Education and Care: Head Start Key Among Array of Early Childhood
Programs, but National Research on Effectiveness Not Completed	 
(22-JUL-03, GAO-03-840T).					 
                                                                 
The federal government invests over $11 billion in early	 
childhood education and care programs. These programs exist to	 
ensure that children from low-income families are better prepared
to enter school and that their parents have access to early	 
childhood education and care that allow them to obtain and	 
maintain employment. The federal government invests more in Head 
Start, which was funded at $6.5 billion in fiscal year 2002, than
any other early childhood education and care program. Head Start 
has served over 21 million children at a total cost of $66	 
billion since it began. The Chairman, Senate Committee on Health,
Education, Labor, and Pensions asked GAO to discuss Head	 
Start--how it fits within the array of early childhood education 
and care programs available to low-income children and their	 
families and what is known about its effectiveness.		 
-------------------------Indexing Terms------------------------- 
REPORTNUM:   GAO-03-840T					        
    ACCNO:   A07597						        
  TITLE:     Education and Care: Head Start Key Among Array of Early  
Childhood Programs, but National Research on Effectiveness Not	 
Completed							 
     DATE:   07/22/2003 
  SUBJECT:   Aid for education					 
	     Child care programs				 
	     Disadvantaged persons				 
	     Education program evaluation			 
	     Educational research				 
	     Preschool education				 
	     Preschoolers					 
	     Program coordination				 
	     Head Start Program 				 
	     HHS Child Care and Development Fund		 
	     HHS Family and Child Experiences Survey		 
	     HHS Temporary Assistance for Needy 		 
	     Families Program					 
                                                                 

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GAO-03-840T

Testimony Before the Committee on Health, Education, Labor, and Pensions
U. S. Senate

United States General Accounting Office

GAO For Release on Delivery Expected at 10: 00 a. m. EDT Tuesday, July 22,
2003 EDUCATION AND CARE Head Start Key Among Array of Early Childhood
Programs, but National Research on Effectiveness Not Completed

Statement of Marnie S. Shaul, Director Education, Workforce, and Income
Security Issues

GAO- 03- 840T

Head Start, created in 1965, is the largest funded program among an array
of federal early childhood education and care programs, most of which did
not exist until decades later. The early education and child care demands
of families have changed significantly since Head Start*s inception. More
women are working, the number of single parents has been increasing, and
welfare reform has resulted in more families, including those with young
children, entering the workforce. To help meet families* demands for early
childhood education and care services, an array of federal programs, such
as

the child care block grant, have been added over time. Program legislation
requires some of these programs to coordinate the delivery of early
childhood education and care services for low- income families with young
children. For example, to provide parents with full day coverage, Head
Start, a predominately part day program, may coordinate with child care
programs for the other part of the day. However, barriers-- such as
differing program eligibility requirements-- sometimes make it difficult
to blend services across the different programs.

Although extensive research exists that provides important information
about Head Start, no recent, definitive, national- level research exists
about Head Start*s effectiveness on the lives of the children and families
it serves. In its last reauthorization, Congress mandated a Head Start
effectiveness

study and specified that it be completed this year. According to HHS, the
study will be completed in 2006. The federal government invests

over $11 billion in early childhood education and care programs. These
programs exist to ensure that children from low- income families are
better prepared to

enter school and that their parents have access to early childhood
education and care that allow them to obtain and maintain employment. The
federal government invests more in Head Start, which was funded at $6.5
billion in fiscal year 2002, than any

other early childhood education and care program. Head Start has served
over 21 million children at a total cost of $66 billion since it

began. The Chairman, Senate Committee on Health, Education, Labor, and
Pensions asked GAO to discuss Head Start-- how it fits

within the array of early childhood education and care programs available
to low- income children and their families and what is known about its
effectiveness.

www. gao. gov/ cgi- bin/ getrpt? GAO-- 03- 840T. To view the full product,
including the scope and methodology, click on the link above. For more
information, contact Marnie S. Shaul at (202) 512- 7215 or shaulm@ gao.
gov. Highlights of GAO- 03- 840T, a report to

Senate Committee on Health, Education, Labor, and Pensions

July 2003

EDUCATION AND CARE

Head Start Key Among Array of Early Childhood Programs, But National
Research on Effectiveness Not Completed

Page 1 GAO- 03- 840T Mr. Chairman and Members of the Committee: I am
pleased to be here today to discuss our work on early childhood

education and care programs, and in particular, Head Start, which many
view as one of the most successful social programs. Nationwide attention
has been focused on ensuring that children from low- income families are

better prepared to enter school and that parents have access to early
childhood services that allow them to obtain and maintain employment. In
response, the federal government has increased funding for early childhood
education and care programs to over $11 billion. Head Start* the federal
government*s single largest investment in early childhood education and
care for low- income children* has served over 21 million children and
their families at a total cost of $66 billion since its inception in 1965;
its funding for fiscal year 2002 was $6.5 billion.

