purposes of compensation for injuries under
chapter 81 of title 5, United States Code, Head Start Fellows shall be
considered to be employees, or otherwise in the service or employment,
of the Federal Government. Head Start Fellows assigned to the national
or regional offices within the Department of Health and Human Services
shall be considered employees in the Executive Branch of the Federal
Government for the purposes of chapter 11 of title 18, United States
Code, and for the purposes of any administrative standards of conduct
applicable to the employees of the agency to which they are assigned.
PART 1305--DEFINITIONS
Sec.
1305.1 Cross references to definitions.
1305.2 Definitions.
Authority: 42 U.S.C. 9801 et seq.
1305.1 Cross references to definitions.
For the purposes of this subchapter, the following definitions
apply:
(a) The following terms are defined in the same manner as presented
in the Head Start Act, 42 U.S.C. 9801: child with a disability,
deficiency, delegate agency, Indian tribe, and state.
(b) The following terms are defined in the same manner as presented
in the Individuals with Disabilities Education Act (20 U.S.C. 1400 et
seq.) Individualized Education Program, and Individualized Family
Service Plan.
1305.2 Definitions.
For the purposes of this subchapter, the following definitions
apply:
Accepted means a child or pregnant woman has met the eligibility
criteria and has completed the enrollment process.
ACF means the Administration for Children and Families in the
Department of Health and Human Services.
Act means the Head Start Act, 42 U.S.C. 9831, et seq.
Agency means the body that receives the Head Start grant.
Aggregate child-level assessment data means the data collected by
an agency on the status and progress of the children it serves that
have been combined to provide summary information about groups of
children enrolled in specific classrooms, centers, home-based or other
options, groups or settings, or other groups of children such as dual
language learners, or to provide summary information by specific
domains of development.
Allowable alternate vehicle means a vehicle designed for carrying
eleven or more people, including the driver, that meets all the Federal
Motor Vehicle Safety Standards applicable to school buses, except 49
CFR 571.108 and 571.131.
Budget period means the interval of time, into which a multi-year
period of assistance (project period) is divided for budgetary and
funding purposes.
Child-level assessment data means the data collected by an agency
on an individual child from one or more valid and reliable assessments
of a child's status and progress, including but not limited to direct
assessment, structured observations, checklists, staff or parent report
measures, and portfolio records or work samples.
Child records means records that are:
(1) Directly related to the child;
(2) Maintained by the program, or by a party acting for the
program; and
(3) Includes information recorded in any way, including, but not
limited to, print (including handwriting) or electronic or digital
means, including computer media, video or audio tape, film, microfilm,
and microfiche.
Child restraint system means any device designed to restrain, seat,
or position children that meets the current requirements of Federal
Motor Vehicle Safety Standard No. 213, Child Restraint Systems, 49 CFR
571.213, for children in the weight category established under the
regulation, or any device designed to restrain, seat, or position
children, other than a Type I seat belt as defined at 49 CFR 571.209,
for children not in the weight category currently established by 49 CFR
571.213.
Commercial Driver's License (CDL) means a license issued by a State
or other jurisdiction, in accordance with the standards contained in 49
CFR part 383, to an individual which authorizes the individual to
operate a class of commercial motor vehicles.
Construction means new buildings, and excludes renovations,
alterations, additions, or work of any kind to existing buildings.
Continuity of care means Head Start or Early Head Start services
provided to children in a manner that promotes primary caregiving and
minimizes the number of transitions in teachers and teacher assistants
that children experience over the course of the day, week, program
year, and to the extent possible, during the course of their
participation from birth to age three in Early Head Start and in Head
Start.
Days of operation means the planned days during which children will
be receiving early learning and development and comprehensive services
with Head Start or Early Head Start teachers, assistant teachers, or
staff.
Development and administrative costs mean costs incurred in
accordance with an approved Head Start budget which do not directly
relate to the provision of program component services, including
services to children with disabilities, as set forth and described in
the Head Start program performance standards (45 CFR part 1304).
