1304.52

 

 

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1304.52

Human Resources Mangement

(a) Organizational Structure

(b) Staff Qualifications - General

(c) Early Head Start or Head Start Director Qualifications

(d) Qualifications of Content Area Experts

(e) Home Visitor Qualifications

(f) Infant and Toddler Staff Qualifications

(g) Classroom Staffing and Home Visitors

(h) Standards of Conduct

(i) Staff Performance Appraisals

(j) Staff and Volunteer Health

(k) Training and Development

Introduction to 1304.52

The objective of 45 CFR 1304.52 is to ensure that grantee and delegate agencies recruit and select dynamic, well-qualified staff who possess the knowledge, skills, and experience needed to provide high quality, comprehensive, and culturally sensitive services to children and families in the program. Striving for continuous improvement, Head Start offers staff, as well as consultants, volunteers, and members of policy groups and governing bodies, opportunities and support for ongoing training and development.

Head Start is committed to establishing a learning environment in which children, parents, and staff can teach and learn from one another. This section discusses the organizational structure of agencies, staff qualifications, classroom staffing and home visitor requirements, staff standards of conduct, staff performance appraisals, and staff and volunteer health requirements. Training and development for staff, consultants, volunteers, and members of policy groups and governing bodies also are discussed.
Performance Standard

1304.52(a)(1)

(a) Organizational structure.

(1) Grantee and delegate agencies must establish and maintain an organizational structure that supports the accomplishment of program objectives. This structure must address the major functions and responsibilities assigned to each staff position and must provide evidence of adequate mechanisms for staff supervision and support.

  

Rationale: An organizational structure describes how staff and functions are organized to fulfill the program’s mission and goals. That structure also may describe how Head Start fits into a larger agency. A well-developed organizational structure establishes clear lines of communication and supervision, helps individuals understand their jobs, and assists staff in the smooth running of the agency.

Related Information: See 45 CFR 1301.31 for requirements regarding personnel policies, and 45 CFR 1306.20 for requirements concerning staffing patterns. See 45 CFR 1304.50, Appendix A: "Governance and Management Responsibilities," for further information regarding the functions and responsibilities of Head Start policy groups.

Guidance: A grantee or delegate agency’s organizational structure may be formulated in many different ways, depending upon the results of the agency’s planning process and other requirements set by Federal, State, Tribal, or local regulations. To define their own structure, staff may look first at how Head Start fits into the larger agency of which it is a part, and describe (in words or through an organization chart) where Head Start belongs. Next, staff may describe the structure and staff functions within the Head Start or Early Head Start program itself. They also may prepare a narrative on some of the topics listed below:

descriptions of the grantee agency and its departments, including the programs the agency sponsors and the support services it offers, as they relate to the Head Start program,
a description of each staff position, including the knowledge, skills, and experience required, and an explanation of the lines of authority and supervision among positions,
program staffing, including how the grantee or delegate agency ensures that teacher:child ratios are met, and
Policy Council and Policy Committee functions, including relationships among policy groups, governing bodies, and key management staff in both the grantee and delegate agency.
Performance Standard

1304.52(a)(2)(i)

(2) At a minimum, grantee and delegate agencies must ensure that the following program management functions are formally assigned to and adopted by staff within the program:

(i) Program management (the Early Head Start or Head Start director);

  

Rationale: Sound and rational program management requires that responsibilities of staff be clearly stated and that someone be placed in charge of major functions. The way in which the agency chooses to assign these functions to staff is up to the individual agency. Each agency, however, has someone designated as the Head Start director to provide the program with vision and leadership, and to ensure management functions are properly carried out. This rationale serves 45 CFR 1304.52(a)(2)(i)-(iii).

Guidance: The responsibilities of the Head Start director depend upon the community, staff, and families served, the mission and structure of the organization, and the plans for the delivery of program services. Governing bodies consider the director’s responsibilities in areas such as:

communication, including interactions with the governing body, agency director, managers of other agency programs, the Policy Council, the Policy Committee, and parents,
program planning,
day-to-day program management and operations, including personnel administration and supervision,
staff training and development, coaching, and mentoring,
administration and maintenance of facilities, materials, and equipment,
financial administration,
assessment of staff and program operations, and
community relations and advocacy.
Performance Standard

1304.52(a)(2)(ii) & (iii)

(ii) Management of early childhood development and health services, including child development and education; child medical, dental, and mental health; child nutrition; and, services for children with disabilities; and

(iii) Management of family and community partnerships, including parent activities.

  

Guidance: Agencies define the roles of individuals who will manage the delivery of services to children and families. Agencies assess their own size and complexity, geographic factors, and program goals and options as they determine the staffing patterns and job responsibilities of their managers. In some agencies, it may be appropriate to assign the management functions to several individuals, each with responsibility for a discrete portion of services. Regardless of the choice of organizational structure and job titles, this level of management is responsible for leadership, direction, and oversight in areas such as:

planning, development, and implementation of operational procedures for the area of service,
analyses of trends in the field, as well as data on children and families in the program,
community linkages, to locate and access resources for families,
staff and parent communication,
personnel administration and supervision of staff, and
team leadership, team building, staff training and development.
Performance Standard

1304.52(b)(1) & (2)

(b) Staff qualifications - general.

(1) Grantee and delegate agencies must ensure that staff and consultants have the knowledge, skills, and experience they need to perform their assigned functions responsibly.

(2) In addition, grantee and delegate agencies must ensure that only candidates with the qualifications specified in this part and in 45 CFR 1306.21 are hired.

