45 C.F.R. PART 1306—HEAD START STAFFING REQUIREMENTS AND PROGRAM OPTIONS
Title 45 - Public Welfare
Authority: 42 U.S.C. 9801 et seq.
Source: 57 FR 58092, Dec. 8, 1992, unless otherwise noted.
This Part sets forth requirements for Early Head Start and Head Start program staffing and program options that all Early Head Start and Head Start grantee and delegate agencies, with the exception of Parent Child Center programs, must meet. The exception for Parent Child Centers is for fiscal years 1995, 1996, and 1997 as consistent with section 645A(e)(2) of the Head Start Act, as amended. These requirements, including those pertaining to staffing patterns, the choice of the program options to be implemented and the acceptable ranges in the implementation of those options, have been developed to help maintain and improve the quality of Early Head Start and Head Start and to help promote lasting benefits to the children and families being served. These requirements are to be used in conjunction with the Head Start Program Performance Standards at 45 CFR Part 1304, as applicable. [61 FR 57226, Nov. 5, 1996] (a) Except as provided in paragraph (b) of this section, Head Start grantees funded or refunded after June 7, 1993, must comply with these requirements by such times in their grant cycles as new groups of children begin receiving services. This does not preclude grantees from voluntarily coming into compliance with these regulations prior to the effective date. (b) With respect to the requirements of §1306.32(b)(2), grantees that are currently operating classes in double session center-based options for less than three and a half hours per day, but for at least three hours per day, may continue to do so until September 1, 1995, at which time they must comply with the three and one-half hour minimum class time requirement. (a) Center-based program option means Head Start services provided to children primarily in classroom settings. (b) Combination program option means Head Start services provided to children in both a center setting and through intensive work with the child's parents and family at home. (c) Days of operation means the planned days during which children will be receiving direct Head Start component services in a classroom, on a field trip or on trips for health-related activities, in group socialization or when parents are receiving a home visit. (d) Double session variation means a variation of the center-based program option that operates with one teacher who works with one group of children in a morning session and a different group of children in an afternoon session. (e) Full-day variation means a variation of the center-based program option in which program operations continue for longer than six hours per day. (f) Group socialization activities means the sessions in which children and parents enrolled in the home-based or combination program option interact with other home-based or combination children and parents in a Head Start classroom, community facility, home, or on a field trip. (g) Head Start class means a group of children supervised and taught by two paid staff members (a teacher and a teacher aide or two teachers) and, where possible, a volunteer. (h) Head Start parent means a Head Start child's mother or father, other family member who is a primary caregiver, foster parent, guardian or the person with whom the child has been placed for purposes of adoption pending a final adoption decree. (i) Head Start program is one operated by a Head Start grantee or delegate agency. (j) Home-based program option means Head Start services provided to children, primarily in the child's home, through intensive work with the child's parents and family as the primary factor in the growth and development of the child. (k) Home visits means the visits made to a child's home by the class teacher in a center-based program option, or home visitors in a home-based program option, for the purpose of assisting parents in fostering the growth and development of their child. (l) Hours of operation means the planned hours per day during which children and families will be receiving direct Head Start component 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. (m) Parent-teacher conference means the meeting held at the Head Start center between the child's teacher and the child's parents during which the child's progress and accomplishments are discussed. (a) Grantees must meet the requirements of 45 CFR 1304.52(g), Classroom staffing and home visitors, in addition to the requirements of this Section. (b) Grantees must provide adequate supervision of their staff. (c) Grantees operating center-based program options must employ two paid staff persons (a teacher and a teacher aide or two teachers) for each class. Whenever possible, there should be a third person in the classroom who is a volunteer. (d) Grantees operating home-based program options must employ home visitors responsible for home visits and group socialization activities. (e) Grantees operating a combination program option must employ, for their classroom operations, two paid staff persons, a teacher and a teacher aide or two teachers, for each class. Whenever possible, there should be a third person in the classroom who is a volunteer. They must employ staff for home visits who meet the qualifications the grantee requires for home visitors. (f) Classroom staff and home visitors must be able to communicate with the families they serve either directly or through a translator. They should also be familiar with the ethnic background of these families. [57 FR 58092, Dec. 8, 1992, as amended at 61 FR 57226, Nov. 5, 1996] Head Start programs must comply with