Disclosure means to permit access to or the release, transfer, or
other communication of personally identifiable information contained in
child records by any means, including oral, written, or electronic
means, to any party except the party identified as the
[[Page 35562]]
party that provided or created the record.
Dual benefit costs mean costs incurred in accordance with an
approved Head Start budget which directly relate to both development
and administrative functions and to the program component services,
including services to children with disabilities, as set forth and
described in the Head Start program performance standards (45 CFR part
1304).
Early Head Start agency means a public or private non-profit or
for-profit entity designated by ACF to operate an Early Head Start
program to serve pregnant women and children from birth to age three,
pursuant to section 645A(e) of the Head Start Act.
Enrolled means a child has been accepted and attended at least one
class, has received at least one home visit, or has received at least
one direct service while pending completion of necessary documentation
for attendance in a center, based on state and local licensing
requirements.
Enrollment year means the period of time, not to exceed twelve
months, during which a Head Start program provides center or home-based
services to a group of children and their families.
Facility means a structure, such as a building or modular unit,
appropriate for use in carrying out a Head Start program and used
primarily to provide Head Start services, including services to
children and their families, or for administrative purposes or other
activities necessary to carry out a Head Start program.
Family means all persons living in the same household who are
supported by the child's parent(s)' or guardian(s)' income; and are
related to the child's parent(s) or guardian(s) by blood, marriage, or
adoption; or are the child's authorized caregiver or legally
responsible party.
Federalinterest is a property right which secures the right of the
federal awarding agency to recover the current fair market value of its
percentage of participation in the cost of the facility in the event
the facility is no longer used for Head Start purposes by the grantee
or upon the disposition of the property. When a grantee uses Head Start
funds to purchase, construct or renovate a facility, or make mortgage
payments, it creates a federal interest. The federal interest includes
any portion of the cost of purchase, construction, or renovation
contributed by or for the entity, or a related donor organization, to
satisfy a matching requirement.
Federal Motor Vehicle Safety Standards (FMVSS) means the National
Highway and Traffic Safety Administration's standards for motor
vehicles and motor vehicle equipment (49 CFR part 571) established
under section 30111 of Title 49, United States Code.
Financial viability means that an organization is able to meet its
financial obligations, balance funding and expenses and maintain
sufficient funding to achieve organizational goals and objectives.
Fixed route means the established routes to be traveled on a
regular basis by vehicles that transport children to and from Head
Start or Early Head Start program activities, and which include
specifically designated stops where children board or exit the vehicle.
Foster care means 24-hour substitute care for children placed away
from their parents or guardians and for whom the State agency has
placement and care responsibility. This includes, but is not limited
to, placements in foster family homes, foster homes of relatives, group
homes, emergency shelters, residential facilities, child-care
institutions, and pre-adoptive homes. A child is in foster care in
accordance with this definition regardless of whether the foster care
facility is licensed and payments are made by the State or local agency
for the care of the child, whether adoption subsidy payments are being
made prior to the finalization of an adoption, or whether there is
Federal matching of any payments that are made.
Full-day means six or more hours of Head Start or Early Head Start
services per day.
Full-working-day means not less than 10 hours of Head Start or
Early Head Start services per day.
Funded enrollment means the number of participants which the Head
Start grantee is to serve, as indicated on the grant award.
Going concern means an organization that operates without the
threat of liquidation for the foreseeable future, a period of at least
12 months.
Grantee means the local public or private non-profit agency or for-
profit agency which has been designated as a Head Start agency under 42
U.S.C. 9836 and which has been granted financial assistance by the
responsible HHS official to operate a Head Start program.
Head Start agency means a local public or private non-profit or
for-profit entity designated by ACF to operate a Head Start program to
serve children age three to compulsory school age, pursuant to section
641(b) and (d) of the Head Start Act.
Homeless children means the same as homeless children and youths in
section 725(2) of the McKinney-Vento Homeless Assistance Act at 42
U.S.C. 11434a(2).