  

Rationale: One of the most important determinants of program quality is having qualified staff who interact with children and families and who ensure the provision of quality services.

Related Information: See 45 CFR 1301.31 for a description of the personnel policies to be used in the hiring process.

Guidance: The responsibility for ensuring that all staff and consultants have the appropriate knowledge, skills, and experience lies with grantee and delegate agency management in coordination with the appropriate policy groups. In considering the appropriateness of employing a staff member or retaining a consultant’s services, managers consider the individual’s:

training or experience in the area of expertise required by the position,
experience in a human services setting, including working with low-income children and families,
interpersonal and communication skills, as needed for the position,
awareness of and sensitivity to cultural issues and local community practices, including Tribal policies, where appropriate, and
education related to the program’s requirements for the position.

Agency management also take a proactive approach to finding and developing staff. On an ongoing basis, agency staff explore the community to identify individuals who would make successful staff members. They also adopt strategies (e.g., an ongoing mentoring program) to help develop the skills and knowledge of parents and staff already working in the program who wish to advance.
Performance Standard

1304.52(b)(3)

(3) Current and former Early Head Start and Head Start parents must receive preference for employment vacancies for which they are qualified.

  

Rationale: Parents are a vital resource for Head Start, because they are familiar with the Head Start philosophy and services, and because they are familiar with their community. The agency also is an important place for employment opportunities for parents and a vehicle for providing additional skills for parents who are seeking employment or who are already employed. Parents employed by Head Start serve as role models and mentors for other parents.

Guidance: Ways to support and encourage the parents of currently or previously enrolled children to apply for positions for which they qualify include:

Providing opportunities for parents to receive skill-development or on-the-job training as part of the agency’s parent involvement activities;
Posting job vacancies in program settings, the newsletter, and in locations in the community such as churches and other religious centers, schools, clinics, laundromats, and stores; and
Describing to parents how they can become qualified for various positions.
Performance Standard

1304.52(b)(4)

(4) Staff and program consultants must be familiar with the ethnic background and heritage of families in the program and must be able to serve and effectively communicate, to the extent feasible, with children and families with no or limited English proficiency.

  

Rationale: To establish an atmosphere of recognition and respect for the beliefs and practices of others, staff and consultants become familiar with the history, traditions, beliefs, and institutions of the cultures in the community served by the program. To meet the needs of families and children, staff and consultants communicate with them in their own language, to the extent possible.

Related Information: See 45 CFR 1304.51(c)(2) on communicating with parents in their primary or preferred language, and 45 CFR 1304.52(g)(2) regarding appropriate staffing strategies for bilingual staff.

Guidance: Agencies ensure that staff and consultants are familiar with the background and heritage of families in the program by:

Recruiting qualified, bilingual staff and consultants who are culturally and ethnically diverse, thus ensuring an appropriate representation of the ethnicities and cultures of enrolled families;
Using current and past parents and staff as resources for understanding different cultures;
Making use of museums, libraries, artists, poets, writers, storytellers, musicians, and community theater groups to help staff and parents appreciate and enjoy diverse cultures;
Offering staff development in anti-bias strategies and approaches to developing skills in accepting cultural differences and in conflict resolution; and
Exploring the feasibility of sponsoring joint staff training in issues of cultural diversity with organizations such as local schools, social service groups, and other early childhood development programs.
Performance Standard

1304.52(c)

(c) Early Head Start or Head Start director qualifications.

The Early Head Start or Head Start director must have demonstrated skills and abilities in a management capacity relevant to human services program management.

  

Rationale: Leadership and management skills and abilities are essential to overseeing the staff and operations of a comprehensive, quality child and family program.

Guidance: To ensure that an appropriately qualified director is employed, agencies require that the director possess the following attributes:

leadership ability,
good interpersonal and communication skills, including the ability to work as part of a team, communicate effectively both orally and in writing, receive and provide feedback, and manage dynamic interchanges in meetings,
the ability to develop and manage a budget,
experience in human services program management, including program planning, operations, and evaluation, and the use of management information systems, and
an understanding of the Head Start philosophy and the ability to implement its principle of shared authority and decision-making.

Agencies also may choose to specify levels of education, knowledge, or experience in substantive areas, such as theories of early childhood education and child development or techniques for working in partnership with families and for involving parents in program activities.
Performance Standard

1304.52(d)

(d) Qualifications of content area experts.

Grantee and delegate agencies must hire staff or consultants who meet the qualifications listed below to provide content area expertise and oversight on an ongoing or regularly scheduled basis. Agencies must determine the appropriate staffing pattern necessary to provide these functions.

  

Rationale: Head Start requires that content area experts have specialized knowledge, skills, and experience, and are able to provide oversight that ensures quality services are delivered to children and families. Content area experts can either be on staff or be consultants. This rationale serves 45 CFR 1304.52(d)(1)-(8).

Guidance: Agencies consider the qualifications of staff and consultants in all content areas to ensure that they support the implementation of a quality program. Agencies have the flexibility to organize staffing patterns in the way most effective for their families. Agencies may choose to employ an individual as a content area expert for each area discussed in the standards; or, agencies may combine content areas. Staff and consultants are available, on an ongoing or regularly scheduled basis, to implement their program area.