The reauthorization of the Head Start program offers a timely occasion for
considering the two major issues my statement will address today: How Head
Start fits into the array of early childhood education and care programs
available to low- income children and their families and what is known
about Head Start*s effectiveness. My statement is based primarily on
recent studies that we have conducted on early childhood education and
care programs.

In summary, much has changed in society since Head Start was established
nearly 40 years ago, including an increase in the availability of federal
early childhood programs for low- income families. Changes in women*s
employment, family structure, and public assistance have dramatically
increased the demand for early education and child care for low- income
families. To help meet the increased demand brought about by

societal changes, an array of federal education and care programs, as well
as many state and local community programs, has been created for children
from low- income families. The largest sources of additional federal
funding for child care services come from the Child Care and Development
Fund (CCDF) and Temporary Assistance for Needy Families (TANF). To meet
the demands of families, some federal programs require

coordination of services among early childhood education and care
programs. To illustrate, most Head Start programs are predominately part
day, part year programs, and they cannot meet the demands of working

families who need full- day, full- year education and care services. In
response to this requirement, some Head Start programs collaborate with
other programs to provide families full day coverage. However, differing
program eligibility requirements and other coordination barriers sometimes
impede coordination efforts.

Page 2 GAO- 03- 840T Although a substantial body of Head Start research
exists that provides important information about the program, little is
known about its

effectiveness on the lives of the children and families it serves.
Although the Department of Health and Human Services (HHS) currently has
studies that show that the skills of children who participate in Head
Start have improved, the studies do not provide definitive evidence that
this improvement is a result of program participation and not other
experiences children may have had. HHS has a study underway, however, that
is expected to provide more definitive information on Head Start*s
effectiveness in preparing young children for school. The study, mandated
by Congress to have been completed this year, is expected to be completed
in 2006, according to HHS. Currently, no preliminary results are
available.

Head Start was created in 1965 as part of the *War on Poverty.* The
program was built on the premise that effective intervention in the lives
of children could be best accomplished through family and community
involvement. Fundamental to this notion was that communities should be
given considerable latitude to develop their own Head Start programs. Head
Start*s primary goal is to prepare young children to enter school. In
support of its school readiness goal, the program offers children a broad
range of services, which include educational, as well as medical, dental,
mental health, nutritional, and social services. Children enrolled in Head
Start are primarily 3 and 4 years old and come from varying ethnic and
racial backgrounds. Most children receive part day, part year program

services in center- based settings. Head Start is administered by HHS.
Unlike most other federal early childhood education and care programs that
are funded through the states, HHS awards Head Start grants directly to
local grantees. Grantees may contract with organizations* called delegate
agencies* in the community to run all or part of their local Head Start
programs.

Families* needs for early childhood education and care have changed
dramatically since Head Start*s inception, and to meet the increased
demand, the federal government has created an array of federal early
education and care programs. Many of these programs are required to
coordinate the delivery of services to low- income families with children.
However, barriers sometimes exist, making it difficult to blend the
services offered across programs to meet the demands of families.
Background

Array of Early Childhood Education and Care Programs Exists to Help Meet
Increased Demand

Page 3 GAO- 03- 840T Since Head Start was created in 1965, it has provided
a wide range of services, through part day, part- year programs, to
improve outcomes for

children from low- income families. However, the demographics of families
have changed considerably over the past several decades and increasingly,
families need full- day, full- year services for their children. More
parents

are working full time, either by choice or necessity, and the proportion
of children under age 6 who live with only one parent has increased.
Moreover, welfare reform has meant that more families, including those
with very young children, are expected to seek and keep jobs than ever
before.

