The information contained here describes the purpose of the Head Start program, and the background and purpose of the new Final Rule. It was taken verbatim from the section in the regulation titled Supplementary Information, 45 CFR Part 1310. [Note: Word count: 3,780]

I. Program Purpose

Head Start is authorized under the Head Start Act (the Act), Title VI, Subtitle A, Chapter 8 of the Public Law 97-35, the Omnibus Reconciliation Act of 1981 (42 U.S.C. 9801 et seq.). It is a national program providing comprehensive child development services primarily to low-income children, predominantly age three to the age of compulsory school attendance, and their families. To help enrolled children achieve their full potential, Head Start programs provide comprehensive health, nutritional, educational, social and other services.

Additionally, section 645A, of the Head Start Act provides authority to fund programs for families with infants and toddlers. Programs receiving funds under the authority of this section are referred to as Early Head Start programs. Programs are required to provide for the direct participation of the parents of enrolled children in the development, conduct, and direction of local programs. Parents also receive training and education to foster their understanding of and involvement in the development of their children.

While Head Start is intended to serve primarily children whose families have incomes at or below the poverty line, or who receive public assistance, Head Start regulations permit up to 10 percent of the children in local programs to be from families who do not meet these low-income criteria. The Act also requires that a minimum of 10 percent of the enrollment opportunities in each program be made available to children with disabilities. Such children are expected to participate in the full range of Head Start services and activities with their non-disabled peers and to receive needed special educational and related services.

The Head Start Improvement Act of 1992 contained a provision that requires the Head Start Bureau to develop regulations for the safe transportation of Head Start children. In addition, the Final Report of the Advisory Committee on Head Start Quality and Expansion included in its recommendations the development of ``* * * regulations to assure that safe and effective transportation services are available.''

Finally, In July 1999 the National Transportation Safety Board (NTSB) sent a letter to the Department of Health Human Services reporting findings from the investigation of four accidents in which children being transported in non-conforming vans were killed. One of the fatalities was a Head Start child. The NTSB issued clear recommendations to Head Start based on its findings. The NTSB's letter stated that ``when States allow children to be transported in vehicles not meeting Federal school bus construction standards, NHTSA's intent of protecting school children is undermined * * *. The Safety Board is firmly convinced that the best way to maximize pupil transportation safety is to require the use of school buses or buses built to equivalent occupant crash protection standards.'' The NTSB commented that the release of the Head Start Transportation ``* * * rulemaking should be expedited to prevent future injuries and fatalities to children enrolled in Head Start programs''. The specific recommendations included that ``Head Start children be transported in vehicles built to Federal school bus structural standards or the equivalent'' and that guidelines provided by the National Highway Traffic Safety Administration's Guideline for the Safe Transportation of Preschool Age Children in School Buses be mandated in the rule. The guidelines are related to child passenger restraint systems. The development of ``Performance Standards'' for Head Start transportation supports the goal of ensuring that children and families receive high quality Head Start services.

II. Background and Purpose of the Rule

The authority for this final rule is found in sections 640(i) and 644(a) and (c) and 645A(b)(9) of the Head Start Act (42 U.S.C. 9801 et seq.). Section 640(i) directs the Secretary to issue regulations establishing requirements for the safety features and the safe operation of vehicles used to transport children participating in Head Start programs. Section 645A(b)(9) requires that Early Head Start agencies comply with requirements established by the Secretary concerning design and operation of such programs. Sections 644(a) and (c) require the issuance of regulations setting standards for organization, management, and administration of Head Start programs.

Since the inception of the program, most Head Start agencies have routinely provided transportation for some Head Start children to and from the classroom when needed, although there has never been a requirement to do so. To date, information on transportation provided to Head Start programs has been limited to a series of Information Memoranda which provide guidance to programs on issues around transportation safety, but which do not require any action on the part of Head Start agencies. The following is a summary of that information:

ACYF-IM-82-01, ``Bus Safety,'' issued on January 19, 1982. This Information Memorandum addresses the applicability of The National Highway Traffic Safety Administration's (NHTSA) Federal Motor Vehicle Safety Standards (45 CFR Part 571) to school buses with a seating capacity of eleven (11) or more. The Administration for Children, Youth and Families suggested that all buses purchased or leased to transport Head Start children meet the NHTSA standards.