To ensure that appropriately qualified content area experts are available, agencies employ individuals with the ability to:

Plan and administer the required program of services for children and families;
Coordinate their program of activities with staff in other content areas and in other community agencies;
Engage in ongoing assessment of the quality of services provided;
Communicate effectively with others, including giving and receiving feedback on the quality of services;
Cooperate successfully as a member of a team;
Provide staff training and development, including on-site consultation, coaching, and mentoring to other staff;
Furnish supervision for ongoing program development; and
Meet any specific content area requirements.
Performance Standard

1304.52(d)(1)

(1) Education and child development services must be supported by staff or consultants with training and experience in areas that include: the theories and principles of child growth and development, early childhood education, and family support. In addition, staff or consultants must meet the qualifications for classroom teachers, as specified in section 648A of the Head Start Act and any subsequent amendments regarding the qualifications of teachers.

  

Related Information: Content area experts in education services must meet the qualifications for classroom teachers specified in section 648A of the Head Start Act, which include:

a current Child Development Associate (CDA) credential that is appropriate to the program option(s) used and to the age of the children served, or
a State-awarded certificate for preschool teachers that meets or exceeds the requirements for a CDA credential, or
an associate, baccalaureate, or advanced degree in early childhood education, or
a degree in a field related to early childhood education, with experience in teaching preschool children and a State-awarded certificate to teach in a preschool program.

 

Guidance: To ensure that appropriately qualified content area experts in education and child development services are employed, agencies require the general abilities defined in the guidance to 45 CFR 1304.52(d), above, and other specific abilities, such as to:

Guide the planning and implementation of a comprehensive child development program that meets the Head Start definition of curriculum in all program options and settings;
Put into practice theories and sound principles of child and adult education; and
Embrace the role of the parent as the primary educator of the child and promote and support attachment between parent and child.
Performance Standard

1304.52(d)(2)

(2) Health services must be supported by staff or consultants with training and experience in public health, nursing, health education, maternal and child health, or health administration. In addition, when a health procedure must be performed only by a licensed/certified health professional, the agency must assure that the requirement is followed.

  

Guidance: To ensure that appropriately qualified content area experts in health services are employed, agencies require the general abilities defined in the guidance to 45 CFR 1304.52(d) and other specific abilities, such as to:

Link families with an ongoing system of health care, assist parents in the selection of health providers, counsel them about child or family health problems, and promote parent involvement in all aspects of the health program;
Negotiate with the Health Services Advisory Committee and local health care professionals and service providers to ensure that services for families are available and accessible;
Review, evaluate, and interpret health records and other vital health service data; and
Promote health and safety practices in the program and coordinate safety and sanitation procedures, first aid, and emergency medical procedures.

When health staff perform screenings, immunizations, or other health procedures for children, which, by State or Tribal regulation, require the services of a licensed or certified health professional, the agency must employ or contract with individuals possessing those credentials and provide appropriate oversight.
Performance Standard

1304.52(d)(3)

(3) Nutrition services must be supported by staff or consultants who are registered dietitians or nutritionists.

  

Guidance: To ensure that appropriately qualified content area experts in nutrition services are employed, agencies identify individuals with characteristics such as the following:

experience in menu planning, including the quantity, quality, and variety of food to be purchased;
the abilities to interpret nutrition assessment data, provide nutrition counseling for families, and in other ways promote good nutrition habits among children and families; and
expertise to assist staff in dealing with children with feeding problems or special nutritional needs.

Agencies that directly provide nutrition services ensure that the employee responsible for those services or the nutrition consultant who supports this staff member possesses a current registration with the Commission on Dietetic Registration of the American Dietetic Association or be eligible, registered, and ready to take the examination. A master’s degree (MPH or MS) from an approved program in public health nutrition may be substituted for this registration. Agencies that contract for nutrition services ensure that staff in the agency with which they have contracted possess the necessary qualifications.
Performance Standard

1304.52(d)(4)

(4) Mental health services must be supported by staff or consultants who are licensed or certified mental health professionals with experience and expertise in serving young children and their families.

  

Guidance: To ensure that appropriately qualified mental health professionals provide services to enrolled children and families, agencies identify individuals with characteristics such as the following:

knowledge of treatment strategies in the areas of child behavior management and family crisis intervention,
the ability to work with families in a supportive manner throughout the diagnostic and referral processes,
the ability to work with staff to improve their own health and they, in turn, provide supportive services to families, and
the ability to broker the services or to provide counseling and treatment for children and families with diagnosed problems.

In addition, agencies need to ensure that mental health staff and consultants have appropriate State, Tribal, or local license(s) or certification(s).
Performance Standard

1304.52(d)(5)

(5) Family and community partnership services must be supported by staff or consultants with training and experience in field(s) related to social, human, or family services.

  

Guidance: To ensure that appropriately qualified content area experts in family and community partnerships are employed, agencies hire individuals with the abilities defined in the guidance to 45 CFR 1304.52(d), above, and other specific abilities, such as to:

Develop referral systems and procedures and coordinate social service referrals and follow-up;
Provide on-site consultation to family and community partnerships staff;
Oversee transition services (see 45 CFR 1304.40(h) and 45 CFR 1304.41(c) for descriptions of required transition activities); and
Conduct advocacy work.
Performance Standard

1304.52(d)(6)

(6) Parent involvement services must be supported by staff or consultants with training, experience, and skills in assisting the parents of young children in advocating and decision-making for their families.