Home visitor means the staff member in the home-based program
option assigned to work with parents to provide comprehensive services
to children and their families through home visits and group
socialization activities.
Hours of operation mean the planned hours per day during which
children and families will be receiving Head Start or Early Head Start
services in a classroom, on a field trip, while receiving medical or
dental services, or during a home visit or group socialization
activity. Hours of operation do not include travel time to and from the
center at the beginning and end of a session.
Income means gross cash income and includes earned income, military
income (including pay and allowances), veteran's benefits, Social
Security benefits, unemployment compensation, and public assistance
benefits. Additional examples of gross cash income are listed in the
definition of ``income'' which appears in U.S. Bureau of the Census,
Current Population Reports, Series P-60-185.
Indian Head Start agency means a program operated by an Indian
tribe (as defined by the Act) or designated by an Indian tribe to
operate on its behalf.
Legal status means the existence of an applicant or grantee as a
public agency or organization under the law of the State in which it is
located, or existence as a private nonprofit or for-profit agency or
organization as a legal entity recognized under the law of the State in
which it is located. Existence as a private non-profit agency or
organization may be established under applicable State or Federal law.
Local agency responsible for implementing IDEA or local IDEA agency
means the early intervention service provider under Part C of IDEA and
the local educational agency under Part B of IDEA.
Major renovation means any individual or collection renovation that
has a cost equal to or exceeding $250,000. It excludes minor
renovations and repairs except when they are included in a purchase
application.
Migrant family means, for purposes of Head Start eligibility, a
family with children under the age of compulsory school attendance who
changed their residence by moving from one geographic location to
another, either intrastate or interstate, within the preceding two
years for the purpose of engaging in agricultural work that involves
the production and harvesting of tree and field crops and whose family
[[Page 35563]]
income comes primarily from this activity.
Migrant or Seasonal Head Start Program means:
(1) With respect to services for migrant farm workers, a Head Start
program that serves families who are engaged in agricultural labor and
who have changed their residence from one geographic location to
another in the preceding 2-year period; and
(B) With respect to services for seasonal farmworkers, a Head Start
program that serves families who are engaged primarily in seasonal
agricultural labor and who have not changed their residence to another
geographic location in the preceding 2-year period.
Minor renovation means improvements to facilities, which do not
meet the definition of major renovation.
Modular unit means a portable prefabricated structure made at
another location and moved to a site for use by a Head Start grantee to
carry out a Head Start program, regardless of the manner or extent to
which the modular unit is attached to underlying real property.
National Driver Register means the National Highway Traffic Safety
Administration's automated system for assisting State driver license
officials in obtaining information regarding the driving records of
individuals who have been denied licenses for cause; had their licenses
denied for cause, had their licenses canceled, revoked, or suspended
for cause, or have been convicted of certain serious driving offenses.
Parent means a Head Start child's mother or father, other family
member who is a primary caregiver, foster parent or authorized
caregiver, guardian or the person with whom the child has been placed
for purposes of adoption pending a final adoption decree.
Participant means a pregnant woman or child who is enrolled in and
receives services from a Head Start, an Early Head Start, a Migrant or
Seasonal Head Start, or an American Indian Alaska Native Head Start
program.
Personally identifiable information means personally identifiable
information as defined in 34 CFR 99.3, as amended, except that the term
``student'' in the definition of personally identifiable information in
34 CFR 99.3 means ``child'' as used in this part and any reference to
``school'' or ``educational agency'' or ``educational institution''
means ``program'' or ``Early Head Start program'' or ``Head Start
program'' as used in this part.
Policy group means the policy council, and as appropriate the
policy committee at the delegate level.
Program means a Head Start, Early Head Start, Migrant, Seasonal, or
Tribal program, funded under the Act and carried out by an agency, or
delegate agency, to provide ongoing comprehensive child development
services.
Program costs mean costs incurred in accordance with an approved
Head Start budget which directly relate to the provision of program
component services, including services to children with disabilities,
as set forth and described in the Head Start Program Performance
Standards (45 CFR part 1304).