ACYF-IM-83-06, ``Transportation Safety,'' issued March 24, 1983. This Information Memorandum provided notification to Head Start programs of a Highway Accident Report prepared by the National Transportation Safety Board (NTSB) on an accident involving a Head Start vehicle. As a result of their investigation, the NTSB recommended that ACYF advise all Head Start programs of the circumstances of the accident in hopes that the report would draw attention to the importance of transportation safety. The Information Memorandum also notified programs of the NTSB's recommendation that ACYF adopt, and emphasize the need for adherence to, the policies and guidelines provided by the National Highway Traffic Safety Administration's (NHTSA) Pupil Transportation Safety Standards, Highway Safety Program Standard Number 17 (now Guideline 17). A copy of Standard 17 was included and programs were ``urged'' to use the Standard to assess the adequacy of their transportation systems.

ACYF-IM-93-10. ``Transportation,'' issued on March 18, 1993. This Information Memorandum replaced ACYF-IM-82-01 and ACYF-IM-83-06, since both the Federal Motor Vehicle Safety Standards (FMVSS) and NHTSA's Pupil Transportation Safety Standards had been revised. The Information Memorandum provided Head Start programs with a copy of the new Guideline 17 and again encouraged programs to purchase only vehicles that meet the FMVSS for school buses. The Information Memorandum also provided Head Start programs with new information regarding the Federal Highway Administration's (FHWA) Commercial Motor Vehicle Safety Act and the Commercial Driver's License (CDL) program.

As these issuances have been advisory and not legally binding, there have been differing degrees of implementation. Not all Head Start agencies offer transportation services and, among the agencies that do provide transportation, there are varying degrees of quality and safety.

Because of the impact on the overall quality of services provided to children and families and to assure them access to services, we strongly believe that transportation services in Head Start must meet safety and quality regulations. Many low income families who enroll children in Head Start have limited, if any, access to regular transportation. They often do not own, or cannot afford to operate, a vehicle. They frequently are geographically isolated from, or unable to afford, public transportation. Some communities do not provide any public transportation. Head Start transportation services may be required to ensure the enrollment and attendance of the highest need children.

When Head Start children are transported to and from the program, it is important that the time spent in transit be safe and support Head Start learning experiences. In a typical rural Head Start program some children are transported over long distances and spend a significant part of their day en route to and from the classroom. Therefore, the time children spend on the vehicle should be treated with the same level of importance as the time the children spend in the classroom and in other program activities.

We know from experience and documentation that significant variation exists among States in terms of whether or not drivers and vehicles that transport Head Start children are included under the purview of State school bus requirements.

In developing this rule, the Head Start Bureau commissioned a survey of the States to determine whether and the extent to which, the requirements in the State's pupil transportation safety plan applied to Head Start programs. Of the 48 States that responded to the survey, 14 of them stated that their Head Start programs are covered by the State regulations governing pupil transportation, 23 States responded that their Head Start programs are not covered, 10 States gave a conditional response and one (1) State did not know. The survey also indicated significant variation among the States in the amount of training required for school bus drivers. Of the 45 States that responded to this question, 39 have some mandated training requirements for school bus drivers, three States reported that driver training was handled at the local level, and three States reported no mandated training requirements for school bus drivers. More significantly, only 13 States reported mandated driver training for Head Start bus drivers.

This variation, both in the way Head Start programs are viewed by the States as well as differing requirements among the States, limits reliance on the States as the sole source of transportation safety standards for Head Start programs.

Variation among the States in regulation of Head Start transportation services and oversight, was one of the primary determinants of our decision to develop minimum standards for all Head Start programs, regardless of the State or jurisdiction in which they operate.

We have substantially revised the proposed rule by providing that within five years of the date of publication of these regulations, Head Start agencies must use for activities defined as ``transportation services'', either a school bus or an ``Allowable Alternate Vehicle.'' These two classes of vehicles are defined in the regulations under section 1310.3. The term ``Allowable Alternate Vehicle'' is used to describe a vehicle which complies with the FMVSS applicable to school buses related to crash survivability and mirrors, but does not meet the other FMVSS which apply to crash prevention, such as the requirements for flashing school bus lights and stop arms, or the provisions in Guideline 17 relating to the color of the vehicle and the use of lights and stop arms. All other parts of the regulation, with the exception of Section 1310.11 and Section 1310.15(a) which are effective three years from the date of publication and Sections 1310.2(c) and 1310.12(b) which are effective 30 days from the date of publication, are effective one year from the date of publication.

The provisions that are effective in one year are important to child passenger safety and pose less burden to grantees than the vehicle, safety restraint, and monitor provisions. The Notice of Proposed Rulemaking included a three year phase-in period for all of the provisions with the exception of driver training. The NPRM invited comments about the feasibility of the three year period. The implementation periods that were selected for each provision resulted from review of the comments and analysis of current Head Start requirements. To improve transportation safety as quickly as possible where it was reasonable the implementation period was changed to one year.