section 648A of the Head Start Act and any subsequent amendments regarding the qualifications of classroom teachers. [61 FR 57226, Nov. 5, 1996] (a) Head Start programs must use volunteers to the fullest extent possible. Head Start grantees must develop and implement a system to actively recruit, train and utilize volunteers in the program. (b) Special efforts must be made to have volunteer participation, especially parents, in the classroom and during group socialization activities. (a) Head Start grantees must provide pre-service training and in-service training opportunities to program staff and volunteers to assist them in acquiring or increasing the knowledge and skills they need to fulfill their job responsibilities. This training must be directed toward improving the ability of staff and volunteers to deliver services required by Head Start regulations and policies. (b) Head Start grantees must provide staff with information and training about the underlying philosophy and goals of Head Start and the program options being implemented. (a) All Head Start grantees must provide comprehensive child development services, as defined in the Head Start Performance Standards. (b) All Head Start grantees must provide classroom or group socialization activities for the child as well as home visits to the parents. The major purpose of the classroom or socialization activities is to help meet the child's development needs and to foster the child's social competence. The major purpose of the home visits is to enhance the parental role in the growth and development of the child. (c) The facilities used by Early Head Start and Head Start grantee and delegate agencies for regularly scheduled center-based and combination program option classroom activities or home-based group socialization activities must comply with State and local requirements concerning licensing. In cases where these licensing standards are less comprehensive or less stringent than the Head Start regulations, or where no State or local licensing standards are applicable, grantee and delegate agencies are required to assure that their facilities are in compliance with the Head Start Program Performance Standards related to health and safety as found in 45 CFR 1304.53(a), Physical environment and facilities. (d) All grantees must identify, secure and use community resources in the provision of services to Head Start children and their families prior to using Head Start funds for these services. [57 FR 58092, Dec. 8, 1992, as amended at 61 FR 57226, Nov. 5, 1996; 63 FR 2314, Jan. 15, 1998] (a) Grantees may choose to implement one or more than one of three program options: a center-based option, a home-based program option or a combination program option. (b) The program option chosen must meet the needs of the children and families as indicated by the community needs assessment conducted by the grantee. (c) When assigning children to a particular program option, Head Start grantees that operate more than one program option must consider such factors as the child's age, developmental level, disabilities, health or learning problems, previous preschool experiences and family situation. Grantees must also consider parents' concerns and wishes prior to making final assignments. (a) Class size. (1) Head Start classes must be staffed by a teacher and an aide or two teachers and, whenever possible, a volunteer. (2) Grantees must determine their class size based on the predominant age of the children who will participate in the class and whether or not a center-based double session variation is being implemented. (3) For classes serving predominantly four or five-year-old children, the average class size of that group of classes must be between 17 and 20 children, with no more than 20 children enrolled in any one class. (4) When double session classes serve predominantly four or five-year-old-children, the average class size of that group of classes must be between 15 and 17 children. A double session class for four or five-year old children may have no more than 17 children enrolled. (See paragraph (c) of this section for other requirements regarding the double session variation.) (5) For classes serving predominantly three-year-old children, the average class size of that group of classes must be between 15 and 17 children, with no more than 17 children enrolled in any one class. (6) When double session classes serve predominantly three-year-old children, the average class size of that group of classes must be between 13 and 15 children. A double session class for three-year-old children may have no more than 15 children enrolled. (See paragraph (c) of this section for other requirements regarding the double session variation.) (7) It is recommended that at least 13 children be enrolled in each center-based option class where feasible. (8) A class is considered to serve predominantly four- or five-year-old children if more than half of the children in the class will be four or five years old by whatever date is used by the State or local jurisdiction in which the Head Start program is located to determine eligibility for public school. (9) A class is considered to serve predominantly three-year-old children if more than half of the children in the class will be three years old by whatever date is used by the State or local jurisdiction in which Head Start is located to determine eligibility for public school. (10) Head Start grantees must determine the predominant age of children in the class at the start of the year. There is no need to change that determination during the year. (11) In some cases, State or local licensing requirements may be more stringent than these