  

Guidance: To ensure that appropriately qualified content area experts in parent involvement services are employed, agencies require individuals with specific abilities, such as to:

Oversee the recruitment, training, and scheduling of parent volunteers;
Work with the Policy Council and Policy Committee, and serve as a resource for the Parent Committee;
Assist parents in developing and scheduling their own social and developmental activities and encourage and support parents in addressing community needs; and
Keep other agency staff apprised of parent issues, and assist staff in designing and implementing a comprehensive, well-integrated plan for parent involvement that crosses all service areas.
Performance Standard

1304.52(d)(7)

(7) Disability services must be supported by staff or consultants with training and experience in securing and individualizing needed services for children with disabilities.

  

Related Information: See 45 CFR Part 1308 for further requirements for content area experts in disability services. In particular, see:

45 CFR 1308.4(m) for the role of the disabilities coordinator in the development of the service plan;
45 CFR 1308.6 for the involvement of the disabilities coordinator in the assessment of children;
45 CFR 1308.18(a) for the requirement that the disabilities coordinator work closely with health staff during the assessment process and any follow-up activities;
45 CFR 1308.18(b) for the requirement that the disabilities coordinator work with the mental health staff and consultants to identify children who show signs of problems;
45 CFR 1308.19(f) for membership on any Head Start Individualized Education Program (IEP) teams; and
45 CFR 1308.20(a) for the requirement that the disabilities coordinator ensure that the nutrition program meets the special needs of children with disabilities.

 

Guidance: To ensure that appropriately qualified content area experts in disability services are employed, agencies identify individuals with specific abilities, such as to:

Coordinate the process of assessing children, including initial screenings, ongoing developmental, and specialized assessments, to determine if a disability exists;
Work with an interdisciplinary team of staff and parents to develop and implement an Individualized Education Program (IEP) or Individualized Family Services Plan (IFSP) for each child with disabilities;
Consult regularly with parents and staff on the progress of disabilities services and of the children with disabilities who are enrolled;
Work closely with local school districts to ensure the coordination of services; and
Advocate in the community for appropriate services for children with disabilities and their families.

In addition, agencies ensure that disabilities staff have a thorough understanding of Federal laws governing services to children with disabilities.
Performance Standard

1304.52(d)(8)

(8) Grantee and delegate agencies must secure the regularly scheduled or ongoing services of a qualified fiscal officer.

  

Guidance: To ensure that an appropriately qualified fiscal officer is available, agencies employ staff or consultants with specific abilities, such as to:

Develop, monitor, evaluate, and report on financial control programs and procedures, including compensation and benefits, to policy groups and staff;
Develop and maintain accurate charts of accounts, including the allocation of program income and outlays and in-kind contributions;
Initiate and direct, in coordination with other staff and parents, cost studies and comparative analyses of alternative operating strategies; and
Assist in the resolution of audit exceptions and the implementation of auditors’ recommendations and report all findings to management staff and governing bodies.

Qualified fiscal officers include Certified Public Accountants (CPAs), persons holding a bachelor’s or master’s degree in accounting, and others with demonstrated expertise in fiscal matters. They may be hired directly as Head Start staff (on a part-time or full-time basis), be provided by the grantee or delegate agency as a part of the indirect cost pool, or work under contract on a regularly scheduled basis.
Performance Standard

1304.52(e)

(e) Home visitor qualifications.

Home visitors must have knowledge and experience in child development and early childhood education; the principles of child health, safety, and nutrition; adult learning principles; and family dynamics. They must be skilled in communicating with and motivating people. In addition, they must have knowledge of community resources and the skills to link families with appropriate agencies and services.

  

Rationale: The home visitor’s role is that of a resource for parents and a facilitator for learning, in agencies that operate a home-based or combination option. Training and experience in the variety of topic areas listed in the standard are necessary to implement a high quality program.

Related Information: See Head Start Home Visitor Handbook for further guidance.

Guidance: To ensure that appropriately qualified home visitors are employed, agencies require specific abilities, such as to:

Plan and develop with the parents an individualized program for the family, including establishing a caring professional relationship and a climate of mutual trust and respect for the parents;
Work with parents to strengthen the family’s knowledge of child development, including assisting parents to understand how children grow and learn, and planning and conducting child education activities with the parents which meet the child’s intellectual, physical, emotional, and social needs;
Assist parents in strengthening the families’ knowledge of health and nutrition, including integrating health and nutrition education into the program, coordinating with other staff and parents regarding health screenings for family members, and providing information and referrals, if necessary; and
Assist parents to strengthen their knowledge of community resources and support parents in problem solving.

In addition, grantees may require a Child Development Associate (CDA) for Home Visitors, certain college course work, or a particular level of on-the-job training and experience.
Performance Standard

1304.52(f)

(f) Infant and toddler staff qualifications.

Early Head Start and Head Start staff working as teachers with infants and toddlers must obtain a Child Development Associate (CDA) credential for Infant and Toddler Caregivers or an equivalent credential that addresses comparable competencies within one year of the effective date of the final rule or, thereafter, within one year of hire as a teacher of infants and toddlers. In addition, infant and toddler teachers must have the training and experience necessary to develop consistent, stable, and supportive relationships with very young children. The training must develop knowledge of infant and toddler development, safety issues in infant and toddler care (e.g., reducing the risk of Sudden Infant Death Syndrome), and methods for communicating effectively with infants and toddlers, their parents, and other staff members.

 Rationale: Working with infants and toddlers requires specialized knowledge and skills in order to properly address the developmental needs of this age group.