The additional category of vehicle was added to address two significant issues raised during the NPRM comment period. The first issue related to the fact that some States prohibit Head Start and other community based programs from using school buses. The second issue related to concerns raised by Community Transportation Agencies (CTAs) about their ability to continue serving Head Start programs if all Head Start agencies providing transportation services were required to use only school buses. Some CTAs operate vehicles which serve both Head Start grantees and other community organizations, and believe that using only school buses to provide transportation for Head Start programs would interfere with their ability to use the same vehicles to meet the needs of other segments of the community. Other groups, such as senior citizens, might object to the use of school buses to meet their needs, and it would be prohibitively expensive for the CTAs to have separate vehicles to meet the needs of Head Start programs and those of other groups. Reconciling the opposing issues related to vehicle structural safety took several years of painstaking work. Significant progress was accomplished through the contributions of the Joint Department of Health and Human Services and Department of Transportation Coordinating Council on Human Services Transportation (now known as the Coordinating Council on Access and Mobility). The development of the allowable alternate vehicle evolved through information exchange, inclusion of multiple perspectives, and willingness to compromise in order to improve the safety of children.

We believe that recognizing an additional class of vehicle without the exterior crash avoidance features is appropriate since those features are not necessary to serving Head Start children. Under Section 1310.20(b)(6), children who must cross the street or highway to board or after exiting the vehicle because curbside drop-off or pick-up is impossible, must be escorted across the street by a bus monitor or other adult. The crash avoidance features are therefore unnecessary to ensure the safety of children being transported to and from Head Start programs.

Formerly, NHTSA interpreted the statutes it is charged with enforcing to prohibit vendors from selling vehicles for use in transporting children enrolled in Head Start programs that do not meet the standards adopted pursuant to those statutes for school buses. The basis for this position was its interpretation of the term ``school'' in the definition of ``schoolbus'' appearing in 49 U.S.C. 30125(a)(1) to include Head Start programs.

At the suggestion of the Head Start Bureau, NHTSA reconsidered its interpretation in light of the new wording added to the Head Start Act by the Coats Human Service Reauthorization Act of 1998, Section 102, Pub. L. 105-285, 112 Stat. 2702, 2703. The statute amended Section 636 of the Head Start Act (42 U.S.C. 9831) to provide that ``[i]t is the purpose of this subchapter to promote school readiness by enhancing the social and cognitive development of low-income children through the provision, to low-income children and their families, of health, educational, nutritional, social, and other services that are determined, based on family needs assessments to be necessary.'' (Emphasis added.) In view of the rewording of the statute, NHTSA agreed that it was no longer appropriate to consider the Head Start program to be a school program.

The change in NHTSA's position made it possible for the Head Start program to authorize use of a separate category of vehicle, the ``Allowable Alternate Vehicle'', to transport children enrolled in Head Start programs. The Allowable Alternate Vehicle symbolizes the cooperative approach adopted by the Departments of Transportation and Health and Human Services, over the course of nearly a decade, to solve the complicated problems related to improving the safety of Head Start transportation services.

Vehicles meeting the specifications of Allowable Alternate Vehicles are currently in use in some States that prohibit Head Start programs from using school buses. These vehicles also may be used in States where Head Start is not included under pupil transportation regulations and a program chooses a vehicle with the structural features, but not the appearance, of a school bus. The Head Start Bureau anticipates that manufactures will be able to meet the increased demand for alternate vehicles because school bus manufacturers currently produce such vehicles.

In the development of the rule, we have, with only minor variations, adopted a number of the relevant provisions of Guideline 17 and have referenced several of the Federal Motor Vehicle Safety Standards applicable to school buses. This final rule was developed through ongoing consultation with the National Highway Traffic Safety Administration on the application of the FMVSS and Guideline 17 to Head Start programs.

It should be noted that we do not want to place Head Start agencies in conflict with State requirements. On the contrary, it is our intention to continue to work with the States beyond the implementation of the rule to enhance the relationship between Head Start programs and the State agencies responsible for pupil transportation safety. Toward that end, we consulted with the National Association of State Directors of Pupil Transportation throughout the development of this rule.

Where Guideline 17 lacked specificity or was silent on some aspect that is important for transporting Head Start children, we relied on other resources, such as the National Standards for School Bus Operations, in determining regulatory criteria. For example, the regulation includes requirements for the content of driver training and rules for trip routing. The Transportation Research Board's (TRB) Special Report 222 provided valuable information regarding the use of seat belts on school buses, the need for strict rules for trip routing, and the need to train children in safe riding practices both on and off the bus.