Purchase means to buy an existing facility, including outright
purchase, down payment or through payments made in satisfaction of a
mortgage or other loan agreement, whether principal, interest or an
allocated portion principal and/or interest. The use of grant funds to
make a payment under a capital lease agreement, as defined in the cost
principles, is a purchase subject to these provisions. Purchase also
refers to an approved use of Head Start funds to continue paying the
cost of purchasing facilities or refinance an existing loan or mortgage
beginning in 1987.
Real property means land, including land improvements, buildings,
structures and all appurtenances thereto, excluding movable machinery
and equipment.
Recruitment area means that geographic locality within which a Head
Start program seeks to enroll Head Start children and families. The
recruitment area can be the same as the service area or it can be a
smaller area or areas within the service area.
Relevant time period means:
(1) The 12 months preceding the month in which the application is
submitted; or
(2) During the calendar year preceding the calendar year in which
the application is submitted, whichever more accurately reflects the
needs of the family at the time of application.
Repair means maintenance that is necessary to keep a Head Start
facility in working condition. Repairs do not add significant value to
the property or extend its useful life.
Responsible HHS official means the official of the Department of
Health and Human Services who has authority to make grants under the
Act.
School bus means a motor vehicle designed for carrying 11 or more
persons (including the driver) and which complies with the Federal
Motor Vehicle Safety Standards applicable to school buses.
School readiness goals mean the expectations of children's status
and progress across domains of language and literacy development,
cognition and general knowledge, approaches to learning, physical well-
being and motor development, and social and emotional development that
will improve their readiness for kindergarten.
Service area means the geographic area identified in an approved
grant application within which a grantee may provide Head Start
services.
Staff means paid adults who have responsibilities related to
children and their families who are enrolled in programs.
Termination of a grant or delegate agency agreement means permanent
withdrawal of the grantee's or delegate agency's authority to obligate
previously awarded grant funds before that authority would otherwise
expire. It also means the voluntary relinquishment of that authority by
the grantee or delegate agency. Termination does not include:
(1) Withdrawal of funds awarded on the basis of the grantee's or
delegate agency's underestimate of the unobligated balance in a prior
period;
(2) Refusal by the funding agency to extend a grant or award
additional funds (such as refusal to make a competing or noncompeting
continuation renewal, extension or supplemental award);
(3) Withdrawal of the unobligated balance as of the expiration of a
grant;
(4) Annulment, i.e., voiding of a grant upon determination that the
award was obtained fraudulently or was otherwise illegal or invalid
from its inception.
Total approved costs mean the sum of all costs of the Head Start
program approved for a given budget period by the Administration for
Children and Families, as indicated on the Financial Assistance Award.
Total approved costs consist of the federal share plus any approved
non-federal share, including non-federal share above the statutory
minimum.
Transition period means the three-year time period after December
9, 2011, on the Designation Renewal System during which ACF will
convert all of the current continuous Head Start and Early Head Start
grants into five-year grants after reviewing each grantee to determine
if it meets any of the conditions under Sec. 1304.12 that require
recompetition or if the grantee will receive its first five-year grant
non-competitively.
[[Page 35564]]
Transportation services means the planned transporting of children
to and from sites where an agency provides services funded under the
Head Start Act. Transportation services can involve the pick-up and
discharge of children at regularly scheduled times and pre-arranged
sites, including trips between children's homes and program settings.
The term includes services provided directly by the Head Start and
Early Head Start grantee or delegate agency and services which such
agencies arrange to be provided by another organization or an
individual. Incidental trips, such as transporting a sick child home
before the end of the day, or such as might be required to transport
small groups of children to and from necessary services, are not
included under the term.
Verify or any variance of the word means to check or determine the
correctness or truth by investigation or by reference.
[FR Doc. 2015-14379 Filed 6-16-15; 11:15 am]
BILLING CODE 4184-01-P