Guidance: Within one year of the effective date of the Final Rule or, thereafter, within one year of hire, staff working with infants and toddlers must obtain a Child Development Associate (CDA) credential for Infant and Toddler Caregivers or an equivalent credential or educational degree that addresses comparable competencies. Teachers who work well with infants and toddlers also have certain specific abilities, such as to:

Maintain an open, friendly, and cooperative relationship with each child’s family, encourage their involvement in the program, and promote parent-child bonding and nurturing parent-child relationships;
Promote feelings of security and trust in infants and toddlers by being warm, supportive, and comforting, and by establishing strong and caring relationships with them;
Provide toddlers with experiences and opportunities that allow them to develop curiosity, initiative, problem-solving skills, and creativity, as well as a sense of self and a feeling of belonging to the group; and
Conduct developmental screenings of infants’ and toddlers’ motor, language, social, cognitive, perceptual, and emotional skills.
Performance Standard

1304.52(g)(1)

(g) Classroom staffing and home visitors.

(1) Grantee and delegate agencies must meet the requirements of 45 CFR 1306.20 regarding classroom staffing.

  

Rationale: Research shows that classroom staffing patterns have a powerful effect on program quality. Low child:staff ratios are associated with more positive outcomes for young children and generate more positive social interactions with peers.

Related Information: See the requirements for program staffing patterns, as specified in 45 CFR 1306.33 for home visitors in the home-based program option, and 45 CFR 1306.20 for center-based preschoolers. See 45 CFR 1304.52(g)(4) for staffing and group size requirements for infants and toddlers.

Guidance: Agencies plan their staffing to ensure that appropriate child:staff ratios are maintained at all times of the day and in all locations, and that staff are allowed adequate time for planning, record-keeping and training. This is especially important in full-day programs, when the numbers of children may change over the course of the day, but the ratios need to be maintained.
Performance Standard

1304.52(g)(2)

(2) When a majority of children speak the same language, at least one classroom staff member or home visitor interacting regularly with the children must speak their language.

  

Rationale: Classroom staff members and home visitors who speak a child’s home language provide reassurance to the child, support the child’s development of a strong sense of identity, and show respect for the values and beliefs of the family.

Related Information: See 45 CFR 1304.21(a)(3)(i)(E) and the Multicultural Principles for Head Start Programs for suggestions on how to show support and respect for a child’s home language.

Guidance: Agencies hire staff who, in addition to speaking English, speak the language of the majority of the children served. Sometimes it is difficult to find qualified bilingual staff who have been trained and certified in early childhood education. To increase the number of qualified adults, agencies:

Provide or arrange for staff training to develop needed language skills as a step toward becoming bilingual;
Temporarily use parent or community volunteers to facilitate communication;
Aggressively recruit staff from community colleges or nearby universities; and
Contact community organizations that represent the culture and language of the families served.
Performance Standard

1304.52(g)(3)

(3) For center-based programs, the class size requirements specified in 45 CFR 1306.32 must be maintained through the provision of substitutes when regular classroom staff are absent.

  

Rationale: Occasions arise in which substitutes are needed to maintain appropriate class sizes and appropriate child:staff ratios, and to ensure that children are always safe.

Guidance: Agencies have less trouble locating substitutes on short notice, if a list of trained area substitutes is maintained. In addition, agencies:

Take advantage of a professional referral service that screens potential substitutes;
Talk with representatives in other community agencies and with senior citizens and other groups to find substitutes;
Join with other early childhood programs in the community to hire a substitute who rotates among these programs; or
Consider using parents who are engaged in a training program in early childhood education or develop a training program in early childhood education for parents and volunteers.

Substitutes work under the direct supervision of the content area expert in education, the center director, or another appropriate staff member while they are in the classroom.
Performance Standard

1304.52(g)(4)

(4) Grantee and delegate agencies must ensure that each teacher working exclusively with infants and toddlers has responsibility for no more than four infants and toddlers and that no more than eight infants and toddlers are placed in any one group. However, if State, Tribal or local regulations specify staff:child ratios and group sizes more stringent than this requirement, the State, Tribal, or local regulations must apply.

  

Rationale: Research indicates that having each staff member work with a small number of infants and toddlers is critical for the development of the child and to the quality of the program.

Related Information: See 45 CFR 1304.53(a) concerning Head Start facilities, especially the minimum space requirements established in 45 CFR 1304.53(a)(5).

Guidance: Agencies ensure that they meet the required child:staff ratios by hiring an appropriate number of trained and qualified teachers and by developing daily staffing plans. In addition, as children grow older and transition to new groups, agencies may choose to move the teacher along with the children.

A group of eight is the maximum number of infants and toddlers assigned to two teachers. In some facilities, space allows a group of eight to be assigned to one room. In other facilities, larger rooms are fitted with appropriate dividers to accommodate more than one group, while ensuring that each group functions separately, and that all of the Program Performance Standards are maintained.
Performance Standard

1304.52(g)(5)

(5) Staff must supervise the outdoor and indoor play areas in such a way that children’s safety can be easily monitored and ensured.

  

Rationale: Most of the injuries that occur in preschool programs take place in play areas where children try out their gross motor skills. Staff ensure that all children can be observed to prevent mishaps and so that they can be quickly reached, should any mishap occur.

Related Information: See 45 CFR 1304.52(h)(1)(iii) and 45 CFR 1304.53(a)(9) for further information on the supervision of play areas.