To help meet the demand for early education and care, the federal
government has increased the number of, and funding for, programs
providing early education and care services. For example, Head Start
program funding has tripled over the past decade. Moreover, the federal
government invests over $11 billion in early education and care programs

for children under age 5, primarily through six major programs, including
Head Start (see table 1). These programs are funded through HHS and the
Department of Education. While these six programs receive most of the
federal funding for early childhood education and care, many other smaller
programs also fund services for low- income families with children. 1
Funding under these six programs can generally be used to provide a range
of services: early education and care; health, dental, mental health,
social, parental, and nutritional services; speech and hearing
assessments; and disability screening.

1 GAO analysis of Department of Education and HHS data using proportions
based on analysis in U. S. General Accounting Office, Early Education and
Care: Overlap Indicates Need to Assess Crosscutting Programs, GAO/ HEHS-
00- 78 (Washington, D. C.: Apr. 28, 2000). Increased Demand for

Early Childhood Education and Care Services Has Led To An Increase in the
Size and Number of Programs

Page 4 GAO- 03- 840T Table 1: Characteristics of the Six Major Federal
Programs Supporting Early Childhood Education and Care Program Agency
Program goals

Estimated number of children served under age 5

Estimated amount spent for children under 5

(in billions)

Head Start a HHS Promote school readiness 912,000 $6.5 CCDF HHS Increase
the availability, affordability and quality of child

care services 1,260,000 $2.2 TANF HHS Provide assistance for needy
families; end dependence

of needy parents by promoting job preparation, work and marriage; prevent
and reduce out- of- wedlock pregnancies; and encourage the formation and
maintenance of two- parent families

350,000 $1.3 b Special Education* Preschool Grants (IDEA)

Education Ensure that children with disabilities have access to a free and
appropriate public education 316,000 $0.206

Title I (preschool programs) Education Ensure that all children have a
fair, equal, and

significant opportunity to obtain a high- quality education and reach
proficiency on challenging state standards and academic assessments

313,000 $0.407 Even Start Education Improve the educational opportunities
of low- income

families by integrating early childhood education, adult literacy or adult
basic education, and parenting education into a unified family literacy
program

25,500 c Sources: Programs* legislation and regulation.

Note: Unless otherwise indicated, number of children and funding for them
are fiscal year 1999 estimates as determined through our survey. With the
exception of Head Start, these are the most recent data available
estimating the number of children under age 5 served. a Number of children
based on fiscal year 2002 data and funding reflects 2002 appropriation.

b May include funds expended directly on child care and transferred to
CCDF. c Estimate of the amount spent on children under age 5 is not
available.

All of the programs* with the exception of IDEA* specifically target
lowincome children and their families, though they may actually serve
different populations and age ranges of children. For example, Even Start
programs serve a larger percentage of Hispanic children and a broader age
range of children than Head Start. 2 Moreover, some programs differ in
their goals. The primary goal of early childhood education programs such
as Head Start, Even Start, and Title I, is to prepare young children to
enter school. In contrast, a primary goal of child care programs, such as
CCDF is

2 U. S. General Accounting Office, Head Start and Even Start: Greater
Collaboration Needed on Measures of Adult Education and Literacy, GAO- 02-
348 (Washington, D. C.: Mar. 29, 2002).

Page 5 GAO- 03- 840T to subsidize the cost of care for low- income parents
who are working or engaged in education and training activities. In
addition, states have the

flexibility to use block grant funds to subsidize child care as states
pursue one of the key TANF goals* promoting employment for low- income
adults with families.

In addition to federal programs that support services for poor children,
many state and local community programs also offer education and care
services for low- income families. 3 The majority of states, 39, fund
preschool programs. Moreover, some states provide funding to supplement
Head Start and fund child care programs.

To better ensure that low- income families and their children can access
the services provided through the myriad federal programs, Congress
mandated that some programs coordinate with one another to deliver
services to low- income families and their children. As a result, program
officials have reported collaborative efforts with one another to deliver
services; however, barriers still remain.

Head Start programs are required by law to coordinate and collaborate with
programs serving the same children and families, including CCDF, Even
Start, IDEA, and other early childhood programs. Similarly, CCDF agencies
are required to coordinate funding with other federal, state, and local
early childhood education and care programs. To promote more

integrated service delivery systems and to encourage collaboration between
Head Start and other programs that fund early childhood services, HHS
began awarding collaboration grants to states in 1990. In fiscal year
2002, Head Start provided $8 million to states to support collaborative
activities. Moreover, in awarding program expansion funds, Head Start has
given priority to funding first those Head Start programs that coordinate
with other child care and early childhood funding sources to increase the
number of hours children receive early education and care.