The TRB's examination of the use of seat belts on school buses in Special Report 222, along with NHTSA's recommendation in Guideline 17 that passengers in vehicles with a gross vehicle weight rating of less than 10,000 pounds (which is the class of vehicle most frequently used by Head Start programs) use occupant restraints, raises an issue of special significance to the safe transportation of Head Start children. The use of standard Type I (lap) and Type II (lap and shoulder) seat belts is inappropriate for children who weigh 50 pounds or less, because of the potential for injury from the seat belt itself. Children weighing 50 pounds or less should be seated in child restraint systems designed in accordance with FMVSS No. 213, ``Child Restraint Systems.'' Since almost all Head Start children fall into this lower weight category, we have included such a requirement in the rule. Our decision to include this requirement is based on consultation with organizations such as the American Academy of Pediatrics, the Children's National Medical Center in Washington, DC and the Riley Hospital for Children, Automotive Safety for Children Program in Indianapolis, Indiana. The regulation provides that within three years of its publication, all vehicles must be equipped for use of child restraint systems. In some instances, this may require replacement of existing vehicles. While the regulation allows up to five years to use school buses or allowable alternate vehicles, the full five years will not be available if vehicles are being used that cannot accommodate, or be safely retrofitted to accommodate child restraint systems. We recognize the financial effect that a three year versus a five year implementation period may have for some grantees. We urge grantees to evaluate existing vehicles for capacity to accommodate child restraint systems and plan accordingly. The use of child restraint systems for children weighing 50 pounds or less is critical to their safety.

We have excluded the transportation provided under the Head Start and Early Head Start home-based program option from the requirement for use of school buses or allowable alternate vehicles, and the requirements on driver qualifications and bus monitors. In the home- based option, it may only be necessary to transport parents and children to twice monthly group socializations and other program activities. Usually, the transportation is provided in a vehicle other than a school bus driven by the home visitor, although many programs already use school buses to transport children enrolled in home-based programs. We anticipate that programs already using school buses will continue the practice. Programs will also need to comply with other requirements of the regulations when transporting children enrolled in home-based programs. We also expect that as more grantees acquire school buses and allowable alternate vehicles for use in transporting children enrolled in other program options, they will make available to children enrolled under the home-based option the same transportation services provided to children enrolled under other program options. We are, however, reluctant at this time to apply the same requirements under the home- based option as other options because local circumstances may at times make it impossible to comply fully with the requirements of the regulations. There may be situations, for example, in rural communities with widely dispersed populations when it will not be possible for a grantee to coordinate its use of vehicles to provide the necessary services using school buses or allowable alternate vehicles to meet the needs of children enrolled in the home-based option as well as those enrolled under the other options that it operates.

It should be noted that the requirements in the regulation which are generally applicable to Head Start, Early Head Start and delegate agencies, such as the requirements for safety education in 45 CFR 1310.21, the requirement for release of a child to a parent, legal guardian, or other individual identified in writing by the parents in 45 CFR 1310.10(g) and the use of appropriate child restraint systems in 45 CFR 1310.11, apply to services under the home-based option.

We recognize that implementing this regulation will require programs to learn its provisions and determine their application in reference to existing State regulations. There are a variety of resources available to support agencies. The Head Start Act requires that an allotment of Head Start and Early Head Start funding be dedicated to training and technical assistance for staff and parents. This is accomplished through a variety of avenues, many of which will be instrumental in supporting grantees as they adopt the provisions of the transportation regulation. The training and technical assistance network consists of local, regional, and national resources. Each region has a Quality Improvement Center (QIC) which supplies the Head Start and Early Head Start programs in its region with a variety of training opportunities that are responsive to program needs and emerging issues. Several of the QIC staff have become experts in transportation issues based on the current needs of grantees they serve. The Head Start Publications Management Center provides the vehicle for distributing information material to all of the Head Start and Early Head Start Grantees and delegate agencies. Materials offered by the Publications Center include the ``Transportation Tool Kit'' which was developed to provide Head Start programs with resources and information related to transportation services. There are also various training opportunities available through each State's Department of Transportation and several national organizations, including the International Center for Injury Prevention and the Community Transit Assistance Program, have volunteered to participate in providing training to Head Start programs. The National Highway Traffic Safety Program offers extensive training resources and has already been involved in providing materials to Head Start programs. The NHTSA document entitled ``Guideline for the Safe Transportation of Pre-school Age Children in School Buses'' was distributed to all grantee and delegate agencies in 1999.