Guidance: The following are some guidelines for the supervision of outdoor and indoor play areas:

Staff make regular checks of the safety and cleanliness of indoor and outdoor play areas, giving themselves time to address any problems they identify (45 CFR 1304.53(b)(1)(vi) specifies that all equipment must be kept safe and in good condition); and
Staff in center-based programs develop written schedules for play area supervision to ensure appropriate child:staff ratios are maintained at all times.

Home visitors discuss with parents how these same guidelines apply to the home environment and to public playground settings.
Performance Standard

1304.52(h)(1)

(h) Standards of conduct.

(1) Grantee and delegate agencies must ensure that all staff, consultants, and volunteers abide by the program’s standards of conduct. These standards must specify that:

(i) They will respect and promote the unique identity of each child and family and refrain from stereotyping on the basis of gender, race, ethnicity, culture, religion, or disability;

(ii) They will follow program confidentiality policies concerning information about children, families, and other staff members;

(iii) No child will be left alone or unsupervised while under their care; and

(iv) They will use positive methods of child guidance and will not engage in corporal punishment, emotional or physical abuse, or humiliation. In addition, they will not employ methods of discipline that involve isolation, the use of food as punishment or reward, or the denial of basic needs.

  

Rationale: The provision of standards of conduct supports agencies in reinforcing appropriate professional behavior among staff. Written standards of conduct help to guide staff members in making decisions about their actions in potentially controversial or ambiguous situations; and they help protect staff against allegations of misconduct. This rationale serves 45 CFR 1304.52(h)(1)-(3).

Related Information: Other information pertinent to standards of conduct may be found in the following resources:

45 CFR 1301.31 on personnel policies and 45 CFR 1304.50(d)(1)(x) on the role of the Policy Council and Policy Committee in the approval of such policies;
45 CFR 1304.24(a)(1)(iii) about discussing and identifying with parents appropriate responses to their child’s behavior;
45 CFR 1304.21(a)(1)(iii) on providing an environment that supports each child;
Multicultural Principles for Head Start Programs, for further guidance related to multicultural issues;
45 CFR 1304.22(b)(3) on the confidentiality of child health conditions;
45 CFR 1304.22(a)(5) on confidentiality relating to suspected child abuse or neglect;
45 CFR 1304.51(g) on effective record-keeping to ensure confidentiality;
45 CFR 1304.52(g)(5) and 45 CFR 1304.53(a)(9) on the supervision of outdoor play areas; and
45 CFR 1304.21(a)(3), 45 CFR 1304.21(b)(2), and 45 CFR 1304.21(c)(iv) on supporting each child’s social and emotional development.

Guidance: Management staff review written policies and procedures to ensure that specific standards about appropriate staff behavior and actions are included, such as child discipline and the confidentiality of information. Guidelines for standards of conduct are a part of the agency’s personnel policies, as required by 45 CFR 1301.31. Staff, volunteers, and consultants are introduced to the agency’s standards of conduct during their initial orientation, and subsequently trained, if necessary, in the implementation of those standards. Agencies are encouraged to request that staff sign a statement of professional ethics at the beginning of their employment.

To ensure that children of all races, religions, family backgrounds, and cultures are treated with respect and consideration, staff:

Encourage adult male involvement in the classroom and other parts of the program;
Provide opportunities for intergenerational activities through use of grandparent volunteers and community elders;
Provide both boys and girls with equal opportunities to participate in all activities; and
Provide books, toys, music, activities, and decorations that reflect the diversity of all children.

To conform with Federal, State, Tribal, and local laws, the confidentiality policy ensures that:

Confidential information will be seen by and discussed only with staff members who can demonstrate a need for the information in order to perform their jobs;
Staff personnel records will not be disclosed without the written consent of the staff member; and
Staff have the right to examine their own personnel files and to respond to the contents of those files.

To determine the degree of supervision that children need and to assign staff members to supervise them, agencies ensure that children are under adult supervision at all times, that required child:staff ratios are maintained, and that no child is ever left alone or unattended.

To ensure the use of positive, non-punitive methods of guidance and discipline, staff:

Develop clear, reasonable, consistent, and age-appropriate rules and expectations for children and, to the extent possible, engage children themselves in the rule-setting process;
Work with children to help them solve problems, instead of imposing solutions;
Reduce the potential need for discipline by anticipating and eliminating sources of trouble whenever possible; and
Respect and acknowledge children’s feelings.

Agencies provide staff, consultants, and volunteers with regular, ongoing training and mentoring in appropriate disciplinary techniques. Home visitors support parents in guiding children’s behavior without using corporal punishment.
Performance Standard

1304.52(h)(2) & (3)

(2) Grantee and delegate agencies must ensure that all employees engaged in the award and administration of contracts or other financial awards sign statements that they will not solicit or accept personal gratuities, favors, or anything of significant monetary value from contractors or potential contractors.

(3) Personnel policies and procedures must include provision for appropriate penalties for violating the standards of conduct.

 Guidance: To ensure that employees deal appropriately with contracts and other financial awards, agencies define "significant monetary value" in their standards of conduct and request that staff sign a statement at the outset of their employment. In addition, agencies provide relevant staff, governing body, and Policy Council and Policy Committee members with training and supervision in proper methods for awarding and administering contracts or grants with outside agencies or businesses.

To ensure that all staff, consultants, and volunteers are accountable for meeting the agency’s standards of conduct, agencies may consult with a legal advisor or a professional in human resources management to define the consequences for violating the standards of conduct. They also provide all staff with training that emphasizes the importance of the standards of conduct and the consequences of breaching them.
Performance Standard

1304.52(i)

(i) Staff performance appraisals.