Positive outcomes have occurred as a result of early childhood education
and care program collaboration, enabling some states to expand the options
for low- income families with children. For example, Head Start and CCDF
officials reported pooling resources by sharing staff to add full

3 U. S. General Accounting Office, Education and Care: Early Childhood
Programs and Services for Low- Income Families, GAO/ HEHS- 00- 11
(Washington, D. C.: Nov. 15, 1999). Head Start and Other Early

Childhood Programs Report Service Coordination, but Barriers to
Coordination Exist

Page 6 GAO- 03- 840T day care to the half- day Head Start program and to
add Head Start services, such as nutrition and medical care, to day care
programs. At the

local level, about 74 percent of Even Start grantees reported that they
collaborated with Head Start in some way, including cash funding,
instructional or administrative support, technical assistance, and space
or job training support. 4 However, collaboration does not eliminate all
gaps in care, and sometimes

barriers, such as differing eligibility requirements, program standards,
and different locations of programs, hinder collaboration. For example,
program officials in 1 state said that the differing eligibility
requirements between CCDF and Head Start made collaboration difficult.
CCDF funds may be used for families with incomes up to 85 percent of state
median income, which generally allows the states to give subsidies to
families whose income is higher than the federal poverty level. 5 Head
Start*s income eligibility standard requires that 90 percent of
enrollments be from families at or below the federal poverty level or from
families eligible for public assistance. Thus, collaboration between these
programs to achieve objectives might be difficult because some children
may be eligible only

for CCDF. Although an extensive body of Head Start research exists that
provides important information about the program, no definitive, national-
level research exists on the effectiveness of Head Start for the families
and children it serves, prompting Congress to mandate such a study when it
reauthorized the program in 1998. HHS has other studies underway that
provide important information about the progress of children enrolled in
the program; however, these studies were not designed to separate the
effects of children*s participation in Head Start from other experiences
these children may have had. Although obtaining information about Head
Start*s effectiveness is difficult, the significance of Head Start and the
sizeable investment in it warrant conducting studies that will provide
answers to questions about whether the program is making a difference.

4 GAO- 02- 348. 5 In fiscal year 2000, the federal poverty guideline was
$17,050 for a family of four while the state median income ranged from a
low of $24,694 for West Virginia households to a high of $43,941 in
Maryland in 2000. States have the flexibility to set income eligibility
limits up to

85 percent, but generally set them lower. Effectiveness Study

Underway to Determine Whether Head Start Makes a Difference

Page 7 GAO- 03- 840T In 1998, we testified that the body of research on
Head Start though extensive, was insufficient for drawing conclusions
about the program as a

whole and recommended that HHS undertake a study of Head Start*s
effectiveness. 6 In reauthorizing Head Start in 1998, Congress mandated
such a study. The law mandated that the study be completed in 2003 and was
very specific in detailing the kind of study HHS was to undertake.
Specifically, Congress required that the study use rigorous methodological
designs and techniques to determine if Head Start programs are having an

impact on children*s readiness for school. The mandated study addresses
two questions: (1) what difference does Head Start make to key outcomes of
development and learning for low- income children and (2) under which
conditions does Head Start work best and for which children? The study is
using a rigorous methodology that many researchers consider

to be the most definitive method of determining a program*s effect on its
participants when factors other than the program are known to affect
outcomes. 7 This methodology is referred to as an *experimental design* in
which groups of children are randomly assigned either to a group that will

receive program services or to a group that will not receive program
services. This approach produces information that is more likely to show
the effect of the program being studied, rather than the effects of other
developmental influences on young children (see fig. 1).

6 U. S General Accounting Office, Head Start: Challenges Faced in
Demonstrating Program Results and Responding to Societal Changes, GAO/ T-
HEHS- 98- 183. (Washington, D. C.: June 9, 1998). 7 U. S. General
Accounting Office, Early Childhood Programs: The Use of Impact Evaluations
to Assess Program Effects, GAO- 01- 542 (Washington, D. C.: Apr. 16, 2001.

Page 8 GAO- 03- 840T Figure 1: Experimental Design for Early Childhood
Program Impact Evaluations Source: GAO visual rendition based on
requirements of experimental impact evaluations

Factors affecting children's development

Children are randomly assigned to either a group that receives program
services or a group that does not receive program services. Therefore, the
groups are fundamentally the same.