class requirements, preventing the required minimum numbers of children from being enrolled in the facility used by Head Start. Where this is the case, Head Start grantees must try to find alternative facilities that satisfy licensing requirements for the numbers of children cited above. If no alternative facilities are available, the responsible HHS official has the discretion to approve enrollment of fewer children than required above. (12) The chart below may be used for easy reference: (b) Center-based program option requirements. (1) Classes must operate for four or five days per week or some combination of four and five days per week. (2) Classes must operate for a minimum of three and one-half to a maximum of six hours per day with four hours being optimal. (3) The annual number of required days of planned class operations (days when children are scheduled to attend) is determined by the number of days per week each program operates. Programs that operate for four days per week must provide at least 128 days per year of planned class operations. Programs that operate for five days per week must provide at least 160 days per year of planned class operations. Grantees implementing a combination of four and five days per week must plan to operate between 128 and 160 days per year. The minimum number of planned days of service per year can be determined by computing the relative number of four and five day weeks that the program is in operation. All center-based program options must provide a minimum of 32 weeks of scheduled days of class operations over an eight or nine month period. Every effort should be made to schedule makeup classes using existing resources if planned class days fall below the number required per year. (4) Programs must make a reasonable estimate of the number of days during a year that classes may be closed due to problems such as inclement weather or illness, based on their experience in previous years. Grantees must make provisions in their budgets and program plans to operate makeup classes and provide these classes, when needed, to prevent the number of days of service available to the children from falling below 128 days per year. (5) Each individual child is not required to receive the minimum days of service, although this is to be encouraged in accordance with Head Start policies regarding attendance. The minimum number of days also does not apply to children with disabilities whose individualized education plan may require fewer planned days of service in the Head Start program. (6) Head Start grantees operating migrant programs are not subject to the requirement for a minimum number of planned days, but must make every effort to provide as many days of service as possible to each migrant child and family. (7) Staff must be employed for sufficient time to allow them to participate in pre-service training, to plan and set up the program at the start of the year, to close the program at the end of the year, to conduct home visits, to conduct health examinations, screening and immunization activities, to maintain records, and to keep service component plans and activities current and relevant. These activities should take place outside of the time scheduled for classes in center-based programs or home visits in home-based programs. (8) Head Start grantees must develop and implement a system that actively encourages parents to participate in two home visits annually for each child enrolled in a center-based program option. These visits must be initiated and carried out by the child's teacher. The child may not be dropped from the program if the parents will not participate in the visits. (9) Head Start grantees operating migrant programs are required to plan for a minimum of two parent-teacher conferences for each child during the time they serve that child. Should time and circumstance allow, migrant programs must make every effort to conduct home visits. (c) Double session variation. (1) A center-based option with a double session variation employs a single teacher to work with one group of children in the morning and a different group of children in the afternoon. Because of the larger number of children and families to whom the teacher must provide services, double session program options must comply with the requirements regarding class size explained in paragraph (a) of this section and with all other center-based requirements in paragraph (b) of this section with the exceptions and additions noted in paragraphs (c) (2) and (3) of this section. (2) Each program must operate classes for four days per week. (3) Each double session classroom staff member must be provided adequate break time during the course of the day. In addition, teachers, aides and volunteers must have appropriate time to prepare for each session together, to set up the classroom environment and to give individual attention to children entering and leaving the center. (d) Full day variation. (1) A Head Start grantee implementing a center-based program option may operate a full day variation and provide more than six hours of class operations per day using Head Start funds. These programs must comply with all the requirements regarding the center-based program option found in paragraphs (a) and (b) of this section with the exception of paragraph (b)(2) regarding the hours of service per day. (2) Programs are encouraged to meet the needs of Head Start families for full day services by securing funds from other agencies. Before implementing a full day variation of a center-based option, a Head Start grantee should demonstrate that alternative enrollment opportunities or funding from non-Head Start sources are not