Grantee and delegate agencies must, at a minimum, perform annual performance reviews of each Early Head Start and Head Start staff member and use the results of these reviews to identify staff training and professional development needs, modify staff performance agreements, as necessary, and assist each staff member in improving his or her skills and professional competencies.

  

Rationale: All Head Start staff should be actively engaged in a process of professional development. Annual performance reviews provide one opportunity for staff and supervisors to meet, discuss and assess progress, define training and developmental needs, and set new professional goals.

Related Information: Performance appraisals are a part of the personnel policies required by 45 CFR 1301.31. Further requirements concerning training and development may be found in 45 CFR 1304.52(k).

Guidance: Staff performance reviews are a management process consisting of a number of formal and informal interactions, such as:
Setting standards of performance. All staff members may benefit from the opportunity to meet with their supervisors and to discuss each others’ expectations and goals for subsequent months. One way to make expectations and goals clear is to draw up a performance agreement and to review it during subsequent performance reviews.
Gathering performance data. There are a variety of ways to gather information on an employee’s progress. Staff may keep a log of their own progress, including successes in their job, additional responsibilities they may have taken on, any awards or professional recognition they received, their attendance at training or educational programs, and even comments they have received about their activities from parents and peers, as well as supervisors. Supervisors also may keep an ongoing record of staff performance.
Conducting annual performance review. Performance reviews should be positive exchanges that
acknowledge the achievement of past goals and promote the setting of realistic goals for the future,
demonstrate appreciation for employee contributions,
provide constructive feedback on employee work, and
identify employee training needs and professional development opportunities.
Performance Standard

1304.52(j)(1)

(j) Staff and volunteer health.

(1) Grantee and delegate agencies must assure that each staff member has an initial health examination (that includes screening for tuberculosis) and a periodic re-examination (as recom-mended by their health care provider or as mandated by State, Tribal, or local laws) so as to assure that they do not, because of communicable diseases, pose a significant risk to the health or safety of others in the Early Head Start or Head Start program that cannot be eliminated or reduced by reasonable accommodation. This requirement must be implemented consistent with the requirements of the Americans with Disabilities Act and Section 504 of the Rehabilitation Act.

  

Rationale: To ensure a safe and healthy environment for children and staff, all staff and regular volunteers should demonstrate that they are in good health. This rationale serves 45 CFR 1304.52(j)(1)-(2).

Related Information: See the Americans with Disabilities Act and Section 504 of the Rehabilitation Act for specific instructions on requirements that employers may set for employee medical examinations. Employers are permitted to require employees to have medical examinations or to answer medical inquiries that are job-related and justified by business necessity. Inquiries about things that neither affect job performance nor pose a risk to the health or safety of the employee or others may not be sufficiently job-related or necessary.

Guidance: Agencies consult with their Health Services Advisory Committee (HSAC) as well as obtain legal advice in developing a policy to implement this standard. The HSAC, the local Department of Public Health, or the public schools also may be helpful in determining the required examinations, in addition to the required screening for tuberculosis, and in the periodicity of re-examinations. However, agencies may choose to leave the decision up to each staff member’s physician. Agencies may develop a standard form for staff to take with them to their health examination, ensuring first that the form meets the requirements of the Americans with Disabilities Act and Section 504 of the Rehabilitation Act.
Performance Standard

1304.52(j)(2)

(2) Regular volunteers must be 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 (see 45 CFR 1304.3(20) for the definition of volunteer).

  

Related Information: See 45 CFR 1304.3(20) for a definition of "volunteer."

Guidance: Everyone who volunteers on a regular basis in an Early Head Start or Head Start program must comply with State, Tribal or local laws regarding the screening for tuberculosis. (These laws may have specific definitions of the term "regular." If not, the agency should define the term.) In States and localities where tuberculin tests are not required for adults coming into contact with children, agencies should consult with the Health Services Advisory Committee regarding the need for the tuberculin screening of volunteers. Note that screening may not be necessary for the occasional volunteer (a person who comes in from time to time). However, agencies may offer tuberculin screening at a health fair or of a parent education activity as a way of promoting the identification and treatment of health issues among parents and volunteers.

Test results from the tuberculin screening are kept in confidential files. If an individual tests positive, agencies follow the protocols set out by the Centers for Disease Control and Prevention or the State, Tribe, or locality on how to manage communicable diseases. The applicable protocol should be available from the local Health Department. Agencies develop, with the assistance of their local Health Service Advisory Committee, policies that address volunteers who test positive to tuberculosis screening.

The Health Services Advisory Committee may suggest requiring other health screenings and procedures for volunteers and, in fact, State or Tribal requirements may mandate additional screenings or tests. For example, in most States and on American Indian reservations, volunteers who assist with food preparation must meet specific health clearance standards. Such information should be included in the volunteer plan or volunteer handbook, if the agency has one.
Performance Standard

1304.52(j)(3)

(3) Grantee and delegate agencies must make mental health and wellness information available to staff with concerns that may affect their job performance.

  

Rationale: Caring for children and families with complex challenges can be taxing for staff and may generate problems such as stress and "burnout." Therefore, agencies should make special efforts to support staff and let them know that their job challenges are understood.