Children are tested at various ages to plot their progress...

The differences in test results between the two groups are assessed

Any differences found can be attributed to the program

Receives program services

Does not receive program services but

can receive services through other programs

At 3- years old At 4- years old At 5- years old

In first grade Other

learning experiences

Physical/ psychological

maturation Parenting

practices Socioeconomic

status Parents* education Nutrition

Health care Community

Page 9 GAO- 03- 840T The Head Start study is a $28.3 million national
impact evaluation that follows participants over time. The study has two
phases. The first phase,

a pilot study designed to test various procedures and methods, was
conducted in 2001. The second phase began in the fall of 2002 and entails
data collection on 5,000 to 6,000 3- and 4- year olds from 75 programs and
communities across the country. The study will track subjects through the
spring of their first grade year. An interim report, scheduled to be
released in September of this year, will describe the study*s design and
methodology and the status of the data collection; it will not contain

findings. Although Congress required that the study be completed in 2003,
HHS reports that the study will be completed in 2006. This study is a
complex, multiyear, longitudinal study and considerable attention had to
be given to both study planning and execution. According to HHS, many
aspects of the study needed to be pilot tested before the larger study
could begin.

In another effort, Head Start is collecting outcome data on a nationally
representative sample of Head Start children and families as part of its
Family and Child Experiences Survey (FACES). FACES is an ongoing,
longitudinal study of Head Start programs that uses a national sample of
3,200 children. FACES provides national data on Head Start child outcomes,
family involvement, and key aspects of program quality and teaching
practices. New findings from FACES research published in 2003 show that
children enrolled in Head Start demonstrated progress in early literacy
and social skills; however, their overall performance levels when they
left Head Start was below that of children nationally in terms of school
readiness. 8 This study, however, was not designed to provide definitive
data about whether the initial gains children made in early literacy and
social skills resulted from their participation in Head Start or some
other experiences children may have had.

Mr. Chairman, this concludes my prepared statement. I will be happy to
respond to any questions you or other Committee Members may have.

8 Department of Health and Human Services, Head Start FACES 2000: A Whole-
Child Perspective on Program Performance, 2003.

Page 10 GAO- 03- 840T For further information regarding this testimony,
please call Marnie S. Shaul, Director, at (202) 512- 7215. Individuals
making key contributions to

this testimony include Sherri Doughty and Harriet Ganson. GAO Contact and

Staff Acknowledgments

Page 11 GAO- 03- 840T Child Care: Recent State Policy Changes Affecting
the Availability of Assistance for Low- Income Families. GAO- 03- 588.
Washington, D. C.: May

5, 2003.

Head Start and Even Start: Greater Collaboration Needed on Measures of
Adult Education and Literacy. GAO- 02- 348. Washington, D. C.: March 29,
2002.

Title I Preschool Education: More Children Served but Gauging Effect on
School Readiness Difficult. GAO/ HEHS- 00- 171. Washington, D. C.:
September 20, 2000.

Early Childhood Programs: Characteristics Affect the Availability of
School Readiness Information. GAO/ HEHS- 00- 38. Washington, D. C.:
February 28, 2000.

Early Childhood Programs: The Use of Impact Evaluations to Assess Program
Effects, GAO- 01- 542. Washington, D. C.: April 16, 2001.

Education and Care: Early Childhood Programs and Services for LowIncome
Families. GAO/ HEHS- 00- 11. Washington, D. C: Nov. 15, 1999.

Early Education and Care: Overlap Indicates Need to Assess Crosscutting
Programs. GAO/ HEHS- 00- 78. Washington, D. C.: April 28, 2000.

Head Start: Challenges Faced In Demonstrating Program Results and
Responding to Societal Changes. GAO/ T- HEHS- 98- 183. Washington, D. C.:
Jun. 9, 1988. Head Start: Challenges in Monitoring Program Quality and

Demonstrating Results. GAO/ HEHS- 98- 186. Washington, D. C.: June 30,
1998.

U. S. General Accounting Office, Head Start Programs: Participant
Characteristics, Services, and Funding. GAO/ HEHS- 98- 65. Washington, D.
C.: March 31, 1998.

Head Start: Research Provides Little Information on Impact of Current
Program. GAO/ HEHS- 97- 59. Washington, D. C.: April 15, 1997. Related GAO
Products

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