available for Head Start families needing full-day child care services. (3) Head Start grantees may provide full day services only to those children and families with special needs that justify full day services or to those children whose parents are employed or in job training with no caregiver present in the home. The records of each child receiving services for more than six hours per day must show how each child meets the criteria stated above. (e) Non-Head Start services. Grantees may charge for services which are provided outside the hours of the Head Start program. (a) Grantees implementing a home-based program option must: (1) Provide one home visit per week per family (a minimum of 32 home visits per year) lasting for a minimum of 1 and (2) Provide, at a minimum, two group socialization activities per month for each child (a minimum of 16 group socialization activities each year). (3) Make up planned home visits or scheduled group socialization activities that were canceled by the grantee or by program staff when this is necessary to meet the minimums stated above. Medical or social service appointments may not replace home visits or scheduled group socialization activities. (4) Allow staff sufficient employed time to participate in pre-service training, to plan and set up the program at the start of the year, to close the program at the end of the year, to maintain records, and to keep component and activities plans current and relevant. These activities should take place when no home visits or group socialization activities are planned. (5) Maintain an average caseload of 10 to 12 families per home visitor with a maximum of 12 families for any individual home visitor. (b) Home visits must be conducted by trained home visitors with the content of the visit jointly planned by the home visitor and the parents. Home visitors must conduct the home visit with the participation of parents. Home visits may not be conducted by the home visitor with only babysitters or other temporary caregivers in attendance. (1) The purpose of the home visit is to help parents improve their parenting skills and to assist them in the use of the home as the child's primary learning environment. The home visitor must work with parents to help them provide learning opportunities that enhance their child's growth and development. (2) Home visits must, over the course of a month, contain elements of all Head Start program components. The home visitor is the person responsible for introducing, arranging and/or providing Head Start services. (c) Group socialization activities must be focused on both the children and parents. They may not be conducted by the home visitor with babysitters or other temporary caregivers. (1) The purpose of these socialization activities for the children is to emphasize peer group interaction through age appropriate activities in a Head Start classroom, community facility, home, or on a field trip. The children are to be supervised by the home visitor with parents observing at times and actively participating at other times. (2) These activities must be designed so that parents are expected to accompany their children to the group socialization activities at least twice each month to observe, to participate as volunteers or to engage in activities designed specifically for the parents. (3) Grantees must follow the nutrition requirements specified in 45 CFR 1304.23(b)(2) and provide appropriate snacks and meals to the children during group socialization activities. [57 FR 58092, Dec. 8, 1992, as amended at 61 FR 57227, Nov. 5, 1996] (a) Combination program option requirements: (1) Grantees implementing a combination program option must provide class sessions and home visits that result in an amount of contact with children and families that is, at a minimum, equivalent to the services provided through the center-based program option or the home-based program option. (2) Acceptable combinations of minimum number of class sessions and corresponding number of home visits are shown below. Combination programs must provide these services over a period of 8 to 12 months. (3) The following are examples of various configurations that are possible for a program that operates for 32 weeks:
• A program operating classes three days a week and providing one home visit a month (96 classes and 8 home visits a year); • A program operating classes two days a week and providing two home visits a month (64 classes and 16 home visits a year); • A program operating classes one day a week and providing three home visits a month (32 classes and 24 home visits a year). (4) Grantees operating the combination program option must make a reasonable estimate of the number of days during a year that centers may be closed due to problems such as inclement weather or illness, based on their experience in previous years. Grantees must make provisions in their budgets and program plans to operate make-up classes up to the estimated number, and provide these classes, when necessary, to prevent the number of days of classes from falling below the number required by paragraph (a)(2) of this section. Grantees must make up planned home visits that were canceled by the program or by the program staff if this is necessary to meet the minimums required by paragraph (a)(2) of this section. Medical or social service appointments may not replace home visits. (b) Requirements for class sessions: (1) Grantees implementing the combination program option must comply with the class size requirements contained in §1306.32(a). (2) The provisions of the following sections apply to grantees operating the combination program option: §1306.32(b) (2), (5), (6), (7) and (9). (3) If a grantee operates a double session or a full day variation, it must meet the provisions concerning double-sessions contained in §1306.32(c)(1) and (3) and the provisions for the center-based program option's full day variation found in §1306.32(d). (c) Requirements for home visits: (1) Home visits must last for a minimum of 1 and (2) The provisions of the following section, concerning the home-based program option, must be adhered to by grantees implementing the combination program option: §1306.33(a) (4) and (5); and §1306.33(b). In addition to the center-based, home-based and combination program options defined above, the Commissioner of the Administration on Children, Youth and Families retains the right to fund alternative program variations to meet the unique needs of communities or to demonstrate or test alternative approaches for providing Head Start services. An exception to one or more of the requirements contained in §§1306.32 through 1306.34 of subpart C will be granted only if the Commissioner of the Administration on Children, Youth and Families determines, on the basis of supporting evidence, that the grantee made a reasonable effort to comply with the requirement but was unable to do so because of limitations or circumstances with a specific community or communities served by the grantee.
Title 45: Public Welfare
PART 1306—HEAD START STAFFING REQUIREMENTS AND PROGRAM OPTIONS
Section Contents
§ 1306.1 Purpose and scope.
§ 1306.2 Effective dates.
§ 1306.3 Definitions.
§ 1306.20 Program staffing patterns.
§ 1306.21 Staff qualification requirements.
§ 1306.22 Volunteers.
§ 1306.23 Training.
§ 1306.30 Provisions of comprehensive child development services.
§ 1306.31 Choosing a Head Start program option.
§ 1306.32 Center-based program option.
§ 1306.33 Home-based program option.
§ 1306.34 Combination program option.
§ 1306.35 Additional Head Start program option variations.
§ 1306.36 Compliance waiver.
Subpart A—General
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§ 1306.1 Purpose and scope.
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§ 1306.2 Effective dates.
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§ 1306.3 Definitions.
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Subpart B—Head Start Program Staffing Requirements
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§ 1306.20 Program staffing patterns.
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§ 1306.21 Staff qualification requirements.
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§ 1306.22 Volunteers.
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§ 1306.23 Training.
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Subpart C—Head Start Program Options
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§ 1306.30 Provisions of comprehensive child development services.
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§ 1306.31 Choosing a Head Start program option.
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§ 1306.32 Center-based program option.
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------------------------------------------------------------------------ Funded class size [Funded Predominant age of children in the class enrollment]------------------------------------------------------------------------4 and 5 year olds......................... Program average of 17-20 children enrolled per class in these classes. No more than 20 children enrolled in any class.4 and 5 year olds in double session Program average of 15-17 classes. children enrolled per class in these classes. No more than 17 children enrolled in any class.3 year olds............................... Program average of 15-17 children enrolled per class in these classes. No more than 17 children enrolled in any class.3 year olds in double session classes..... Program average of 13-15 children enrolled per class in these classes. No more than 15 children enrolled in any class.------------------------------------------------------------------------
§ 1306.33 Home-based program option.
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§ 1306.34 Combination program option.
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------------------------------------------------------------------------ Number of Number of class sessions home visits------------------------------------------------------------------------96........................................................ 892-95..................................................... 988-91..................................................... 1084-87..................................................... 1180-83..................................................... 1276-79..................................................... 1372-75..................................................... 1468-71..................................................... 1564-67..................................................... 1660-63..................................................... 1756-59..................................................... 1852-55..................................................... 1948-51..................................................... 2044-47..................................................... 2140-43..................................................... 2236-39..................................................... 2332-35..................................................... 24------------------------------------------------------------------------
§ 1306.35 Additional Head Start program option variations.
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§ 1306.36 Compliance waiver.
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