Guidance: In providing information on mental health and wellness, agencies consider implementing measures to assist staff in coping with job-related stress, such as:

Including topics or informational resources on job-related stress, mental health, and wellness in staff training and development activities;
Sponsoring mental and physical wellness programs, such as exercise groups or staff support groups;
Providing employees with information on or confidential referrals to community agencies, including community mental health centers and/or alcohol and drug counseling centers; and
Providing, or brokering, professional Employee Assistance Programs (EAPs).
Performance Standard

1304.52(k)(1)-(3)

(k) Training and development.

(1) Grantee and delegate agencies must provide an orientation to all new staff, consultants, and volunteers that includes, at a minimum, the goals and underlying philosophy of Early Head Start and/or Head Start and the ways in which they are implemented by the program.

(2) Grantee and delegate agencies must establish and implement a structured approach to staff training and development, attaching academic credit whenever possible. This system should be designed to help build relationships among staff and to assist staff in acquiring or increasing the knowledge and skills needed to fulfill their job responsibilities, in accordance with the requirements of 45 CFR 1306.23.

(3) At a minimum, this system must include ongoing opportunities for staff to acquire the knowledge and skills necessary to implement the content of the Head Start Program Performance Standards. This program must also include:

(i) Methods for identifying and reporting child abuse and neglect that comply with applicable State and local laws using, so far as possible, a helpful rather than a punitive attitude toward abusing or neglecting parents and other caretakers; and

(ii) Methods for planning for successful child and family transitions to and from the Early Head Start or Head Start program.

  

Rationale: One of the most important determinants of program excellence is the presence of a well-trained, qualified staff. In order for staff to do their jobs effectively and to meet the changing needs of the children and families served, agencies must have a system that supports staff in a process of continuous learning. A structured approach to continuous learning addresses both program philosophy and individual job requirements. Two critical areas to be addressed in this approach are child abuse and neglect and family and child transitions. This rationale serves 45 CFR 1304.52(k)(1)-(3).

Related Information: Pre-service and in-service training opportunities are mandated by 45 CFR 1306.23 to assist staff and volunteers in acquiring or increasing the knowledge and skills required to fulfill their job responsibilities.

See 45 CFR 1304.52(b) for a description of staff qualifications; 45 CFR 1304.52(j) for requirements related to staff and volunteer health; and 45 CFR 1304.52(i) for the link between staff performance appraisals and staff development needs, and training.

See 45 CFR 1304.22(a)(5) on establishing local policies and procedures for the reporting of suspected child abuse and neglect, and 45 CFR 1301.31(e) and the Appendix to 45 CFR 1301.31 for requirements regarding child abuse and neglect. All staff need to be knowledgeable about their legal and professional responsibilities with regard to reporting suspected child abuse and neglect by parents, staff members, and others, in accordance with the provisions of Federal, State, Tribal, or local law.

See 45 CFR 1304.40(h) on parent involvement in transition activities. Also see 45 CFR 1304.41(c)(1)(iv) on the joint training of Head Start and other agency staff in transition services, and 45 CFR 1304.41(c)(2) concerning transition planning for children leaving Early Head Start.

Guidance: Staff training and development is a continuous, creative process, individualized to meet the goals of each employee while responsive to the overall program. An effective training and staff development system includes an orientation as well as ongoing opportunities that develop each staff member’s skills and knowledge. Strategies to support the implementation of this system range from individualized coaching to formal college course work.

The orientation process is critical for all new staff, consultants, and volunteers, and includes the goals and philosophy of Head Start and:

the mission and vision of the grantee,
an introduction to and an explanation of the Head Start Program Performance Standards and how they apply to the specific program options, settings, and services, and
program policies and procedures, including standards of conduct.

A structured approach to ongoing staff development:

Is ongoing and supports the individual needs of staff;
Builds on prior staff development activities and includes follow-up activities;
Links to employees’ performance appraisals;
Uses a variety of approaches and current technology;
Builds on the principles of adult learning; and
Makes use of locally available resources.

To determine the elements of a training and development system, agencies consider the following process:

assessment of staff and program goals and needs,
design of a training and staff development plan,
implementation of the plan, and
evaluation of the process.

Each agency can decide the appropriate topics and target groups for its staff development opportunities through its assessment process. However, certain topics — specifically, child abuse and neglect and transition to and from Early Head Start or Head Start — are included in this structured approach.

Staff who have an ongoing relationship with families and are in families’ homes on a regular basis need support concerning the issue of identifying and reporting suspected child abuse and neglect. To ensure that staff understand this responsibility, agencies:

Provide staff with a copy of relevant laws;
Organize a variety of training opportunities on how to identify and report child abuse and neglect; and
Assign one individual the responsibility of supporting staff in their efforts to prevent, identify, and report child abuse and neglect.

Examples of methods that support successful transitions include:

Preparing children and their families for transitions;
Assisting parents in advocating for their children in the school system and in exercising their rights and responsibilities concerning the education of their children;
Supporting parents in identifying and selecting child care;
Maintaining ongoing communication and cooperation between the Early Head Start or Head Start program and the elementary school or other child care setting by
encouraging elementary school or other child care teachers to visit Early Head Start and Head Start to understand its philosophy or encouraging joint training with elementary school teachers and other providers of child development services,
developing effective methods for transferring records, and
continuing transition activities throughout the year; and
Developing written transition plans, and individualizing the plans, as appropriate, to meet the needs of children with disabilities.
Performance Standard

1304.52(k)(4)

(4) Grantee and delegate agencies must provide training or orientation to Early Head Start and Head Start governing body members. Agencies must also provide orientation and ongoing training to Early Head Start and Head Start Policy Council and Policy Committee members to